Shareholder Analysis

Shares Issued

As at 31st October 2019, the number of ordinary shares in issue was 63,250,217.

Major Shareholders

As at 31st October 2019, the Company has been notified of the following interests in 3% or more of the issued ordinary share capital of the Company:

No of Ordinary Shares %
Balderton Capital III, LP1 6,813,196 10.8
Genostics Company Ltd2 6,410,256 10.1
Richard Sharp 4,515,302 7.1
Ruffer LLP 3,334,239 5.3
Geoffrey Hamilton-Fairley 3,238,070 5.1
FIL Investment International 3,057,059 4.8
Timothy Bunting 2,806,717 4.4
Milton Asset Management 2,415,000 3.8
University of Nottingham 2,244,527 3.5

1 Mr Bunting is a partner of Balderton Capital (UK) LLP the investment adviser to Balderton Capital Partners III, LP.
2 Cheung To is a shareholder and director of Genostics Company Ltd.

Director Shareholdings

No of Shares No of Share Options No of Warrants
Tim Bunting 2,806,717
Geoffrey Hamilton-Fairley 3,238,070 798,148 762,500
Adam Hill 396,825
Richard Sharp 4,515,302
Meinhard Schmidt 420,370 226,250

Shares not in Public Hands

In accordance with the definition in the AIM Rules for Companies and insofar as it is aware, as at 31st October 2019, 39.5% of the Company’s AIM securities was not in public hands.

Restrictions on Transfer of Aim Securities

There are no restrictions on the transfer of securities.

UK City Code on Takeovers and Mergers

Ocimmune Holdings Plc is subject to the UK City Code on Takeovers and Mergers.

Details of Other Exchanges or Trading Platforms

Other than AIM, the Company’s shares are not admitted to or traded on any other exchanges or trading platforms.

Page last updated: 12th November 2019