Capital for Colleagues plc - Holdings in Company PR Newswire

Capital for Colleagues plc / EPIC: CFCP / Market: NEX / Sector: Investment

28 January 2020

CAPITAL FOR COLLEAGUES PLC

(‘Capital for Colleagues’ or the ‘Company’)

HOLDINGS IN COMPANY

Capital for Colleagues, the investment vehicle focused on opportunities in the Employee Owned Business (‘EOB’) sector, has received 3 TR-1 Forms which are reproduced without amendment below.

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       Capital for Colleagues PLC
underlying issuer of existing shares to
which voting rights are attachedii:

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 obligationiv

Name                                    CASTLEFIELD INVESTMENT PARTNERS LIMITED

City and country of registered office   MANCHESTER, UNITED KINGDOM
(if applicable)

4. Full name of shareholder(s) (if different from 3.)v

Name                                    Heygate Group Pension

City and country of registered office
(if applicable)

5. Date on which the threshold was      24th January 2020
crossed or reachedvi:

6. Date on which issuer notified        27th January 2020
(DD/MM/YYYY):

7. Total positions of person(s) subject to the notification obligation

                    % of voting rights % of voting rights Total of both in % Tot
                    attached to shares through financial  (8.A + 8.B)        al
                    (total of 8. A)    instruments                           num
                                       (total of 8.B 1 +                     ber
                                       8.B 2)                                of
                                                                             vot
                                                                             ing
                                                                             rig
                                                                             hts
                                                                             of
                                                                             iss
                                                                             uer
                                                                             vii

Resulting situation 3.49%                                 3.49%              15,
on the date on                                                               441
which threshold was                                                          ,94
crossed or reached                                                           2

Position of                                               4.72%
previous
notification (if
applicable)



   


8. Notified details of the resulting situation on the date on which the
threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type  Number of voting rightsix          % of voting rights
of
shares      Direct                Indirect     Direct            Indirect
ISIN code   (Art 9 of Directive   (Art 10 of   (Art 9 of         (Art 10 of
(if         2004/109/EC) (DTR5.1) Directive    Directive         Directive
possible)                         2004/109/EC) 2004/109/EC)      2004/109/EC)
                                  (DTR5.2.1)   (DTR5.1)          (DTR5.2.1)

GB00BGCZ2V99539,646                            3.49%

SUBTOTAL 8. 539,646                            3.49%
A

B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))

Type of     Expiration Exercise/    Number of voting rights that % of voting
financial   datex      Conversion   may be acquired if the       rights
instrument             Periodxi     instrument is
                                    exercised/converted.

                       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    Expiration  Exercise/   Physical or  Number of voting % of voting
financial  datex       Conversion  cash         rights           rights
instrument             Period xi   settlementxii

                                   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) issuerxiii

Full chain of controlled undertakings through which the voting rights and/or X
the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entityxiv (please add additional rows as
necessary)

Namexv                % of voting rights if it % of voting rights through   Tot
                      equals or is higher than financial instruments if it  al
                      the notifiable threshold equals or is higher than the of
                                               notifiable threshold         bot
                                                                            h
                                                                            if
                                                                            it
                                                                            equ
                                                                            als
                                                                            or
                                                                            is
                                                                            hig
                                                                            her
                                                                            tha
                                                                            n
                                                                            the
                                                                            not
                                                                            ifi
                                                                            abl
                                                                            e
                                                                            thr
                                                                            esh
                                                                            old

Heygate Group Pension 3.49%                                                 3.4
                                                                            9%

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 informationxvi



   


Place of completion CASTLEFIELD INVESTMENT PARTNERS

Date of completion  27th January 2020



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       Capital for Colleagues PLC
underlying issuer of existing shares to
which voting rights are attachedii:

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 obligationiv

Name                                    CASTLEFIELD FUND PARTNERS

City and country of registered office   MANCHESTER, UNITED KINGDOM
(if applicable)

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      28th February 2019
crossed or reachedvi:

6. Date on which issuer notified        27th January 2020
(DD/MM/YYYY):

7. Total positions of person(s) subject to the notification obligation

                    % of voting rights % of voting rights Total of both in % Tot
                    attached to shares through financial  (8.A + 8.B)        al
                    (total of 8. A)    instruments                           num
                                       (total of 8.B 1 +                     ber
                                       8.B 2)                                of
                                                                             vot
                                                                             ing
                                                                             rig
                                                                             hts
                                                                             of
                                                                             iss
                                                                             uer
                                                                             vii

Resulting situation 4.58%                                 4.58%              15,
on the date on                                                               441
which threshold was                                                          ,94
crossed or reached                                                           2

Position of                                               6.05%
previous
notification (if
applicable)



   


8. Notified details of the resulting situation on the date on which the
threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type  Number of voting rightsix          % of voting rights
of
shares      Direct                Indirect     Direct            Indirect
ISIN code   (Art 9 of Directive   (Art 10 of   (Art 9 of         (Art 10 of
(if         2004/109/EC) (DTR5.1) Directive    Directive         Directive
possible)                         2004/109/EC) 2004/109/EC)      2004/109/EC)
                                  (DTR5.2.1)   (DTR5.1)          (DTR5.2.1)

GB00BGCZ2V99706,893                            4.58%

SUBTOTAL 8. 706,893                            4.58%
A

B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))

Type of     Expiration Exercise/    Number of voting rights that % of voting
financial   datex      Conversion   may be acquired if the       rights
instrument             Periodxi     instrument is
                                    exercised/converted.

