Holding(s) in Company

RNS Number : 4625S
Graphite Enterprise Trust PLC
21 November 2011
 



 

TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES



1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached:
ii

Graphite Enterprise Trust 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 the
notification obligation:
iii

Red Rocks Capital LLC

4. Full name of shareholder(s)
 (if different from 3.):iv

ALPS/Red Rocks Listed Private Equity Fund

JNL/Red Rocks Listed Private Equity Fund

5. Date of the transaction and date on
which the threshold is crossed or
reached:
v

November 18, 2011

6. Date on which issuer notified:

November 18, 2011

7. Threshold(s) that is/are crossed or
reached:
vi, vii

The 5% threshold was crossed



 

8. Notified details:

A: Voting rights attached to shares viii, ix

Class/type of
shares


if possible using
the ISIN CODE

Situation previous
to the triggering
transaction

Resulting situation after the triggering transaction

Number
of
Shares

Number
of
Voting
Rights

Number
of shares

Number of voting
rights

% of  voting rights x

Direct

Direct xi

Indirect xii

Direct

Indirect

GB0003292009

3,644,308

3,644,308

3,658,087


3,658,087


5%



B: Qualifying Financial Instruments

Resulting situation after the triggering transaction

Type of financial
instrument

Expiration
date
xiii

Exercise/
Conversion Period
xiv

Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.

% of voting
rights







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

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

3,658,087

5%



 

9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
xxi

 

 


Proxy Voting:

10. Name of the proxy holder:

Red Rocks Capital LLC

11. Number of voting rights proxy holder will cease
to hold:

N/A

12. Date on which proxy holder will cease to hold
voting rights:

N/A



13. Additional information:


The reporting threshold has been reached for Red Rocks Capital (RRC), a Registered Investment Advisor, registered with SEC.

 None of the RRC client accounts have individually reached the reporting threshold.

14. Contact name:

Matthew R. Luoma

15. Contact telephone number:

 

+1 303.679.8252

 



This information is provided by RNS
The company news service from the London Stock Exchange
 
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