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Alpha FX Group PLC (AFX)

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Wednesday 16 September, 2020

Alpha FX Group PLC

Holding(s) in Company

RNS Number : 1704Z
Alpha FX Group PLC
16 September 2020
 

TR-1: S tandard form for notification of major holdings

 

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible) i


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

Alpha FX Group 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

Kabouter Management LLC

City and country of registered office (if applicable)

Chicago, United States

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

Name

Kabouter Fund I (QP), LLC

Kabouter Fund II, LLC

Kabouter Fund III, LLC

City and country of registered office (if applicable)

Chicago, United States

5. Date on which the threshold was crossed or reached vi :

10 September 2020

6. Date on which issuer notified (DD/MM/YYYY):

15 September 2020



 

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 of issuer vii

Resulting situation on the date on which threshold was crossed or reached

3.54

-

3.54

40,123,568

Position of previous notification (if

applicable)

N/A

-

N/A


 

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

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

Ordinary shares

ISIN: GB00BF1TM596


1,421,817


3.54











SUBTOTAL 8. A

1,421,817

3.54

 

 

B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (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

N.A.

















SUBTOTAL 8. B 1



 

 

 

B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))

Type of financial instrument

Expiration
date
x

Exercise/
Conversion Period
xi

Physical or cash

settlement xii

Number of voting rights

% of voting rights

N.A.





















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


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
xiv (please add additional rows as necessary)

X

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

Peter Zaldivar




Kabouter Holdings Inc.




Kabouter Management, LLC




Kabouter Fund I (QP), LLC








Peter Zaldivar




Kabouter Holdings Inc.




Kabouter Management, LLC




Kabouter Fund II, LLC








Peter Zaldivar




Kabouter Holdings Inc.




Kabouter Management, LLC




Kabouter Fund III, LLC





10. In case of proxy voting, please identify:

Name of the proxy holder

N.A.

The number and % of voting rights held

N.A.

The date until which the voting rights will be held

N.A.


11. Additional information xvi

Peter Zaldivar is the majority stockholder in Kabouter Holdings Inc., which is the holding company of Kabouter Management LLC.  Kabouter Management LLC acts as the investment adviser to Kabouter Fund I (QP), LLC, Kabouter Fund II, LLC, and Kabouter Fund III, LLC.

 

Place of completion

Chicago, United States

Date of completion

15 September 2020

 

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