For filings with the FCA include the annex |
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For filings with issuer exclude the annex |
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TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
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1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: ii |
Xtract Resources Plc |
2 Reason for the notification (please tick the appropriate box or boxes): |
An acquisition or disposal of voting rights |
X |
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached |
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An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
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An event changing the breakdown of voting rights |
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Other (please specify): |
Holding decreased below 10% threshold |
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3. Full name of person(s) subject to the
notification obligation: iii |
YA Global Master SPV, Ltd |
4. Full name of shareholder(s)
(if different from 3.):iv |
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5. Date of the transaction and date on
which the threshold is crossed or
reached: v |
December 2013 |
6. Date on which issuer notified: |
August 22, 2014 |
7. Threshold(s) that is/are crossed or
reached: vi, vii |
2.9% |
8. Notified details: |
A: Voting rights attached to shares viii, ix |
Class/type of
shares
if possible using
the ISIN CODE
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Situation previous
to the triggering
transaction |
Resulting situation after the triggering transaction |
Number
of
Shares |
Number
of
Voting
Rights |
Number
of shares |
Number of voting
rights |
% of voting rights x |
Direct |
Direct xi |
Indirect xii |
Direct |
Indirect |
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261,729,539 |
261,729,539 |
261,729,539 |
261,729,539 |
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7.3% |
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B: Qualifying Financial Instruments |
Resulting situation after the triggering transaction |
Type of financial
instrument |
Expiration
date xiii |
Exercise/
Conversion Period xiv |
Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted. |
% of voting
rights |
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C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi |
Resulting situation after the triggering transaction |
Type of financial
instrument |
Exercise price |
Expiration date xvii |
Exercise/
Conversion period xviii |
Number of voting rights instrument refers to |
% of voting rights xix, xx |
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Nominal |
Delta |
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Total (A+B+C) |
Number of voting rights |
Percentage of voting rights |
261,729,539 |
7.3% |
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi |
Directly owned by YA Global Master SPV, Ltd pursuant to the SEDA and Swap Agreements. |
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Proxy Voting: |
10. Name of the proxy holder: |
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11. Number of voting rights proxy holder will cease
to hold: |
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12. Date on which proxy holder will cease to hold
voting rights: |
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13. Additional information:
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14. Contact name: |
Steven Goldstein |
15. Contact telephone number: |
201-985-8300 |
Note: Annex should only be submitted to the FCA not the issuer |
Annex: Notification of major interests in share |
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A: Identity of the persons or legal entity subject to the notification obligation |
Full name (including legal form of legal entities) |
YA Global Master SPV, Ltd |
Contact address (registered office for legal entities) |
1012 Springfield Ave., Mountainside, NJ 07092 |
Phone number & email |
201-985-8300 |
Other useful information (at least legal representative for legal persons) |
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B: Identity of the notifier, if applicable |
Full name |
Steven S. Goldstein |
Contact address |
1012 Springfield Ave., Mountainside, NJ 07092 |
Phone number & email |
201-985-8300 & [email protected] |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) |
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C: Additional information |
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For notes on how to complete form TR-1 please see the FCA website. |
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