TIDMPERE
RNS Number : 3465E
Pembridge Resources plc
08 February 2018
TR-1: Standard form for notification of major holdings
1a. Identity of the issuer
or the underlying issuer of Pembridge Resources PLC
existing shares to which voting
rights are attachedii:
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1b. Please indicate if the issuer is a non-UK issuer
(please mark with an "X" if appropriate)
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Non-UK issuer
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2. Reason for the notification (please mark the appropriate
box or boxes with an "X")
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An acquisition or disposal of voting rights X
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An acquisition or disposal of financial instruments
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An event changing the breakdown of voting rights
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Other (please specify)iii:
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3. Details of person subject to the notification obligationiv
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Name Mark Lancaster
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City and country of registered
office (if applicable)
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4. Full name of shareholder(s) (if different from 3.)v
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Name
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City and country of registered
office (if applicable)
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5. Date on which the threshold
was crossed or reachedvi: 07/02/2018
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6. Date on which issuer notified 08/02/2018
(DD/MM/YYYY):
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7. Total positions of person(s) subject to the notification
obligation
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% of voting % of voting Total of both
rights attached rights through in %
to shares financial in-
(total of struments
8. A)
(total of 8.B (8.A + 8.B) Total number
1 + 8.B 2) of voting
rights of
issuer(vii)
------------------------------------------------------------------------ ------------------------------ ---------------------
Resulting
situation 8.40% 223,849,257
on the date
on which threshold
was crossed
or reached
------------------------ ----------------------- ----------------------- -----------------------------------------------------
Position of
previous notification
(if applicable)
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1
8. Notified details of the resulting situation on the
date on which the threshold was crossed or reachedviii
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A: Voting rights attached to shares
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Class/type Number of voting rightsix % of voting rights
of shares
ISIN code (if
possible)
---------------- ------------------------------------- ------------------------------------------------
Direct Indirect Direct Indirect
(Art 9 of (Art 10 of (Art 9 of Directive (Art 10 of
Directive Directive 2004/109/EC) Directive
2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.2.1)
---------------- ---------------- ------------------- ---------------------------- ------------------
GB00B3ZW6Z85 18,813,656 8.40%
---------------- ---------------- ------------------- ---------------------------- ------------------
SUBTOTAL 8.
A 18,813,656 8.40%
---------------- ------------------------------------- ------------------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a)
of Directive 2004/109/EC (DTR5.3.1.1 (a))
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Number of voting
Type of financial Expiration Exercise/ Conversion rights that % of voting
instrument datex Periodxi may be acquired rights
if the instrument
is exercised/converted.
--------------------- ------------- ----------------------- ------------------------- ---------------
Warrants over
ordinary shares At any time
with a 3.2p prior to expiration
exercise price 21/08/2019 date 9,375,000 4.2%
--------------------- ------------- ----------------------- ------------------------- ---------------
SUBTOTAL 8.
B 1 9,375,000 4.2%
----------------------- ------------------------- ---------------
B 2: Financial Instruments with similar economic effect
according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b))
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Type of financial Expiratio Exercise/ Physical Number
instrument n datex Conversion or cash of voting % of voting
Period xi settlementxii rights 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")
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Person subject to the notification obligation is X
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)
issuer(xiii)
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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 entity (xiv)
(please add additional rows as necessary)
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Name(xv) % of voting rights % of voting rights Total of both
if it equals through financial if it equals
or is higher instruments if or is higher
than the notifiable it equals or than the notifiable
threshold is higher than threshold
the notifiable
threshold
----------- -------------------------- ----------------------- ----------------------
9. In case of proxy voting, please identify:
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Name of the proxy holder
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The number and % of voting
rights held
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The date until which the voting
rights will be held
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Place of completion London, UK
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Date of completion 08/02/2018
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Notes
i Please note that national forms may vary due to specific
national legislation (Article 3(1a) of Directive 2004/109/EC) as
for instance the applicable thresholds or information regarding
capital holdings.
ii Full name of the legal entity and further specification of
the issuer or underlying issuer, provided it is reliable and
accurate (e.g. address, LEI, domestic number identity). Indicate in
the relevant section whether the issuer is a non UK issuer.
iii Other reason for the notification could be voluntary
notifications, changes of attribution of the nature of the holding
(e.g. expiring of financial instruments) or acting in concert.
iv This should be the full name of (a) the shareholder; (b) the
natural person or legal entity acquiring, disposing of or
exercising voting rights in the cases provided for in DTR5.2.1 (b)
to (h)/ Article 10 (b) to (h) of Directive 2004/109/EC; (c) all
parties to the agreement referred to in Article 10 (a) of Directive
2004/109/EC (DTR5.2.1 (a)) or (d) the holder of financial
instruments referred to in Article 13(1) of Directive 2004/109/EC
(DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to
the specific circumstances (e.g. same or different total positions
of the parties, entering or exiting of acting in concert by a
single party) the standard form does not provide for a specific
method how to notify cases of acting in concert.
