Please note that from 22 March 2021, the Standard TR-1 Form should be completed and submitted to the FCA via our Electronic Submission System (ESS) in relation to notifications of voting rights held in issuers whose shares are admitted to trading on UK regulated markets. Holders of voting rights in issuers whose shares are admitted to trading on UK prescribed markets such as AIM market, can continue to use this form to send their notifications to those issuers. Alternatively, if they wish they can register on ESS to be able to notify to us, produce a TR-1 Form via ESS and submit the downloaded version to issuers with shares admitted to trading on prescribed markets. More information on how to submit a TR-1 Form via ESS is available here |
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: | Downing Strategic Micro-Cap Investment Trust 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 | Foresight Group LLP | |||||
| City and country of registered office (if applicable) | The Shard, C/O Foresight Group, 32 London Bridge Street, London, United Kingdom, SE1 9SG | |||||
| 4. Full name of shareholder(s) (if different from 3.) v | ||||||
| Name | Thames Ventures VCT 1 plc Thames Ventures VCT 2 plc | |||||
| City and country of registered office (if applicable) | The Shard, C/O Foresight Group, 32 London Bridge Street, London, United Kingdom, SE1 9SG | |||||
| 5. Date on which the threshold was crossed or reached vi: | 27/03/2024 | |||||
| 6. Date on which issuer notified (DD/MM/YYYY): | 02/04/2024 | |||||
| 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 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 | 12.9% | 0.0% | 12.9% | 6,032,313 | ||
| Position of previous notification (if applicable) | 23.9% | 0.0% | 23.9% | |||
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) | ||||||
| GB00BF0SCX52 | 6,032,313 | 0 | 12.9% | 0.0% | |||||
| SUBTOTAL 8. A | 6,032,313 | 12.9% | |||||||
| 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 | |||||
| n/a | n/a | n/a | n/a | n/a | |||||
| 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 | ||||
| n/a | n/a | n/a | n/a | n/a | 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 | X | |||
| 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 (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 | |
| Foresight Group Holdings Limited Foresight Holdco 2 Limited Foresight Group LLP | 12.9% | 0.00 | 12.9% | |
| 10. In case of proxy voting, please identify: | ||||
| Name of the proxy holder | n/a | |||
| The number and % of voting rights held | n/a | |||
| The date until which the voting rights will be held | n/a | |||
| 11. Additional information xvi | ||||
| n/a | ||||
| Place of completion | London, United Kingdom |
| Date of completion | 03/04/2024 |
