TIDMDDDD

RNS Number : 8165K

4d Pharma PLC

24 April 2020

TR-1: S tandard form for notification of major holdings

 
 NOTIFICATION OF MAJOR HOLDINGS 
 
 1a. Identity of the issuer or the                                             4D Pharma Plc 
  underlying issuer of existing shares 
  to which voting rights are attached 
  (ii) : 
                                                         --------------------------------------------------------- 
 1b. Please indicate if the issuer is a non-UK issuer (please mark with 
  an "X" if appropriate) 
 Non-UK issuer 
                                                                                                ------------------ 
 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 
                                                                                                ------------------ 
 Other (please specify)(iii) : 
                                                                                                ------------------ 
 3. Details of person subject to the notification obligation (iv) 
 Name                                                     Richard Griffiths and controlled 
                                                           undertakings 
 City and country of registered office                    St Helier, Jersey 
  (if applicable) 
 4. Full name of shareholder(s) (if different from 3) (v) 
 Name 
                                                         --------------------------------------------------------- 
 City and country of registered office 
  (if applicable) 
                                                         --------------------------------------------------------- 
 5. Date on which the threshold was                       22 April 2020 
  crossed or reached (vi) : 
                                                         --------------------------------------------------------- 
 6. Date on which issuer notified (DD/MM/YYYY):           24 April 2020 
                                                         --------------------------------------------------------- 
 7. Total positions of person(s) subject to the notification obligation 
                                      % of voting         % of voting rights    Total of both    Total number 
                                     rights attached      through financial      in % (8.A +      of voting rights 
                                    to shares (total         instruments             8.B)         of issuer (vii) 
                                        of 8. A)            (total of 8.B 
                                                              1 + 8.B 2) 
                                -----------------------  -------------------  ----------------  ------------------ 
 Resulting situation 
  on the date 
  on which threshold 
  was crossed 
  or reached                             8.91%                  0.00%               8.91%           109,493,842 
                                -----------------------  -------------------  ----------------  ------------------ 
 Position of 
  previous notification 
  (if 
  applicable)                            15.03%                 0.00%              15.03% 
                                -----------------------  -------------------  ----------------  ------------------ 
 
 
 
 8. Notified details of the resulting situation on the date on which 
  the threshold was crossed or reached (viii) 
 A: Voting rights attached to shares 
 Class/type of               Number of voting rights                                % of voting rights 
  shares                               (ix) 
  ISIN code (if 
  possible) 
                          Direct                Indirect                      Direct                       Indirect 
                    (Art 9 of Directive   (Art 10 of Directive          (Art 9 of Directive          (Art 10 of Directive 
                       2004/109/EC)           2004/109/EC)             2004/109/EC) (DTR5.1)             2004/109/EC) 
                         (DTR5.1)              (DTR5.2.1)                                                 (DTR5.2.1) 
                                         --------------------- 
 Ordinary 
  GB00BJL5BR07           9,753,242               0.00%                         8.91%                        0.00% 
                   --------------------  ---------------------  ----------------------------------  --------------------- 
 
 
 SUBTOTAL 8. A                      9,753,242                                             8.91% 
                   -------------------------------------------  --------------------------------------------------------- 
 
 B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC 
  (DTR5.3.1.1 (a)) 
 Type of            Expiration            Exercise/              Number of voting                    % of voting 
  financial          date                  Conversion Period      rights that may                     rights 
  instrument         (x)                   (xi)                   be acquired if 
                                                                  the instrument 
                                                                  is 
                                                                  exercised/converted. 
                   --------------------  ---------------------  ----------------------------------  --------------------- 
 
 
 
                                          SUBTOTAL 8. B 1 
                                         ---------------------  ----------------------------------  --------------------- 
 
 B 2: Financial Instruments with similar economic effect according to 
  Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) 
 Type of           Expiration             Exercise/              Physical or      Number of          % of voting 
  financial         date (x)              Conversion              cash             voting rights      rights 
  instrument                              Period (xi)             settlement 
                                                                  (xii) 
                  ---------------------  ---------------------  ---------------  ----------------- 
 
 
 
                                                                 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) issuer (xiii) 
 Full chain of controlled undertakings through which the voting rights                    X 
  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) 
             Name (xv)                  % of voting       % of voting rights        Total of both 
                                        rights if it       through financial         if it equals 
                                        equals or is         instruments if          or is higher 
                                        higher than           it equals or        than the notifiable 
                                       the notifiable        is higher than            threshold 
                                         threshold           the notifiable 
                                                               threshold 
                                    ------------------  ----------------------  --------------------- 
 Richard Griffiths                         0.46%                                        0.46% 
                                    ------------------  ----------------------  --------------------- 
 Adams Plc                                 0.14%                                        0.14% 
                                    ------------------  ----------------------  --------------------- 
 Sarossa Plc                               1.46%                                        1.46% 
                                    ------------------  ----------------------  --------------------- 
 Serendipity Capital Limited               4.20%                                        4.20% 
                                    ------------------  ----------------------  --------------------- 
 Cream Capital Limited                     2.65%                                        2.65% 
                                    ------------------  ----------------------  --------------------- 
 Total                                     8.91%                                        8.91% 
                                    ------------------  ----------------------  --------------------- 
 
 10. In case of proxy voting, please identify: 
 Name of the proxy holder                                NA 
                                                        --------------------------------------------- 
 The number and % of voting rights held                  NA 
                                                        --------------------------------------------- 
 The date until which the voting rights will             NA 
  be held 
                                                        --------------------------------------------- 
 
 11. Additional information (xvi) 
 
 
 
 
 Place of completion   St Helier, Jersey 
 Date of completion    24 April 2020 
                      ------------------ 
 

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