In relation to the transactions referred to in points (b) to (h)
of Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the
following list is provided as indication of the persons who should
be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of
that Directive (DTR5.2.1 (b)), the natural person or legal entity
that acquires the voting rights and is entitled to exercise them
under the agreement and the natural person or legal entity who is
transferring temporarily for consideration the voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of
that Directive (DTR5.2.1 (c)), the natural person or legal entity
holding the collateral, provided the person or entity controls the
voting rights and declares its intention of exercising them, and
natural person or legal entity lodging the collateral under these
conditions;
- in the circumstances foreseen in letter (d) of Article 10 of
that Directive (DTR5.2.1 (d)), the natural person or legal entity
who has a life interest in shares if that person or entity is
entitled to exercise the voting rights attached to the shares and
the natural person or legal entity who is disposing of the voting
rights when the life interest is created;
- in the circumstances foreseen in letter (e) of Article 10 of
that Directive (DTR5.2.1 (e)), the controlling natural person or
legal entity and, provided it has a notification duty at an
individual level under Article 9 (DTR 5.1), under letters (a) to
(d) of Article 10 of that Directive (DTR5.2.1 (a) to (d)) or under
a combination of any of those situations, the controlled
undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of
that Directive (DTR5.2.1 (f)), the deposit taker of the shares, if
he can exercise the voting rights attached to the shares deposited
with him at his discretion, and the depositor of the shares
allowing the deposit taker to exercise the voting rights at his
discretion;
- in the circumstances foreseen in letter (g) of Article 10 of
that Directive (DTR5.2.1 (g)), the natural person or legal entity
that controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of
that Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise
the voting rights at his discretion, and the shareholder who has
given his proxy to the proxy holder allowing the latter to exercise
the voting rights at his discretion (e.g. management
companies).
v Applicable in the cases provided for in Article 10 (b) to (h)
of Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should be the
full name of the shareholder who is the counterparty to the natural
person or legal entity referred to in Article 10 of that Directive
(DTR5.2) unless the percentage of voting rights held by the
shareholder is lower than the lowest notifiable threshold for the
disclosure of voting rights holdings in accordance with national
practices (e.g. identification of funds managed by management
companies).
vi The date on which threshold is crossed or reached should be
the date on which the acquisition or disposal took place or the
other reason triggered the notification obligation. For passive
crossings, the date when the corporate event took effect.
vii The total number of voting rights shall be composed of all
the shares, including depository receipts representing shares, to
which voting rights are attached even if the exercise thereof is
suspended.
viii If the holding has fallen below the lowest applicable
threshold in accordance with national law, please note that it
might not be necessary in accordance with national law to disclose
the extent of the holding, only that the new holding is below that
threshold.
ix In case of combined holdings of shares with voting rights
attached "direct holding" and voting rights "indirect holding",
please split the voting rights number and percentage into the
direct and indirect columns - if there is no combined holdings,
please leave the relevant box blank.
x Date of maturity/expiration of the financial instrument i.e.
the date when right to acquire shares ends.
xi If the financial instrument has such a period - please
specify this period - for example once every 3 months starting from
[date].
xii In case of cash settled instruments the number and
percentages of voting rights is to be presented on a delta-adjusted
basis (Article 13(1a) of Directive 2004/109/EC) (DTR 5.3.3.A).
xiii If the person subject to the notification obligation is
either controlled and/or does control another undertaking then the
second option applies.
xiv The full chain of controlled undertakings starting with the
ultimate controlling natural person or legal entity has to be
presented also in the cases, in which only on subsidiary level a
threshold is crossed or reached and the subsidiary undertaking
discloses the notification as only thus the markets get always the
full picture of the group holdings. In case of multiple chains
through which the voting rights and/or financial instruments are
effectively held the chains have to be presented chain by chain
leaving a row free between different chains (e.g.: A, B, C, free
row, A, B, D, free row, A, E, F etc.).
xv The names of controlled undertakings through which the voting
rights and/or financial instruments are effectively held have to be
presented irrespectively whether the controlled undertakings cross
or reach the lowest applicable threshold themselves.
xvi Example: Correction of a previous notification.
This information is provided by RNS
The company news service from the London Stock Exchange
END
HOLTPMJTMBJMBFP
(END) Dow Jones Newswires
February 08, 2018 08:39 ET (13:39 GMT)
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