TR-1: Notification of Major Holdings

RNS Number : 3453T

Water Intelligence PLC

24 November 2021

 

Water Intelligence plc (the "Company")

TR-1: Notification of Major Holdings  

The Company has been informed by a shareholder that delays have occurred in it providing TR-1 forms to the Company, which disclose changes to its shareholding. All of the delayed TR-1 forms have now been provided and are set out in the announcement below.

The first TR-1 form set out below represents the most recent TR-1 reflecting the investor's shareholding following the Company's recent placing announced on 12 November 2021.

TR-1: S tandard 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 attached ii :			WATER INTELLIGENCE 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 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)			As above
5. Date on which the threshold was crossed or reached vi :			17 NOVEMBER 2021
6. Date on which issuer notified (DD/MM/YYYY):			22 NOVEMBER 2021
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 (8.A + 8.B) vii
Resulting situation on the date on which threshold was crossed or reached	11.8518			11.8518	2,300,580
Position of previous notification (if applicable)	10.0979			10.0979

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 (DTR5.1)

Indirect  (DTR5.2.1)

Direct (DTR5.1)

Indirect (DTR5.2.1)

GB00BZ973D04

2,300,580

11.8518

SUBTOTAL 8. A

2,300,580

11.8518

B 1: Financial Instruments according to DTR5.3.1R (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 DTR5.3.1R (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