                       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    Expiration  Exercise/   Physical or  Number of voting % of voting
financial  datex       Conversion  cash         rights           rights
instrument             Period xi   settlementxii

                                   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)
issuerxiii

Full chain of controlled undertakings through which the voting rights       X
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entityxiv (please add additional rows
as necessary)

Namexv                 % of voting rights if it % of voting rights through Tot
                       equals or is higher than financial instruments if   al
                       the notifiable threshold it equals or is higher     of
                                                than the notifiable        bot
                                                threshold                  h
                                                                           if
                                                                           it
                                                                           equ
                                                                           als
                                                                           or
                                                                           is
                                                                           hig
                                                                           her
                                                                           tha
                                                                           n
                                                                           the
                                                                           not
                                                                           ifi
                                                                           abl
                                                                           e
                                                                           thr
                                                                           esh
                                                                           old

Castlefield B.E.S.T    4.02%                                               4.0
Sustainable Portfolio                                                      2%
Fund

Castlefield B.E.S.T    0.56%                                               0.5
Sustainable UK Smaller                                                     6%
Companies Fund

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 informationxvi



   


Place of completion CASTLEFIELD FUND PARTNERS

Date of completion  27th January 2020



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       Capital for Colleagues PLC
underlying issuer of existing shares to
which voting rights are attachedii:

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 obligationiv

Name                                    CASTLEFIELD FUND PARTNERS

City and country of registered office   MANCHESTER, UNITED KINGDOM
(if applicable)

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      27th June 2019
crossed or reachedvi:

6. Date on which issuer notified        27th January 2020
(DD/MM/YYYY):

7. Total positions of person(s) subject to the notification obligation

                    % of voting rights % of voting rights Total of both in % Tot
                    attached to shares through financial  (8.A + 8.B)        al
                    (total of 8. A)    instruments                           num
                                       (total of 8.B 1 +                     ber
                                       8.B 2)                                of
                                                                             vot
                                                                             ing
                                                                             rig
                                                                             hts
                                                                             of
                                                                             iss
                                                                             uer
                                                                             vii

Resulting situation 5.31%                                 5.31%              15,
on the date on                                                               441
which threshold was                                                          ,94
crossed or reached                                                           2

Position of                                               4.58%
previous
notification (if
applicable)



   


8. Notified details of the resulting situation on the date on which the
threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type  Number of voting rightsix          % of voting rights
of
shares      Direct                Indirect     Direct            Indirect
ISIN code   (Art 9 of Directive   (Art 10 of   (Art 9 of         (Art 10 of
(if         2004/109/EC) (DTR5.1) Directive    Directive         Directive
possible)                         2004/109/EC) 2004/109/EC)      2004/109/EC)
                                  (DTR5.2.1)   (DTR5.1)          (DTR5.2.1)

GB00BGCZ2V99820,695                            5.31%

SUBTOTAL 8. 820,695                            5.31%
A

B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))

Type of     Expiration Exercise/    Number of voting rights that % of voting
financial   datex      Conversion   may be acquired if the       rights
instrument             Periodxi     instrument is
                                    exercised/converted.

                       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    Expiration  Exercise/   Physical or  Number of voting % of voting
financial  datex       Conversion  cash         rights           rights
instrument             Period xi   settlementxii

                                   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)
issuerxiii

Full chain of controlled undertakings through which the voting rights      X
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entityxiv (please add additional rows
as necessary)

Namexv                % of voting rights if it % of voting rights through Tot
                      equals or is higher than financial instruments if   al
                      the notifiable threshold it equals or is higher     of
                                               than the notifiable        bot
                                               threshold                  h
                                                                          if
                                                                          it
                                                                          equ
                                                                          als
                                                                          or
                                                                          is
                                                                          hig
                                                                          her
                                                                          tha
                                                                          n
                                                                          the
                                                                          not
                                                                          ifi
                                                                          abl
                                                                          e
                                                                          thr
                                                                          esh
                                                                          old

Castlefield B.E.S.T   5.31%                                               5.3
Sustainable Portfolio                                                     1%
Fund

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 informationxvi



   


Place of completion CASTLEFIELD FUND PARTNERS

Date of completion  27th January 2020