Henderson Private Holding(s) in Company
December 28 2012 - 5:35AM
UK Regulatory
TIDMHPEQ
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
1. Identity of the issuer or the underlying Henderson Private Equity Investment Trust
issuer of existing shares to which voting plc
rights are attached: ii
2. Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights X
An acquisition or disposal of qualifying financial instruments which may
result in the acquisition of shares already issued to which voting rights
are attached
An acquisition or disposal of instruments with similar economic effect to X
qualifying financial instruments
An event changing the breakdown of voting rights X
Other (please
specify):
3. Full name of person(s) subject to the QVT Financial LP
notification obligation: iii
4. Full name of shareholder(s) QVT Fund LP
(if different from 3.):iv
QVT Fund IV LP
QVT Fund V LP
Quintessence Fund L.P.
5. Date of the transaction and date on 21 December 2012
which the threshold is crossed or
reached: v
6. Date on which issuer notified: 27 December 2012
7. Threshold(s) that is/are crossed or 9% - 7%
reached: vi, vii
8. Notified details:
A: Voting rights attached to shares viii, ix
Class/type of Situation previous Resulting situation after the triggering transaction
shares to the triggering
transaction
if possible
using
the ISIN CODE
Number Number Number Number of voting % of voting rights x
of of of shares rights
Shares Voting
Rights Direct Direct xi Indirect Direct Indirect xii
GB0030955313
416,810 416,810 88,346 88,346 Below 3%
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date xiii Conversion Period xiv rights that may be rights
acquired if the
instrument is
exercised/ converted.
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
Resulting situation after the triggering transaction
Type of financial Exercise Expiration Exercise/ Number of voting rights % of voting rights
instrument price date xvii Conversion period instrument refers to xix, xx
xviii
CFD Nominal Delta
134,801 3.81%
Total (A+B+C)
Number of voting rights Percentage of voting rights
223,147 6.31%
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
Proxy Voting:
10. Name of the proxy holder:
11. Number of voting rights proxy holder will cease
to hold:
12. Date on which proxy holder will cease to hold
voting rights:
13. Additional information: Third Tender Offer - issuer buyback. On
27 December 2012, the reporting parties
were notified of their final allocation
with respect to the tender.
14. Contact name: Meg Eisner
15. Contact telephone number: +1 (212) 705 6229
Note: Annex should only be submitted to the FSA not the issuer
Annex: Notification of major interests in sharesxxii
A: Identity of the persons or legal entity subject to the notification obligation
Full name QVT Financial LP
(including legal form of legal entities)
Contact address 1177 Avenue of the Americas, 9th Floor
(registered office for legal entities) New York, NY 10036, USA
Phone number & email +1 (212) 705-8800
regulatoryfilings@qvt.com
Other useful information
(at least legal representative for legal
persons)
B: Identity of the notifier, if applicable
Full name
Contact address
Phone number & email
Other useful information
(e.g. functional relationship with the
person or legal entity subject to the
notification obligation)
C: Additional information
For notes on how to complete form TR-1 please see the FSA website.
END
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