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Regency Mines PLC (RGM)

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Friday 22 March, 2019

Regency Mines PLC

Holding(s) in Company

RNS Number : 6502T
Regency Mines PLC
22 March 2019
 

Regency Mines PLC

 

 

("Regency" or the "Company")

Holding(s) in the Company

22 March 2019

The Board of Regency Mines announces that the Company has received the following three TR-1 notifications, which are set out below without amendment.

For further information, please contact:

Scott Kaintz 0207 747 9960                                                        Director Regency Mines Plc

Roland Cornish/ Rosalind Hill Abrahams 0207 628 3396        NOMAD Beaumont Cornish Limited

Jason Robertson 0207 374 2212                                                Broker First Equity Limited

 

TR-1: Standard form for notification of major holdings

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

 

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

Regency Mines 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 obligationiv

Name

YA II PN, Ltd.

City and country of registered office (if applicable)

 

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

Name

Jarvis Investment Management Ltd

City and country of registered office (if applicable)

 

5. Date on which the threshold was crossed or reachedvi:

21 March 2019

     

 

 

 

6. Date on which issuer notified (DD/MM/YYYY): 21 March 2019

7. Total positions of person(s) subject to the notification obligation

 

% 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 issuervii

 

% of voting rights attached to shares (total of 8. A)

 

4.99%

974,546,919

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

4.99%

 

0.00%

 

Position of previous notification (if

applicable)

0.00%

 

 

 

           

 

 

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rightsix

% of voting rights

Ordinary Shares (GB00BYVT4J08)

48,646,452

 

4.99%

 

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. A

48,646,452

4.99%

 

 

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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

settlementxii

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) issuerxiii

 

 

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

 

Namexv

% 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

 

Yorkville Advisors Global II, LLC

4.99%

 

4.99%

 

Yorkville Advisors Global, LP

4.99%

 

4.99%

 

YA II PN, Ltd.

4.99%

 

4.99%

 

 

 

 

 

 

 

 

 

 

 

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 informationxvi

 

The Ordinary Shares are held by Jarvis Investment Management in CREST for the benefit of YA II PN, Ltd.

 

 

                           

 

Place of completion

Mountainside, New Jersey, USA

Date of completion

21 March 2019

 

 

 

TR-1: Standard form for notification of major holdings

 

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer in Microsoft Word format if pos- sible)i

 

1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are at- tachedii:

 

Regency Mines 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 obligationiv

Name

Riverfort Global Opportunities PCC Ltd

City and country of registered office (if applicable)

 

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

Name

Jarvis Investment Management Ltd

City and country of registered office (if applicable)

 

5. Date on which the threshold was crossed or reachedvi:

21 March 2019

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

21 March 2019

7. Total positions of person(s) subject to the notification obligation

 

% of voting rights at- tached to shares (to- tal of 8. A)

% of voting rights through financial instru- ments

(total of 8.B 1 + 8.B 2)

 

Total of both in % (8.A + 8.B)

Total number of voting rights of is- suervii

Resulting situation on the date on which

threshold was crossed or reached

 

4.99%

 

 

4.99%

 

974,546,919

Position of previous notification (if applicable)

 

0.00%

 

 

0.00%

 

             

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type of shares

ISIN code (if possible)

Number of voting rightsix

% 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 (GB00BYVT4J08)

48,646,452

 

4.99%

 

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. A

48,646,452

4.99%

 

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

 

Type of financial in- strument

 

Expiration datex

 

Exercise/ Conversion Periodxi

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 Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))

Type of financial instrument

Expiration datex

Exercise/ Conversion Pe-

riod xi

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) issuerxiii

 

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 entityxiv (please add additional rows as necessary)

 

X

 

 

Namexv

% of voting rights if it equals or is higher than the notifiable threshold

% of voting rights through financial in- struments if it equals or is higher than the

notifiable threshold

Total of both if it equals or is higher than the notifiable threshold

Riverfort Global Oppor- tunities PCC Ltd.

4.99%

 

4.99%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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 informationxvi

The Ordinary Shares are held by Jarvis Investment Management in CREST for the benefit of Riverfort Global Opportunities PCC Ltd.

         

 

Place of completion

London, United Kingdom

Date of completion

21 March 2019

 

 

TR-1: Standard 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 attachedii:

Regency Mines 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

X

Other (please specify)iii:

 

3. Details of person subject to the notification obligationiv

Name

Stephen Pearce

City and country of registered office (if applicable)

 

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

Name

Share Nominees Ltd

City and country of registered office (if applicable)

 

5. Date on which the threshold was crossed or reachedvi:

18/3/2019

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

21/3/2019

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 issuervii

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

12.03

0

12.03

974,546,919

Position of previous notification (if

applicable)

12.01

 

 

 

             

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rightsix

% of voting rights

 

 

117,199,528

 

12.03

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. A

 

 

 

 

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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

settlementxii

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) issuerxiii

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
xiv (please add additional rows as necessary)

 

Namexv

% 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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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 informationxvi

 

         

 

Place of completion

England

Date of completion

21/3/2019

 

 


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