5th Apr 2013 07:00
For filings with the FSA include the annex | |
For filings with issuer exclude the annex | |
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES |
1. Identity of the issuer or the underlying issuerof existing shares to which voting rights areattached: ii | Clinigen Group PLC | ||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||
An acquisition or disposal of voting rights | X | ||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | |||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | |||||
An event changing the breakdown of voting rights | |||||
Other (please specify): | |||||
3. Full name of person(s) subject to thenotification obligation: iii | Grandeur Peak Global Advisors, LLC | ||||
4. Full name of shareholder(s) (if different from 3.):iv | FIT, Grandeur Peak Global Opportunities Fund FIT, Grandeur Peak International Opportunities Fund Grandeur Peak Global Opportunities, LP | ||||
5. Date of the transaction and date onwhich the threshold is crossed orreached: v | April 3, 2013 | ||||
6. Date on which issuer notified: | April 4, 2013 | ||||
7. Threshold(s) that is/are crossed orreached: vi, vii | 5% | ||||
8. Notified details: | ||||||||||||||||
A: Voting rights attached to shares viii, ix | ||||||||||||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | ||||||||||||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | % of voting rights x | ||||||||||||
Direct | Direct xi | Indirect xii | Direct | Indirect | ||||||||||||
GB00B89J2419 | 4,078,000 | 4,078,000 | 4,228,000 | 4,228,000 | 5.12% | |||||||||||
B: Qualifying Financial Instruments | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Expirationdate xiii | Exercise/Conversion Period xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted. | % of votingrights | ||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||
Type of financialinstrument | Exercise price | Expiration date xvii | Exercise/Conversion period xviii | Number of voting rights instrument refers to
| % of voting rights xix, xx
| |||||||||||
| Nominal | Delta | ||||||||||||||
Total (A+B+C) | ||||||||||||||||
Number of voting rights | Percentage of voting rights | |||||||||||||||
4,228,000 | 5.12% | |||||||||||||||
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi | ||
As of April 3, 2013, our total position is 5.12%. Specifically: FIT, Grandeur Peak Global Opportunities Fund owns 1,865,000 shares or 2.3% FIT, Grandeur Peak International Opportunities Fund owns 1,789,000 shares or 2.2% Grandeur Peak Global Opportunities, LP owns 574,000 shares or 0.7% | ||
Proxy Voting: | ||
10. Name of the proxy holder: | Grandeur Peak Global Advisors, LLC | |
11. Number of voting rights proxy holder will ceaseto hold: | 0 | |
12. Date on which proxy holder will cease to holdvoting rights: | Not applicable | |
13. Additional information: | Grandeur Peak Global Advisors 136 South Main Street, Suite 720 Salt Lake City, UT 84101 | |
14. Contact name: | Amy Hone, Vice President Trading & Operations | |
15. Contact telephone number: | 801-384-0007 | |
Note: Annex should only be submitted to the FSA not the issuer | |
Annex: Notification of major interests in share | |
A: Identity of the persons or legal entity subject to the notification obligation | |
Full name (including legal form of legal entities)
| |
Contact address (registered office for legal entities)
| |
Phone number & email
| |
Other useful information (at least legal representative for legal persons)
| |
B: Identity of the notifier, if applicable | |
Full name
| |
Contact address
| |
Phone number & email
| |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) | |
C: Additional information | |
For notes on how to complete form TR-1 please see the FSA website. |
Related Shares:
CLIN.L