Verona Pharma plc Verona Pharma Plc: Tr-1: Standard Form For Notification Of Major Holdings
07 Août 2020 - 4:46PM
UK Regulatory
TIDMVRP
LONDON and RALEIGH, N.C., Aug. 07, 2020 (GLOBE NEWSWIRE) --
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the
relevant issuer and to the FCA in Microsoft Word format
if possible)(i)
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1a. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are attached(ii)
: Verona Pharma plc
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1b. Please indicate if the issuer is a non-UK issuer
(please mark with an "X" if appropriate)
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Non-UK issuer
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2. Reason for the notification (please mark the appropriate
box or boxes with an "X")
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An acquisition or disposal of voting rights X
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An acquisition or disposal of financial instruments
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An event changing the breakdown of voting rights X
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Other (please specify)(iii) :
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3. Details of person subject to the notification obligation(iv)
Growth Equity Opportunities Fund IV, LLC
Name Growth Equity Opportunities 17, LLC
City and country of registered office (if applicable) Delaware, United States
4. Full name of shareholder(s) (if different from
3.)(v)
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Name
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City and country of registered office (if applicable)
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5. Date on which the threshold was crossed or reached(vi)
: 22/07/2020
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6. Date on which issuer notified (DD/MM/YYYY): 06/08/2020
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7. Total positions of person(s) subject to the notification
obligation
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% of voting rights attached to shares (total of 8. % of voting rights through financial instruments Total of both in
A) (total of 8.B 1 + 8.B 2) % (8.A + 8.B) Total number of voting rights of issuer(vii)
--------------------------------------------------- -------------------------------------------------- ------------------------------------------------ ----------------- --------------------------------------------
9.86% (Aggregated
Resulting situation on the date on which threshold - see Section
was crossed or reached 9.86% (Aggregated - see Section 11) N/A 11) 414,545,590
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Position of previous notification (if applicable) 9.86% N/A 9.86%
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8. Notified details of the resulting situation on
the date on which the threshold was crossed or reached(viii)
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A: Voting rights attached to shares
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Class/type of
shares
ISIN code (if possible) Number of voting rights(ix) % of voting rights
--------------------------
Direct Indirect Direct Indirect
(Art 9 of Directive 2004/109/EC) (DTR5.1) (Art 10 of Directive 2004/109/EC) (DTR5.2.1) (Art 9 of Directive 2004/109/EC) (DTR5.1) (Art 10 of Directive 2004/109/EC) (DTR5.2.1)
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ADSs
US9250501064 40,868,504 (Aggregated - see Section 11) 9.86% (Aggregated - see Section 11)
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SUBTOTAL 8. A 40,868,504 9.86%
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B 1: Financial Instruments according to Art. 13(1)(a)
of Directive 2004/109/EC (DTR5.3.1.1 (a))
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Type of financial Expiration Exercise/ Number of voting rights that may be acquired if the % of voting rights
instrument date(x) Conversion Period(xi) instrument is
exercised/converted.
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N/A
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SUBTOTAL 8. B 1
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B 2: Financial Instruments with similar economic effect
according to Art. 13(1)(b) of Directive 2004/109/EC
(DTR5.3.1.1 (b))
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Type of financial Expiration Exercise/ Conversion Physical or cash Number of voting rights % of voting rights
instrument date(x) Period (xi) settlement(xii)
------------------------- ------------------------------------------- --------------------------------------------- ------------------ --------------------------------- ---------------------------------------------
N/A
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SUBTOTAL 8.B.2
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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
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% of voting rights if it equals or is higher than % of voting rights through financial instruments if Total of both if it equals or is higher than the notifiable
Name(xv) the notifiable threshold it equals or is higher than the notifiable threshold threshold
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NEA 15 GP, LLC, a limited liability company formed
in the State of Delaware, is the general partner of
NEA Partners 15, L.P.
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NEA Partners 15, L.P., a limited partnership formed
in the State of Delaware, is the general partner of
New Enterprise Associates 15, L.P.
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New Enterprise Associates 15, L.P., a limited partnership
formed in the State of Delaware, is sole member of
Growth Equity Opportunities Fund IV, LLC
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Growth Equity Opportunities Fund IV, LLC is a limited
liability company formed in the State of Delaware,
United States 2.35% N/A 2.35%
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NEA 17 GP, LLC, a limited liability company formed
in the State of Delaware, is the general partner of
NEA Partners 17, L.P.
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NEA Partners 17, L.P., a limited partnership formed
in the State of Delaware, is the general partner of
New Enterprise Associates 17, L.P.
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New Enterprise Associates 17, L.P., a limited partnership
formed in the State of Delaware, is sole member of
Growth Equity Opportunities 17, LLC
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Growth Equity Opportunities 17, LLC is a limited liability
company formed in the State of Delaware, United States 7.51% 7.51%
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10. In case of proxy voting, please identify:
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Name of the proxy holder
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The number and % of voting rights held
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The date until which the voting rights will be held
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11. Additional information(xvi)
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Growth Equity Opportunities 17, LLC purchased 3,888,889
American Depositary Shares (ADSs), representing 31,111,112
Ordinary Shares, from the Issuer on 22 July 2020 as
part of the Issuer's capital raising (the "Financing")
which comprised the issuance of ADSs and Ordinary
Shares.
Growth Equity Opportunities Fund IV, LLC did not participate
in the Financing and so continues to hold 1,219,674
ADSs representing 9,757,392 Ordinary Shares, as previously
reported on its TR-1 filed on 8 May 2017.
Growth Equity Opportunities Fund IV, LLC (which holds
2.35% voting rights) and Growth Equity Opportunities
17, LLC (which holds 7.51% of voting rights) are acting
in concert for the purposes of DTR 5.2.1R(a), consequently
their respective holdings are deemed to be aggregated
to 9.86% in total.
Overall, there has been no increase or decrease from
the 9 to 10% voting right threshold that was reported
in the previous TR-1 filing of 8 May 2017. However,
as explained in this Section 11 there have been changes
in the breakdown of how the voting rights are held.
It is on this basis that this TR-1 has been completed.
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Place of completion USA
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Date of completion 7 August, 2020
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For further information, please contact:
Verona Pharma plc Tel: +44 (0) 20 3283
4200
David Zaccardelli, Chief Executive Officer info@veronapharma.com
Victoria Stewart, Director of Communications
N + 1 Singer (Nominated Adviser and UK Broker) Tel: +44 (0) 20 7496
3000
Aubrey Powell / George Tzimas / Iqra Amin (Corporate
Finance)
Tom Salvesen (Corporate Broking)
(END) Dow Jones Newswires
August 07, 2020 10:46 ET (14:46 GMT)
Copyright (c) 2020 Dow Jones & Company, Inc.
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