REG-Augmentum Fintech Plc: Holding(s) in Company

Augmentum FintechAnnouncement

04/11/2020 17:20

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):                                                                                                           AUGMENTUM FINTECH 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):                                                                                                               03 NOVEMBER 2020                                                                                                         
 6. Date on which issuer notified (DD/MM/YYYY):                                                                                                                            04 NOVEMBER 2020                                                                                                         
 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  13.1586                                                                                                                               13.1586                         140,228,291                                       
 Position of previous notification (if applicable)                          9.9870                                                                                                                                9.9870                                                                            
                                                                                                                                                                                                                                                                                                    

   

 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 possible)                                                                                                                                                                                                                                                                       
                                                   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)  
 GB00BG12XV81                                                                                          18,452,099                                                                                                                              13.1586                                                
                                                                                                                                                                                                                                                                                                      
                                                                                                                                                                                                                                                                                                      
 SUBTOTAL 8. A                                                                                            18,452,099                                                                                                                  13.1586                                                         
                                                                                                                                                                                                                                                                                                      
 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                 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 Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (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 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.                                   13.1586                                                                                                                                                                               13.1586                                                                                             
 Canaccord Genuity Wealth Group Holdings Limited                13.1586                                                                                                                                                                               13.1586                                                                                             
 Canaccord Genuity Wealth Group Holdings (Jersey) Limited       13.1586                                                                                                                                                                               13.1586                                                                                             
 Canaccord Genuity Wealth (International) Holdings Limited      0.1265                                                                                                                                                                                0.1265                                                                                              
 Canaccord Genuity Wealth (International) Limited               0.1265                                                                                                                                                                                0.1265                                                                                              
 Canaccord Genuity Wealth Group Limited                         13.0321                                                                                                                                                                               13.0321                                                                                             
 Canaccord Genuity Wealth Limited                               2.8380                                                                                                                                                                                2.8380                                                                                              
 Hargreave Hale Ltd                                             10.1941                                                                                                                                                                               10.1941                                                                                             
                                                                                                                                                                                                                                                                                                                                                          
 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 mainly to participation in the placing by Augmentum Fintech plc, the shares from which were admitted to the London Stock Exchange’s Main Market on 03/11/2020.                                                                                                                                        
                                                                                                                                                                                                                                                                                                                                                          

   

 Place of completion  BLACKPOOL, ENGLAND  
 Date of completion   04 NOVEMBER 2020    



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