Holding(s) in Company
Standard Form TR-1
Voting rights attached to shares- Article 12(1) of directive
2004/109/EC
Financial instruments - Article 11(3) of the Commission Directive
2007/14/EC[i]
1. Identity of the issuer or the underlying issuer of
existing shares to which voting rights are attached [ii]:
EcoSecurities Group plc
2. Reason for the notification (please tick the appropriate
box or boxes):
[ x] an acquisition or disposal of voting rights
[ ] an acquisition or disposal of financial instruments which
may result in the acquisition of shares already issued to which
voting rights are attached
[ ] an event changing the breakdown of voting rights: Correction
to Issued Share Capital
3. Full name of person(s) subject to the notification
obligation[iii]:
Swiss Life (Lichtenstein) AG, policy no 0002268001
In Der Specki 3
9494 Schaan
Lichtenstein
4. Full name of shareholder(s) (if different from 3.)[iv]:
5. Date of the transaction and date on which the threshold is
crossed or reached[v]:
1 June 2009
6. Date on which issuer notified;
4 June 2009
7. Threshold(s) that is/are crossed or reached:
+ 3 %
8. Notified details:
+----------------------------------------------------------------------------------------------------+
|A) Voting rights attached to shares |
|----------------------------------------------------------------------------------------------------|
|Class/type of |Situation previous to the |Resulting situation after the triggering transaction[vii]|
|shares (if |Triggering transaction [vi]| |
|possible using|---------------------------+---------------------------------------------------------|
|the ISIN CODE)|Number of |Number of |Number of |Number of voting |% of voting rights |
| |Shares[viii] |Voting |shares[x] |rights[xi] | |
| | |rights[ix] |-----------+------------------------+--------------------|
| | | |Direct |Direct |Indirect[xii] |Direct |Indirect |
| | | | | | | | |
|--------------+--------------+------------+-----------+---------+--------------+---------+----------|
|IE00B0PR8X46 | | |3800000 |3800000 |NIL |3.21 |NIL |
|--------------+--------------+------------+-----------+---------+--------------+---------+----------|
| | | | | | | | |
|--------------+--------------+------------+-----------+------------------------+--------------------|
|SUBTOTAL A | | |3 800 000 |3800000 |3.21 |
|(based on | | | | | |
|aggregate | | | | | |
|voting rights)| | | | | |
+----------------------------------------------------------------------------------------------------+
+-------------------------------------------------------------------------------+
|B) Financial Instruments |
|-------------------------------------------------------------------------------|
|Resulting situation after the triggering transaction[xiii] |
|-------------------------------------------------------------------------------|
|Type of |Expiration|Exercise/Conversion |Number of voting rights that |% of |
|financial |Date[xiv] |Period/ Date[xv] |may be acquired if the |voting|
|instrument| | |instrument is |rights|
| | | |exercised/converted | |
|----------+----------+--------------------+-----------------------------+------|
| | | | | |
|----------+----------+--------------------+-----------------------------+------|
| | | | | |
|---------------------+--------------------+-----------------------------+------|
| |SUBTOTAL B (in | | |
| |relation to all | | |
| |expiration dates) | | |
+-------------------------------------------------------------------------------+
+------------------------------------------------------------+
| Total (A+B) | number of voting rights | % of voting rights |
|-------------+-------------------------+--------------------|
| 3800000 | 3800000 | 3.21 |
+------------------------------------------------------------+
9. Chain of controlled undertakings through which the voting
rights and/or the financial instruments are effectively held, if
applicable[xvi]:
10. In case of proxy voting: [name of the proxy holder] will
cease to hold [number] voting rights as of [date].
11. Additional information:
Annex to the standard form TR-1 [xvii]
a) Identity of the person or legal entity subject to the
notification obligation:
Full name (including legal form for Niclas Eriksson
legal entities) (contactperson)
Contact address (registered office for Box 53144, 400 15 Gothenburg,
legal entities) Sweden
Phone number 0046-705 134624
Other useful information (at least
legal representative for legal
persons)
b) Identity of the notifier, if applicable[xviii]:
Full name .....................................................................
Contact .....................................................................
address .....................................................................
Phone number .....................................................................
Other useful
information
(e.g.
functional
relationship
with the
person or
legal entity
subject to
the
notification
obligation)
c) Additional information
Notes to Form TR-1
[i] This form is to be sent to the issuer or underlying
issuer and to be filed with the competent authority.
[ii] Either the full name of the legal entity or
another method for identifying the issuer or underlying issuer,
provided it is reliable and accurate.