TR-1: S tandard 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 attached ii : WATER INTELLIGENCE 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) As above 5. Date on which the threshold was crossed or reached vi : 24 AUGUST 2021 6. Date on which issuer notified (DD/MM/YYYY): 22 NOVEMBER 2021 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 (8.A + 8.B) vii Resulting situation on the date on which threshold was crossed or reached 10.0979 10.0979 1,854,929 Position of previous notification (if applicable) 9.7723 9.7723               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 (DTR5.1) Indirect  (DTR5.2.1) Direct (DTR5.1) Indirect (DTR5.2.1) GB00BZ973D04 1,854,929 10.0979 SUBTOTAL 8. A 1,854,929 10.0979 B 1: Financial Instruments according to DTR5.3.1R (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 DTR5.3.1R (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. 10.0979 10.0979 Canaccord Genuity Wealth Group Holdings Limited 10.0979 10.0979 Canaccord Genuity Wealth Group Holdings (Jersey) Limited 10.0979 10.0979 Canaccord Genuity Wealth Group Holdings Limited 10.0979 10.0979 Canaccord Genuity Wealth Group Limited 0.1919 0.1919 Hargreave Hale Ltd 9.9060 9.9060 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                             Place of completion BLACKPOOL, ENGLAND Date of completion 22 NOVEMBER 2021 TR-1: S tandard 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 attached ii : WATER INTELLIGENCE 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 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 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) As above 5. Date on which the threshold was crossed or reached vi : 19 JULY 2021 6. Date on which issuer notified (DD/MM/YYYY): 22 NOVEMBER 2021 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 (8.A + 8.B) vii Resulting situation on the date on which threshold was crossed or reached 9.7723 9.7723 1,795,124 Position of previous notification (if applicable) 10.1463 10.1463               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 (DTR5.1) Indirect  (DTR5.2.1) Direct (DTR5.1) Indirect (DTR5.2.1) GB00BZ973D04 1,795,124 9.7723 SUBTOTAL 8. A 1,795,124 9.7723 B 1: Financial Instruments according to DTR5.3.1R (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 DTR5.3.1R (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. 9.7723 9.7723 Canaccord Genuity Wealth Group Holdings Limited 9.7723 9.7723 Canaccord Genuity Wealth Group Holdings (Jersey) Limited 9.7723 9.7723 Canaccord Genuity Wealth Group Holdings Limited 9.7723 9.7723 Canaccord Genuity Wealth Group Limited 0.1919 0.1919 Hargreave Hale Ltd 9.5804 9.5804 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 The change in the percentage of shares held is due entirely to the dilution effect of the new shares issued in the placing by Water Intelligence plc, which were admitted to AIM on 19/07/2021.                             Place of completion BLACKPOOL, ENGLAND Date of completion 22 NOVEMBER 2021 TR-1: S tandard 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 attached ii : WATER INTELLIGENCE 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) As above 5. Date on which the threshold was crossed or reached vi : 14 JULY 2021 6. Date on which issuer notified (DD/MM/YYYY): 22 NOVEMBER 2021 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 (8.A + 8.B) vii Resulting situation on the date on which threshold was crossed or reached 10.1463 10.1463 1,795,124 Position of previous notification (if applicable) 5.0141 5.0141               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 (DTR5.1) Indirect  (DTR5.2.1) Direct (DTR5.1) Indirect (DTR5.2.1) GB00BZ973D04 1,795,124 10.1463 SUBTOTAL 8. A 1,795,124 10.1463 B 1: Financial Instruments according to DTR5.3.1R (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 DTR5.3.1R (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. 10.1463 10.1463 Canaccord Genuity Wealth Group Holdings Limited 10.1463 10.1463 Canaccord Genuity Wealth Group Holdings (Jersey) Limited 10.1463 10.1463 Canaccord Genuity Wealth Group Holdings Limited 10.1463 10.1463 Canaccord Genuity Wealth Group Limited 0.1992 0.1992 Hargreave Hale Ltd 9.9471 9.9471 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                             Place of completion BLACKPOOL, ENGLAND Date of completion 22 NOVEMBER 2021 TR-1: S tandard 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 attached ii : WATER INTELLIGENCE 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) As above 5. Date on which the threshold was crossed or reached vi : 12 MARCH 2020 6. Date on which issuer notified (DD/MM/YYYY): 22 NOVEMBER 2021 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 4.3633 4.3633 16,902,371 Position of previous notification (if applicable) 5.6677 5.6677               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) GB00BZ973D04 737,500 4.3633 SUBTOTAL 8. A 737,500 4.3633 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. 4.3633 4.3633 Canaccord Genuity Wealth Group Holdings Limited 4.3633 4.3633 Canaccord Genuity Wealth Group Holdings (Jersey) Limited 4.3633 4.3633 Canaccord Genuity Wealth Group Holdings Limited 4.3633 4.3633 Canaccord Genuity Wealth Group Limited 0.2219 0.2219 Hargreave Hale Ltd 4.1414 4.1414 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                             Place of completion BLACKPOOL, ENGLAND Date of completion 22 NOVEMBER 2021 TR-1: S tandard 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 attached ii : WATER INTELLIGENCE 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) As above 5. Date on which the threshold was crossed or reached vi : 03 JULY 2020 6. Date on which issuer notified (DD/MM/YYYY): 22 NOVEMBER 2021 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 5.0141 5.0141 16,902,371 Position of previous notification (if applicable) 4.3633 4.3633               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) GB00BZ973D04 847,500 5.0141 SUBTOTAL 8. A 847,500 5.0141 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. 5.0141 5.0141 Canaccord Genuity Wealth Group Holdings Limited 5.0141 5.0141 Canaccord Genuity Wealth Group Holdings (Jersey) Limited 5.0141 5.0141 Canaccord Genuity Wealth Group Holdings Limited 5.0141 5.0141 Canaccord Genuity Wealth Group Limited 0.2219 0.2219 Hargreave Hale Ltd 4.7922 4.7922 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                             Place of completion BLACKPOOL, ENGLAND Date of completion 22 NOVEMBER 2021

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.

11.8518

11.8518

Canaccord Genuity Wealth Group Holdings Limited

11.8518

11.8518

Canaccord Genuity Wealth Group Holdings (Jersey) Limited

11.8518

11.8518

Canaccord Genuity Wealth Group Holdings Limited

11.8518

11.8518

Canaccord Genuity Wealth Group Limited

0.1795

0.1795

Hargreave Hale Ltd

11.6723

11.6723

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

The change in the percentage of shares held is due entirely to participation in the placing by Water Intelligence plc, the shares from which were admitted to AIM on 17/11/2021.

Place of completion	BLACKPOOL, ENGLAND
Date of completion	22 NOVEMBER 2021

 

END

 

 

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