REG-Arix Bioscience PLC Transaction in own shares

Arix BioscienceAnnouncement

08/11/2021 17:35

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   Arix Bioscience PLC (ARIX)
   Transaction in own shares

   08-Nov-2021 / 17:33 GMT/BST
   Dissemination of a Regulatory Announcement, transmitted by EQS Group.
   The issuer is solely responsible for the content of this announcement.

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   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   ARIX BIOSCIENCE PLC
   which voting rights are attached ^ii:
   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                                      Takeda Ventures, Inc.
   City and country of registered office (if 9625 Towne Centre Drive
   applicable)                               San Diego, CA 92121  USA
   4. Full name of shareholder(s) (if different from 3.) ^v
   Name                                       
   City and country of registered office (if  
   applicable)
   5. Date on which the threshold was        November 4, 2021
   crossed or reached ^vi:
   6. Date on which issuer notified          November 8, 2021
   (DD/MM/YYYY):
   7. Total positions of person(s) subject to the notification obligation
                      % of voting    % of voting                 Total number
                      rights         rights through  Total of    of voting
                      attached to    financial       both in %   rights held
                      shares (total  instruments     (8.A + 8.B) in issuer
                      of 8. A)       (total of 8.B 1             (8.A + 8.B)
                                     + 8.B 2)                    ^vii
   Resulting
   situation on the
   date on which      5,140,083      N/A             5,140,083   5,140,083
   threshold was
   crossed or reached
   Position of
   previous           4.8%           N/A             4.8%         
   notification (if
   applicable)
                                                                         

    

    
   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
   shares
   ISIN code (if Direct           Indirect          Direct         Indirect
   possible)     (DTR5.1)          (DTR5.2.1)       (DTR5.1)       (DTR5.2.1)
   Ordinary
   Shares        5,140,083                          3.97%           
   GB00BD045074
                                                                    
                                                                    
   SUBTOTAL 8. A 5,140,083                           
    
   B 1: Financial Instruments according to DTR5.3.1R (1) (a)
                                              Number of voting
   Type of       Expiration Exercise/         rights that may be   % of
   financial     date ^x    Conversion Period acquired if the      voting
   instrument               ^xi               instrument is        rights
                                              exercised/converted.
   N/A                                                              
                                                                    
                                                                    
                            SUBTOTAL 8. B 1                         
    
   B 2: Financial Instruments with similar economic effect according to
   DTR5.3.1R (1) (b)
   Type of                  Exercise/                     Number   % of
   financial   Expiration   Conversion   Physical or cash of       voting
   instrument  date ^x      Period ^xi   Settlement ^xii  voting   rights
                                                          rights
   N/A                                                              
                                                                    
                                                                    
                                         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       X
   ultimate controlling natural person or legal entity (please add
   additional rows as necessary) ^xiv
                      % of voting      % of voting rights   Total of both if
                      rights if it     through financial    it equals or is
   Name ^xv           equals or is     instruments if it    higher than the
                      higher than the  equals or is higher  notifiable
                      notifiable       than the notifiable  threshold
                      threshold        threshold
   Takeda
   Pharmaceutical     100%             ̶                    100%
   Company Limited
   Takeda
   Pharmaceuticals    27.3%            ̶                    27.3%
   International AG
   Takeda
   Pharmaceuticals    100%             ̶                    100%
   U.S.A. Inc.
   Takeda Ventures,   100%             ̶                    100%
   Inc.
                                                             
    
   10. In case of proxy voting, please identify:
   Name of the proxy holder            none
   The number and % of voting rights    
   held
   The date until which the voting      
   rights will be held
    
   11. Additional information ^xvi
    
                                                                       

    

   Place of completion                9625 Towne Centre Drive
                                      San Diego, CA 92121  USA
   Date of completion                 November 8, 2021

    
    
   Notes

   ^i Please note this form should be read jointly with the applicable
   Disclosure Guidance and Transparency Rules Chapter 5 (DTR5) available on
   the following link:
    1 https://www.handbook.fca.org.uk/handbook/DTR/5/?view=chapter

   ^ii Full name of the legal entity and further specification of the issuer
   or underlying issuer, provided it is reliable and accurate (e.g. address,
   LEI, domestic number identity). Indicate in the relevant section whether
   the issuer is a non UK issuer.

   ^iii Other reason for the notification could be voluntary notifications,
   changes of attribution of the nature of the holding (e.g. expiring of
   financial instruments) or acting in concert.

   ^iv This should be the full name of (a) the shareholder; (b) the natural
   person or legal entity acquiring, disposing of or exercising voting rights
   in the cases provided for in DTR5.2.1 (b) to (h); (c) all parties to the
   agreement referred to in DTR5.2.1 (a) or (d) the holder of financial
   instruments referred to in DTR5.3.1.

   As the disclosure of cases of acting in concert may vary due to the
   specific circumstances (e.g. same or different total positions of the
   parties, entering or exiting of acting in concert by a single party) the
   standard form does not provide for a specific method how to notify cases
   of acting in concert.

