DSM: Holding(s) in Company

DSM: Holding(s) in Company

Downing Strategic Micro-Cap Investment Trust Plc (the "Company")
LEI: 213800QMYPUW4POFFX69
Notification of major holdings
17 May 2022

Downing Strategic Micro-Cap Investment Trust plc has recently received three TR-1 notifications from EQ Investors Limited dating back to 2020 which had not been previously received by the Company.

For completeness, the notifications are set out below. They have since been superseded by the notification and announcement made on 11 May 2022.

1. 9 Jan 2020

NOTIFICATION OF MAJOR HOLDINGS
 
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached ii : DOWNING STRATEGIC MICRO-CAP INVESTMENT TRUST PLC
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 EQ INVESTORS LIMITED
City and country of registered office (if applicable) London, United Kingdom
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 crossed or reached vi : 9/1/20
6. Date on which issuer notified (DD/MM/YYYY) : 22/1/20 (13/5/2022 Received)
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 held in issuer (8.A + 8.B) vii
Resulting situation on the date on which threshold was crossed or reached 12.98%   12.98% 7,118,632
Position of previous notification (if
applicable)
14.13%   14.13%  

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
shares
ISIN code (if possible)

Number of voting rights ix % of voting rights
Direct
(DTR5.1)
Indirect
(DTR5.2.1)
Direct
(DTR5.1)
Indirect
(DTR5.2.1)
ORD £0.001
(GB00BF0SCX52)
7,118,632   12.98%  
         
         
SUBTOTAL 8. A 7,118,632 12.98%
 
B 1: Financial Instruments according to DTR5.3.1 R ( 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
exer cised/ converted.
% of voting rights
         
         
         
    SUBTOTAL 8. B 1    
 
B 2: Financial Instruments with similar economic effect according to DTR5.3.1 R ( 1 ) (b)
Type of financial instrument Expiration
date x
Exercise/
Conversion Period x i
Physical or cash
S ettlement 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) issuer xiii X
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 (please add additional rows as necessary) xiv
 
Name xv % 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
EQ INVESTORS LTD 12.98%   12.98%
       
       
       
       
 
10 . In case of proxy voting, please identify:
Name of the proxy holder  
The number and % of voting rights held  
The date until which the voting rights will be held  
 
1 1 . Additional information xvi
 
Place of completion London
Date of completion 22/1/2020

2. 9 Apr 2021

NOTIFICATION OF MAJOR HOLDINGS
 
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached ii : DOWNING STRATEGIC MICRO-CAP INVESTMENT TRUST PLC
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 EQ INVESTORS LIMITED
City and country of registered office (if applicable) London, United Kingdom
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 crossed or reached vi : 9/4/2021
6. Date on which issuer notified (DD/MM/YYYY): 9/4/2021 (13/5/2022 Received)
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 held in issuer (8.A + 8.B) vii
Resulting situation on the date on which threshold was crossed or reached 11.70%   11.70% 6,170,439
Position of previous notification (if
applicable)
12.98%   12.98%  

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
shares
ISIN code (if possible)

Number of voting rights ix % of voting rights
Direct
(DTR5.1)
Indirect
(DTR5.2.1)
Direct
(DTR5.1)
Indirect
(DTR5.2.1)
ORD £0.001
(GB00BF0SCX52)
6,170,439   11.70%  
         
         
SUBTOTAL 8. A 6,170,439 11.70%
 
B 1: Financial Instruments according to DTR5.3.1R (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 DTR5.3.1R (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) issuer xiii X
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 (please add additional rows as necessary) xiv
 
Name xv % 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
EQ INVESTORS LTD 11.70%   11.70%
       
       
       
       
 
10. In case of proxy voting, please identify:
Name of the proxy holder  
The number and % of voting rights held  
The date until which the voting rights will be held  
 
11. Additional information xvi
 
Place of completion London
Date of completion 9/4/2021

3. 24 Nov 2021

NOTIFICATION OF MAJOR HOLDINGS
 
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached ii : DOWNING STRATEGIC MICRO-CAP INVESTMENT TRUST PLC
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 EQ INVESTORS LIMITED
City and country of registered office (if applicable) London, United Kingdom
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 crossed or reached vi : 24/11/21
6. Date on which issuer notified (DD/MM/YYYY): 10/5/2021 (13/5/2022 Received)
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 held in issuer (8.A + 8.B) vii
Resulting situation on the date on which threshold was crossed or reached 10.29%   10.29% 5,256,773
Position of previous notification (if
applicable)
11.70%   11.70%  

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
shares
ISIN code (if possible)

Number of voting rights ix % of voting rights
Direct
(DTR5.1)
Indirect
(DTR5.2.1)
Direct
(DTR5.1)
Indirect
(DTR5.2.1)
ORD £0.001
(GB00BF0SCX52)
5,256,773   10.29%  
         
         
SUBTOTAL 8. A 5,256,773 10.29%
 
B 1: Financial Instruments according to DTR5.3.1R (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 DTR5.3.1R (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) issuer xiii X
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 (please add additional rows as necessary) xiv
 
Name xv % 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
EQ INVESTORS LTD 10.29%   10.29%
       
       
       
       
 
10. In case of proxy voting, please identify:
Name of the proxy holder  
The number and % of voting rights held  
The date until which the voting rights will be held  
 
11. Additional information xvi
Following an internal audit, identified that this release was not originally sent hence resubmitting.
Place of completion London
Date of completion 24/11/2021


UK 100

Latest directors dealings