[iii] This should be the full name of (a) the
shareholder; (b) the natural person or legal entity acquiring,
disposing of or exercising voting rights in the cases provided for in
Article 10 (b) to (h) of Directive 2004/109/EC; (c) all the parties
to the agreement referred to in Article 10 (a) of that Directive, or
(d) the holder of financial instruments entitled to acquire shares
already issued to which voting rights are attached, as appropriate.
In relation to the transactions referred to in points (b) to (h) of
Article 10 of that Directive, the following list is provided as
indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of
Article 10 of that Directive, the natural person or legal entity that
acquires the voting rights and is entitled to exercise them under the
agreement and the natural person or legal entity who is transferring
temporarily for consideration the voting rights;
- in the circumstances foreseen in letter (c) of
Article 10 of that Directive, the natural person or legal entity
holding the collateral, provided the person or entity controls the
voting rights and declares its intention of exercising them, and
natural person or legal entity lodging the collateral under these
conditions;
- in the circumstances foreseen in letter (d) of
Article 10 of that Directive, the natural person or legal entity who
has a life interest in shares if that person or entity is entitled to
exercise the voting rights attached to the shares and the natural
person or legal entity who is disposing of the voting rights when the
life interest is created;
- in the circumstances foreseen in letter (e) of
Article 10 of that Directive, the controlling natural person or legal
entity and, provided it has a notification duty at an individual
level under Article 9, under letters (a) to (d) of Article 10 of that
Directive or under a combination of any of those situations, the
controlled undertaking;
- in the circumstances foreseen in letter (f) of
Article 10 of that Directive, the deposit taker of the shares, if he
can exercise the voting rights attached to the shares deposited with
him at his discretion, and the depositor of the shares allowing the
deposit taker to exercise the voting rights at his discretion;
- in the circumstances foreseen in letter (g) of
Article 10 of that Directive, the natural person or legal entity that
controls the voting rights;
- in the circumstances foreseen in letter (h) of
Article 10 of that Directive, the proxy holder, if he can exercise
the voting rights at his discretion, and the shareholder who has
given his proxy to the proxy holder allowing the latter to exercise
the voting rights at his discretion.
[iv] Applicable in the cases provided for in Article 10
(b) to (h) of Directive 2004/109/EC. This should be the full name of
the shareholder who is the counterparty to the natural person or
legal entity referred to in Article 10 of that Directive unless the
holdings of the shareholder would be lower than 5% of the total
number of voting rights.
[v] The date of the transaction should normally be, in
the case of an on exchange transaction, the date on which the
matching of orders occurs; in the case of an off exchange
transaction, date of the entering into an agreement.
The date on which threshold is crossed should normally be the date on
which the acquisition, disposal or possibility to exercise voting
rights takes effect. For passive crossings, the date when the
corporate event took effect.
[vi] Please refer to the situation disclosed in the
previous notification. In case the situation previous to the
triggering transaction was below 3%, please state "below 3%".
[vii] If the holding has fallen below the minimum
threshold, the notifying party should not be obliged to disclose the
extent of the holding, only that the new holding is below 3%.
For the case provided for in Article 10(a) of Directive 2004/109/EC,
there should be no disclosure of individual holdings per party to the
agreement unless a party individually crosses or reaches an Article 9
threshold. This applies upon entering into, introducing changes to or
terminating an agreement.
[viii] To be used in Member States where applicable.
[ix] Direct and indirect.
[x] To be used in Member States where applicable.
[xi] In case of combined holdings of shares with voting
rights attached "direct holding" and voting rights "indirect
holding", please split the voting rights number and percentage into
the direct and indirect columns - if there is no combined holdings,
please leave the relevant box blank.
[xii] Voting rights held by the notifying party
independently of any holding of shares (Article 10 of Directive
2004/109/EC).
[xiii] If the holding has fallen below the minimum
threshold, the notifying party should not be obliged to disclose the
extent of the holding, only that the new holding is below 3%.
[xiv] Date of maturity/expiration of the financial
instrument i.e. the date when right to acquire shares ends.
[xv] If the financial instrument has such a period -
please specify this period - for example once every 3 months starting
from [date].
[xvi] The notification should include the name(s) of the
controlled undertakings through which the voting rights are held. The
notification should also include the amount of voting rights and the
percentage held by each controlled undertaking, insofar as
individually the controlled undertaking holds 3% or more, and insofar
as the notification by the parent undertaking is intended to cover
the notification obligations of the controlled undertaking.
[xvii] This annex is only to be filed with the competent
authority.
[xviii] Whenever another person makes the notification on
behalf of the shareholder or the natural person/legal entity
referred to in Articles 10 and 13 of Directive 2004/109/EC
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