TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS(to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i | ||
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii: |
CAP-XX LTD |
|
1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate) | ||
Non-UK issuer |
X |
|
2. Reason for the notification(please mark the appropriate box or boxes with an "X") | ||
An acquisition or disposal of voting rights |
X |
|
An acquisition or disposal of financial instruments |
||
An event changing the breakdown of voting rights |
X |
|
Other (please specify)iii: |
||
3. Details of person subject to the notification obligationiv | ||
Name |
CANACCORD GENUITY GROUP INC |
|
City and country of registered office (if applicable) |
VANCOUVER, CANADA |
|
4. Full name of shareholder(s)(if different from 3.)v | ||
Name |
DISCRETIONARY CLIENTS |
|
City and country of registered office (if applicable) |
As above |
|
5. Date on which the threshold was crossed or reachedvi: |
06 JUNE 2023 |
|
6. Date on which issuer notified (DD/MM/YYYY): |
07 JUNE 2023 |
|
7. Total positions of person(s) subject to the notification obligation | ||||
% of voting rights attached to shares (total of 8. A) |
% ofvoting rights throughfinancial instruments |
Total of both in % (8.A + 8.B) |
Total number of voting rights held in issuer (8.A + 8.B)vii |
|
Resulting situation on the date on which threshold was crossed or reached |
17.2966 |
17.2966 |
123,846,953 |
|
|
Position of previous notification (if applicable) |
11.9298 |
11.9298 |
||
8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii | ||||
A: Voting rights attached to shares | ||||
|
Class/type of ISIN code (if possible) |
Number of voting rightsix |
% of voting rights |
||
|
Direct (DTR5.1) |
Indirect (DTR5.2.1) |
Direct (DTR5.1) |
Indirect (DTR5.2.1) |
|
AU0000XINAS1 |
123,846,953 |
17.2966 |
||
SUBTOTAL 8. A |
123,846,953 |
17.2966 |
||||||
B 1: Financial Instruments according to DTR5.3.1R (1) (a) | ||||||||
Type of financial instrument |
Expiration |
Exercise/ |
Number of voting rights that may be acquired if the instrument is exercised/converted. |
% of voting rights |
||||
SUBTOTAL 8. B 1 |
||||||||
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R (1) (b) | ||||||||
Type of financial instrument |
Expiration |
Exercise/ |
Physical or cash settlementxii |
Number of voting rights |
% of voting rights |
|||
SUBTOTAL 8.B.2 |
||||||||
9. Information in relation to the person subject to the notification obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii
Full chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)
X
Namexv
% of voting rights if it equals or is higher than the notifiable threshold
% of voting rights through financial instruments if it equals or is higher than the notifiable threshold
Total of both if it equals or is higher than the notifiable threshold
Canaccord Genuity Group Inc.
17.2966
17.2966
Canaccord Genuity Wealth Group Holdings Limited
17.2966
17.2966
Canaccord Genuity Wealth Group Holdings (Jersey) Limited
17.2966
17.2966
Canaccord Genuity Wealth Group Limited
17.2966
17.2966
Canaccord Genuity Asset Management Limited (formerly Hargreave Hale Limited)
17.2966
17.2966
10. In case of proxy voting, please identify:
Name of the proxy holder
The number and % of voting rights held
The date until which the voting rights will be held
11. Additional informationxvi
The change in the percentage of shares held is due entirely to issue of new shares by CAP-XX Limited & participation in the corporate action. The shares from which were admitted to AIM on 06/06/2023.
Place of completion |
BLACKPOOL, ENGLAND |
Date of completion |
07 JUNE 2023 |
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