TR1 Holding(s) in Company 2017 (7)
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E-mailSALEM, NH -- (Marketwired) -- 09/21/17 -- ProPhotonix Limited (OTC PINK: STKR) (AIM: PPIX)
TR-1: Standard form for notification of major holdings
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NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to
the FCA in Microsoft Word format if possible)i
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1a. Identity of the issuer or
the underlying issuer of existing
shares to which voting rights are PROPHOTONIX LIMITED
attachedii:
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1b. Please indicate if the issuer is a non-UK issuer (please mark with an
"X" if appropriate)
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Non-UK issuer X
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2. Reason for the notification (please mark the appropriate box or boxes
with an "X")
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An acquisition or disposal of voting rights X
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An acquisition or disposal of financial instruments
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An event changing the breakdown of voting rights
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Other (please specify)iii:
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3. Details of person subject to the notification obligationiv
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Name CANACCORD GENUITY GROUP INC
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City and country of registered
office (if applicable) VANCOUVER, CANADA
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4. Full name of shareholder(s) (if different from 3.)v
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Name DISCRETIONARY CLIENTS
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City and country of registered
office (if applicable)
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5. Date on which the threshold
was crossed or reachedvi: 18 SEPTEMBER 2017
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6. Date on which issuer
notified (DD/MM/YYYY): 20 SEPTEMBER 2017
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7. Total positions of person(s) subject to the notification obligation
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% of voting
% of voting rights through Total number
rights financial Total of of voting
attached to instruments both in % (8.Arights of
shares (total(total of 8.B 1 + 8.B) issuervii
of 8. A) + 8.B 2)
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Resulting
situation on the
date on which 5.4979% N/A 5.4979% 90,825,402
threshold was
crossed or reached
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Position of
previous
notification (if N/A N/A N/A
applicable)
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8. Notified details of the resulting situation on the date on which the
threshold was crossed or reachedviii
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A: Voting rights attached to shares
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Class/type
of
shares Number of voting rightsix % of voting rights
ISIN code (if
possible)
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Direct Indirect Direct Indirect
(Art 9 of Directive (Art 10 of (Art 9 of (Art 10 of
2004/109/EC) (DTR5.1) Directive Directive Directive
2004/109/EC) 2004/109/EC) 2004/109/EC)
(DTR5.2.1) (DTR5.1) (DTR5.2.1)
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USU743121142 4,993,492 5.4979%
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SUBTOTAL 8.
A 4,993,492 5.4979%
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))
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Number of
voting rights
that may be
Type of Exercise/ acquired if % of
financial Expiration Conversion Periodxi the instrumentvoting
instrument datex is rights
exercised/conv
erted.
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SUBTOTAL 8. B 1
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B 2: Financial Instruments with similar economic effect according to
Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
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Physical
Type of Exercise/or cash Number of % of
financial Expiration Conversion settlementxivoting rights voting
instrument datex Period xi i rights
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SUBTOTAL
8.B.2
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9. Information in relation to the person subject to the notification
obligation (please mark the
applicable box with an "X")
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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
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Full chain of controlled undertakings through which
the voting rights and/or the
financial instruments are effectively held starting X
with the ultimate controlling natural person or legal
entityxiv (please add additional rows as necessary)
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% of voting rights
% of voting rights through financial Total of both if it
if it equals or is instruments if it equals or is higher
Namexv higher than the equals or is higher than the notifiable
notifiable threshold than the notifiable threshold
threshold
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Canaccord
Genuity 5.4979% 5.4979%
Group Inc.
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Canaccord
Genuity
Wealth 5.4979% 5.4979%
Group
Holdings
Limited
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Canaccord
Genuity
Wealth
Group 5.4979% 5.4979%
Holdings
(Jersey)
Limited
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Hargreave
Hale 5.4979% 5.4979%
Limited
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[1] Each company set out in this table is ultimately owned by Canaccord
Genuity Group Inc.
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10. In case of proxy voting, please identify:
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Name of the proxy holder
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The number and % of voting
rights held
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The date until which the
voting rights will be held
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11. Additional informationxvi
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This disclosable event is as a result of the acquisition of Hargreave Hale
Limited by Canaccord Genuity Group Inc., through its wholly-owned subsidiary
Canaccord Genuity Wealth Group Holdings (Jersey) Limited.
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Place of completion London
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Date of completion 21 September 2017
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Contacts: RNS Customer Services 0044-207797-4400 [email protected] http://www.rns.com
Source: ProPhotonix Limited
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