   In relation to the transactions referred to in  DTR5.2.1 (b) to (h), the
   following list is provided as indication of the persons who should be
   mentioned:

   - in the circumstances foreseen in DTR5.2.1 (b), the natural person or
   legal entity that acquires the voting rights and is entitled to exercise
   them under the agreement and the natural person or legal entity who is
   transferring temporarily for consideration the voting rights;

   - in the circumstances foreseen in DTR5.2.1 (c), the natural person or
   legal entity holding the collateral, provided the person or entity
   controls the voting rights and declares its intention of exercising them,
   and natural person or legal entity lodging the collateral under these
   conditions;

   - in the circumstances foreseen in DTR5.2.1 (d), the natural person or
   legal entity who has a life interest in shares if that person or entity is
   entitled to exercise the voting rights attached to the shares and the
   natural person or legal entity who is disposing of the voting rights when
   the life interest is created;

   - in the circumstances foreseen in DTR5.2.1 (e), the controlling natural
   person or legal entity and, provided it has a notification duty at an
   individual level under DTR 5.1, under DTR5.2.1 (a) to (d) or under a
   combination of any of those situations, the controlled undertaking;

   - in the circumstances foreseen in DTR5.2.1 (f), the deposit taker of the
   shares, if he can exercise the voting rights attached to the shares
   deposited with him at his discretion, and the depositor of the shares
   allowing the deposit taker to exercise the voting rights at his
   discretion;

   - in the circumstances foreseen in DTR5.2.1 (g), the natural person or
   legal entity that controls the voting rights;

   - in the circumstances foreseen in DTR5.2.1 (h), the proxy holder, if he
   can exercise the voting rights at his discretion, and the shareholder who
   has given his proxy to the proxy holder allowing the latter to exercise
   the voting rights at his discretion (e.g. management companies).

   ^v Applicable in the cases provided for in DTR5.2.1 (b) to (h). This
   should be the full name of the shareholder who is the counterparty to the
   natural person or legal entity referred to DTR5.2 unless the percentage of
   voting rights held by the shareholder is lower than the lowest notifiable
   threshold for the disclosure of voting rights holdings in accordance with
   national practices (e.g. identification of funds managed by management
   companies).

   ^vi The date on which threshold is crossed or reached should be the date
   on which the acquisition or disposal took place or the other reason
   triggered the notification obligation. For passive crossings, the date
   when the corporate event took effect.

   ^vii The total number of voting rights held in the issuer shall be
   composed of all the shares, including depository receipts representing
   shares, to which voting rights are attached even if the exercise thereof
   is suspended.

   ^viii If the holding has fallen below the lowest applicable threshold,
   please note that it might not be necessary to disclose the extent of the
   holding, only that the new holding is below that threshold.

   ^ix In case of combined holdings of shares with voting rights attached
   "direct holding" and voting rights "indirect holding", please split the
   voting rights number and percentage into the direct and indirect columns -
   if there is no combined holdings, please leave the relevant box blank.

   ^x Date of maturity/expiration of the financial instrument i.e. the date
   when right to acquire shares ends.

   ^xi If the financial instrument has such a period - please specify this
   period - for example once every 3 months starting from  date .

   ^xii In case of cash settled instruments the number and percentages of
   voting rights is to be presented on a delta-adjusted basis (DTR 5.3.3.A).

   ^xiii If the person subject to the notification obligation is either
   controlled and/or does control another undertaking then the second option
   applies.

   ^xiv The full chain of controlled undertakings starting with the ultimate
   controlling natural person or legal entity has to be presented also in the
   cases, in which only on subsidiary level a threshold is crossed or reached
   and the subsidiary undertaking discloses the notification as only in this
   way will the markets get always the full picture of the group holdings. In
   case of multiple chains through which the voting rights and/or financial
   instruments are effectively held the chains have to be presented chain by
   chain by numbering each chain accordingly. Please see the below example: 
   Name of ultimate controlling person A (chain 1)
   Name of controlled undertaking B
   Name of controlled undertaking C
   Name of ultimate controlling person A (chain 2)
   Name of controlled undertaking B
   Name of controlled undertaking D
   Name of ultimate controlling person A (chain3)
   Name of controlled undertaking E
   Name of controlled undertaking F

   ^xv The names of controlled undertakings through which the voting rights
   and/or financial instruments are effectively held have to be presented
   irrespectively whether the controlled undertakings cross or reach the
   lowest applicable threshold themselves.

   ^xvi Example: Correction of a previous notification.

    

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   ISIN:           GB00BD045071
   Category Code:  HOL
   TIDM:           ARIX
   LEI Code:       213800OVT3AHQCXNIX43
   OAM Categories: 2.3. Major shareholding notifications
   Sequence No.:   126306
   EQS News ID:    1247207


    
   End of Announcement EQS News Service

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