Key Takeaway: TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS 1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached ii : SUMMIT THERAPEUTICS PLC 1b. Please indicate if the issuer is a non-UK issuer (ple
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TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached ii :
SUMMIT THERAPEUTICS 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
CANACCORD GENUITY GROUP INC
City and country of registered office (if applicable)
VANCOUVER, CANADA
4. Full name of shareholder(s) (if different from 3.) v
Name
DISCRETIONARY CLIENTS
City and country of registered office (if applicable)
5. Date on which the threshold was crossed or reached vi :
18 SEPTEMBER 2017
6. Date on which issuer notified (DD/MM/YYYY):
21 SEPTEMBER 2017
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
4.1548%
N/A
4.1548%
70,316,908
Position of previous notification (if applicable)
N/A
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)
GB00BN40HZ01
2,921,500
4.1548%
SUBTOTAL 8. A
2,921,500
4.1548%
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 settlement xii
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) 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
Canaccord Genuity Group Inc. [1]
4.1548%
4.1548%
Canaccord Genuity Wealth Group Holdings Limited
4.1548%
4.1548%
Canaccord Genuity Wealth Group Holdings (Jersey) Limited
4.1548%
4.1548%
Hargreave Hale Limited
4.1548%
4.1548%
[1] Each company set out in this table is ultimately owned by Canaccord Genuity Group Inc.
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 information xvi
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.