Holding(s) in Company
Hargreave Hale AIM 1
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi | |||||||
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1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: ii |
HARGREAVE HALE AIM VCT 1 PLC | ||||||
2 Reason for the notification (please tick the appropriate box or boxes): | |||||||
An acquisition or disposal of voting rights | Â | Â | |||||
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | Â | ||||||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | Â | ||||||
An event changing the breakdown of voting rights | Â | ||||||
Other: Due to a change in customer terms and conditions, from 1 January 2013, unless otherwise agreed with the client, Hargreave Hale no longer controls any voting rights for discretionary clients whose shares are not held in custody by Hargreave Hale. Several discretionary clients own shares in the above company which are not held in custody by Hargreave Hale resulting in a reduction in the voting rights controlled by Hargreave Hale. |
X |
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3. Full name of person(s) subject to the notification obligation: iii |
 | HARGREAVE HALE LIMITED | |||||
4. Full name of shareholder(s) (if different from 3.):iv |
DISCRETIONARY CLIENTS | ||||||
5. Date of the transaction and date on which the threshold is crossed or reached: v |
01 JANUARY 2013 | ||||||
6. Date on which issuer notified: | 02 JANUARY 2013 | ||||||
7. Threshold(s) that is/are crossed or reached: vi, vii |
5% |
8. Notified details: | ||||||||||||||||||||||||||||||||||
A: Voting rights attached to shares viii, ix | ||||||||||||||||||||||||||||||||||
Class/type of shares
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Situation previous to the triggering transaction |
 | Resulting situation after the triggering transaction | ||||||||||||||||||||||||||||||
Number of Shares |
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Number of Voting Rights |
Number of shares |
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Number of voting rights |
 | % of voting rights x | |||||||||||||||||||||||||||
Direct | Â | Indirect | Direct xi | Â | Indirect xii | Direct | Â | Indirect | ||||||||||||||||||||||||||
GB00B02WHS05 |
 1,659,156 |
 1,659,156 |
 | 312,052 |  | 312,052 |  | 1.2493% | ||||||||||||||||||||||||||
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B: Qualifying Financial Instruments | ||||||||||||||||||||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||||||||||||||||||||
Type of financial instrument |
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Expiration date xiii |
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Exercise/ Conversion Period xiv |
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Number of voting rights that may be acquired if the instrument is exercised/ converted. |
% of voting rights |
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C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||||||||||||||||||||||||||||||
Resulting situation after the triggering transaction | ||||||||||||||||||||||||||||||||||
Type of financial instrument |
Exercise price | Â | Expiration date xvii | Â |
Exercise/ Conversion period xviii |
 | Number of voting rights instrument refers to |  | % of voting rights xix, xx | |||||||||||||||||||||||||
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Nominal | Â | Delta | |||||||||||||||||||||||||||
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Total (A+B+C) | ||||||||||||||||||||||||||||||||||
Number of voting rights | Percentage of voting rights | |||||||||||||||||||||||||||||||||
312,052 | 1.2493% |
9. Chain of controlled undertakings through which the voting
rights and/or the financial instruments are effectively held, if applicable: xxi |
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Proxy Voting: | |||||
10. Name of the proxy holder: | Â | Â | |||
11. Number of voting rights proxy holder will cease to hold: |
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12. Date on which proxy holder will cease to hold voting rights: |
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13. Additional information: |
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14. Contact name: | David Clueit | ||||
15. Contact telephone number: | 01253 754739 |
Stuart Brookes
Company Secretary
Hargreave Hale AIM VCT 1 plc
01253 754740