REG-4basebio Plc: Holding(s) in Company
15/11/2024 07:15
TR-1: Standard 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): 4basebio 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): acting in concert under DTR 5.2.1(a) X
3. Details of person subject to the notification obligation (iv )
Name Elevage Medical Technologies Holdings, LLC (as indirect parent shareholder under DTR 5.1.2 and 5.2.1(e) and indirect holder of voting rights under DTR 5.2.1(a))
City and country of registered office (if applicable) Wilmington, Delaware, United States
4. Full name of shareholder(s) (if different from 3.) (v)
Name Fort Aggregator, LP (as direct shareholder) and the Prudential Assurance Company Limited (as the other party to the agreement under DTR5.2.1(a))
City and country of registered office (if applicable) 1. Fort Aggregator, LP: Wilmington, Delaware, United States
2. Prudential Assurance Company Limited: London, United Kingdom
5. Date on which the threshold was crossed or reached (vi): 13 November 2024
6. Date on which issuer notified (DD/MM/YYYY): 14 November 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 both in % (8.A + 8.B) Total number of voting rights held in issuer (8.A + 8.B) (vii)
(total of 8.B 1 + 8.B 2)
Resulting situation on the date on which threshold was crossed or reached 29.9 0 29.9 4,627,741
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 Number of voting rights (ix) % of voting rights
sharesISIN code (if possible)
Direct (DTR5.1) Indirect (DTR5.2.1) Direct (DTR5.1) Indirect (DTR5.2.1)
Ordinary shares of €1.00 each under DTR 5.2.1(e) ISIN: GB00BMCLYF79 0 2,666,667 0 17.2%
Ordinary shares of €1.00 each under DTR 5.2.1(a) ISIN: GB00BMCLYF79 1,961,074 0 12.7%
SUBTOTAL 8. A 4,627,741 29.9%
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Type of financial instrument Expiration Exercise/ Number of voting rights that may be acquired if the instrument is exercised/converted. % of voting rights
date (x) Conversion Period (xi)
SUBTOTAL 8. B 1
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R (1) (b)
Type of financial instrument Expiration Exercise/ Physical or cash Settlement (xii) Number of voting rights % of voting rights
date (x) Conversion Period (xi)
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 X
financial instruments are effectively held starting with the ultimate controlling natural person or legal entity (please add additional rows as necessary) (xiv)
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
Chain 1 in respect of Fort Aggregator LP:
Elevage Medical Technologies Holdings, LLC 17.2% 17.2%
Elevage Medical Technologies GP, LLC 17.2% 17.2%
Fort Aggregator, LP 17.2% 17.2%
Chain 2 in respect of the Prudential Assurance Company Limited
M&G plc 12.7% 12.7%
M&G Group Regulated Entity Holding Company Limited 12.7% 12.7%
M&G Group Limited 12.7% 12.7%
M&G FA Limited 12.7% 12.7%
M&G Investment Management Limited 12.7% 12.7%
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)
Fort Aggregator, LP and the Prudential Assurance Company Limited have concluded pursuant to DTR 5.2.1(a). As such, the disclosure in sections 7, 8 and 9 of this form reflects their aggregated position. A separate notification will be made on behalf of M&G plc in respect of the Prudential Assurance Company Limited’s shareholding.
Place of completion Wilmington, Delaware, United States
Date of completion 13 November 2024
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