TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
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1. Identity of the issuer or the underlying issuer |
Polar Capital Global Financials Trust PLC |
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2 Reason for the notification (please tick the appropriate box or boxes): |
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An acquisition or disposal of voting rights |
yes |
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An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached |
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An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
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An event changing the breakdown of voting rights |
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Other (please specify): |
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3. Full name of person(s) subject to the |
1607 Capital Partners, LLC |
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4. Full name of shareholder(s) |
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5. Date of the transaction and date on |
March 18, 2016 |
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6. Date on which issuer notified: |
March 21, 2016 |
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7. Threshold(s) that is/are crossed or |
5% |
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8. Notified details: |
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A: Voting rights attached to shares |
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Class/type of
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Situation previous |
Resulting situation after the triggering transaction |
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Number |
Number |
Number |
Number of voting |
% of voting rights x |
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Direct |
Direct xi |
Indirect xii |
Direct |
Indirect |
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GB00B9XQT119 |
8,421,956 |
8,421,956 |
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8,871,956 |
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5.13% |
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B: Qualifying Financial Instruments |
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Resulting situation after the triggering transaction |
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Type of financial |
Expiration |
Exercise/ |
Number of voting |
% of voting |
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C: Financial Instruments with similar economic effect to Qualifying Financial Instruments |
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Resulting situation after the triggering transaction |
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Type of financial |
Exercise price |
Expiration date |
Exercise/ |
Number of voting rights instrument refers to
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% of voting rights
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Nominal |
Delta |
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Total (A+B+C) |
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Number of voting rights |
Percentage of voting rights |
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Same as A |
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9. Chain of controlled undertakings through which the voting rights and/or the |
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Proxy Voting: |
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10. Name of the proxy holder: |
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11. Number of voting rights proxy holder will cease |
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12. Date on which proxy holder will cease to hold |
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14. Contact name: |
Bryan Huntley, CCO |
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15. Contact telephone number: |
804-525-1741 |
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Note: Annex should only be submitted to the FSA not the issuer |
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Annex: Notification of major interests in share |
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A: Identity of the persons or legal entity subject to the notification obligation |
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Full name (including legal form of legal entities)
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1607 Capital Partners, LLC |
Contact address (registered office for legal entities)
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13 S. 13th St. Suite 400 Richmond, VA 23219 |
Phone number & email
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804-525-1741 |
Other useful information (at least legal representative for legal persons)
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B: Identity of the notifier, if applicable |
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Full name
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Bryan Huntley |
Contact address
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Same as above |
Phone number & email
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Same as above |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) |
Chief Compliance Officer
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C: Additional information |
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For notes on how to complete form TR-1 please see the FSA website. |