SOURCE: ProPhotonix Limited

September 01, 2017 10:36 ET

ProPhotonix Limited: TR-1 Holding(s) in Company 2017 (3)

SALEM, NH--(Marketwired - Sep 1, 2017) - ProPhotonix Limited (OTC PINK: STKR) (AIM: PPIX)

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:     ProPhotonix Limited
  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    
  Other (please specify)iii:    
  3. Details of person subject to the notification obligationiv
  Name     Herald Investment Management Limited
  City and country of registered office (if applicable)     10-11 Charterhouse Square, London EC1M6EE
  4. Full name of shareholder(s) (if different from 3.)v
  Name     Discretionary investment management clients of Herald Investment Management Limited
  City and country of registered office (if applicable)    
  5. Date on which the threshold was crossed or reachedvi:     31/08/2017
  6. Date on which issuer notified (DD/MM/YYYY):     01/09/2017
  7. Total positions of person(s) subject to the notification obligation
      % of voting rights attached to shares (total of 8. A)     % of voting rights through financial instruments
(total of 8.B 1 + 8.B 2)
    Total of both in % (8.A + 8.B)     Total number of voting rights of issuervii
  Resulting situation on the date on which threshold was crossed or reached     5.50%     Nil     5.50%     90,825,402
  Position of previous notification (if
applicable)
    N/A     N/A     N/A    
                 
  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
shares
ISIN code (if possible)
    Number of voting rightsix     % of voting rights
  Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
    Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
    Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
    Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

  USU743121142
        4,993,492         5.50%
                 
                 
  SUBTOTAL 8. A     4,993,492     5.50%
 
  B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
  Type of financial instrument     Expiration
date
x
    Exercise/
Conversion Period
xi
    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 Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
  Type of financial instrument     Expiration
date
x
    Exercise/
Conversion Period
xi
    Physical or cash
settlement
xii
    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     N/A
  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)
    N/A
  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
             
             
             
             
             
 
  10. In case of proxy voting, please identify:
  Name of the proxy holder     N/A
  The number and % of voting rights held     N/A
  The date until which the voting rights will be held     N/A
 
  11. Additional informationxvi
 
             
Place of completion   10-11 Charterhouse Square, London EC1M 6EE
Date of completion   31/08/17
Annex: Notification of major holdings (to be filed with the FCA only)
 
A: Identity of the person subject to the notification obligation
Full name (including legal form for legal entities)   Herald Investment Management Limited
Contact address (registered office for legal entities)   10-11 Charterhouse Square, London EC1M 6EE
E-Mail   am@heralduk.com
Phone number / Fax number   020 7553 6300
Other useful information
(at least legal representative for legal persons)
  Contact: Andrew Miller
     
B: Identity of the notifier, if applicable
Full name    
Contact address    
E-Mail    
Phone number / Fax number    
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation)    
 
C: Additional information
 
     

Please send the completed form together with this annex to the FCA at the following email
address: Majorshareholdings@fca.org.uk. Please send in Microsoft Word format if possible.

Contact Information