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| Date | 21 Feb 2024 |
| Time | 15:54:38 |
| Category | Holding(s) in company |
| ID | 9868D |
TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
GG00BKTRRM22
Issuer Name
RTW BIOTECH OPPORTUNITIES LTD
UK or Non-UK Issuer
Non-UK
2. Reason for Notification
Other
Comments
As a result of the recent issuance of new ordinary shares of RTW Biotech Opportunities Ltd ("RTW"), Roderick Wong's interest in RTW has been diluted to 7.6140% which triggers the notification threshold.
3. Details of person subject to the notification obligation
Name
Roderick Wong
City of registered office (if applicable)
New York
Country of registered office (if applicable)
United States
4. Details of the shareholder
Full name of shareholder(s) if different from the person(s) subject to the notification obligation, above
PGGL Family Trust LLC, Wong Gift Trust 2019, and RTW Fund Group GP LLC
City of registered office (if applicable)
New York (for all three holders)
Country of registered office (if applicable)
United States (for all three holders)
5. Date on which the threshold was crossed or reached
13-Feb-2024
6. Date on which Issuer notified
21-Feb-2024
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 held in issuer |
|
|
Resulting situation on the date on which threshold was crossed or reached |
7.6140 |
0.000000 |
7.6140 |
29,693,872 |
|
Position of previous notification (if applicable) |
|
|
|
|
8. Notified details of the resulting situation on the date on which the threshold was crossed or reached
8A. Voting rights attached to shares
|
Class/Type of shares ISIN code(if possible) |
Number of direct voting rights (DTR5.1) |
Number of indirect voting rights (DTR5.2.1) |
% of direct voting rights (DTR5.1) |
% of indirect voting rights (DTR5.2.1) |
|
GG00BKTRRM22 |
29,693,872 |
|
7.6140 |
|
|
Sub Total 8.A |
29,693,872 |
7.6140% |
||
8B1. Financial Instruments according to (DTR5.3.1R.(1) (a))
|
Type of financial instrument |
Expiration date |
Exercise/conversion period |
Number of voting rights that may be acquired if the instrument is exercised/converted |
% of voting rights |
|
|
|
|
|
|
|
Sub Total 8.B1 |
|
|
|
|
8B2. Financial Instruments with similar economic effect according to (DTR5.3.1R.(1) (b))
|
Type of financial instrument |
Expiration date |
Exercise/conversion period |
Physical or cash settlement |
Number of voting rights |
% of voting rights |
|
|
|
|
|
|
|
|
Sub Total 8.B2 |
|
|
|
||
9. Information in relation to the person subject to the notification obligation
2. 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 entities (please add additional rows as necessary)
|
Ultimate controlling person |
Name of controlled undertaking |
% 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 |
|
Roderick Wong |
PGGL Family Trust LLC |
7.5263% |
|
7.5263% |
|
Roderick Wong |
Wong Gift Trust 2019
|
0.0585% |
|
0.0585% |
|
Roderick Wong |
RTW Fund Group GP LLC |
0.0292% |
|
0.0292% |
10. In case of proxy voting
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
The last notification was submitted to the FCA and the issuer on 10/11/2020 via email. Where Roderick Wong's interest in RTW Venture Fund Limited (now known as RTW Biotech Opportunities Ltd) was 24,814,619 shares or 13.21%.
As a result of the recent issuance of new ordinary shares of RTW Biotech Opportunities Ltd ("RTW"), Roderick Wong's interest in RTW has been diluted to 7.6140% which triggers the notification threshold.
12. Date of Completion
21-Feb-2024
13. Place Of Completion
United Kingdom