EX-99.1 2 ea125263ex99-1_tizianalife.htm REGULATORY NEWS SERVICE ANNOUNCEMENT, DATED AUGUST 10 2020

Exhibit 99.1

 

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 attachedii: Tiziana Life Sciences 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 obligationiv
Name Empery Asset Management, LP
City and country of registered office (if applicable) New York, NY United States
4. Full name of shareholder(s) (if different from 3.)v
Name Empery Asset Master, Ltd.
City and country of registered office (if applicable)

c/o Empery Asset Management, LP

New York, NY United States

5. Date on which the threshold was crossed or reachedvi: 03/09/2020
6. Date on which issuer notified (DD/MM/YYYY): 07/08/2020
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 issuervii
Resulting situation on the date on which threshold was crossed or reached 5.33%   5.33% 190,559,823

Position of 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 of
shares

ISIN code (if possible)

Number of voting rightsix % of voting rights

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)

US88875G1013   10,153,770   5.33%
         
         
SUBTOTAL 8. A 10,153,770  

 

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
date
x
Exercise/
Conversion Period
xi

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights
         
         
         
    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
date
x
Exercise/
Conversion Period
xi

Physical or cash

settlementxii

Number of voting rights % of voting rights
           
           
           
      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 the
financial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary)
X
Namexv % 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
Empery Asset Master, Ltd. 3.07%   3.07%
Empery Asset Management, LP 5.33%   5.33%
Empery AM GP, LLC 5.33%   5.33%
Ryan Lane 5.33%   5.33%
Martin Hoe 5.33%   5.33%

 

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 New York, NY
Date of completion 07/08/2020