Numis Corporation PLC
5 October 2023
TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
GB00B05M6465
Issuer Name
NUMIS CORPORATION PLC
UK or Non-UK Issuer
UK
2. Reason for Notification
An acquisition or disposal of voting rights
3. Details of person subject to the notification obligation
Name
JPMorgan Chase & Co.
City of registered office (if applicable)
Country of registered office (if applicable)
US
4. Details of the shareholder
| Name | City of registered office | Country of registered office |
| J.P. Morgan Securities plc | | |
5. Date on which the threshold was crossed or reached
02-Oct-2023
6. Date on which Issuer notified
04-Oct-2023
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 | 6.005352 | 0.190176 | 6.195528 | 6815309 |
| Position of previous notification (if applicable) | 5.986762 | 0.190277 | 6.177039 | |
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) |
| GB00B05M6465 | | 6606105 | | 6.005352 |
| Sub Total 8.A | 6606105 | 6.005352% | ||
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 |
| Cash-settled Equity Swap | 17/07/2024 | 17/07/2024 | Cash | 180000 | 0.163631 |
| Cash-settled Equity Swap | 03/09/2024 | 03/09/2024 | Cash | 7605 | 0.006913 |
| Cash-settled Equity Swap | 15/08/2028 | 15/08/2028 | Cash | 21599 | 0.019632 |
| Sub Total 8.B2 | | 209204 | 0.190176% | ||
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 |
| JPMorgan Chase & Co. | J.P. Morgan Securities plc | 6.005352 | | 6.195528% |
| JPMorgan Chase & Co. | JPMorgan Chase Bank, National Association | | | |
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
Chain of controlled undertakings:
JPMorgan Chase & Co.
JPMorgan Chase Bank, National Association (100%)
J.P. Morgan International Finance Limited (100%)
J.P. Morgan Capital Holdings Limited (100%)
J.P. Morgan Securities plc (100%)
JPMorgan Chase & Co.
JPMorgan Chase Bank, National Association (100%)
12. Date of Completion
04-Oct-2023
13. Place Of Completion
London
The total number of Numis shares held in Treasury is 4,363,989 (3.97%), the number of ordinary shares is 114,367,448 and the total number of voting rights in the company is 110,003,459 which is the number which may be used by the shareholders as the denominator for calculations by which they will determine if they are required to notify their interest in, or a change to their interests in, the Company under the FCA's Disclosure and Transparency Rules.
The information communicated within this announcement is deemed to constitute inside information as stipulated under the Market Abuse Regulations (EU) No. 596/2014 which is part of UK law by virtue of the European Union (withdrawal) Act 2018. Upon the publication of this announcement, this inside information is now considered to be in the public domain.
5 October 2023
END
Contacts
Numis:
Noreen Biddle-Shah, Head of Corporate Communications
020 7260 1441
FTI Consulting:
Edward Bridges 07768 216607
Daisy Hall 07807 298568
Grant Thornton UK LLP (Nominated Adviser):
Philip Secret 020 7728 2578
Harrison J Clarke 020 7184 4384
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