Find key information for shareholders in 4D pharma plc

Registered office

4D pharma plc
9 Bond Court
Leeds LS1 2JZ

For all enquiries please contact [email protected]


The Company’s 2022 Annual General Meeting (AGM) to be held on 28 June 2022 at 9:00 a.m. (British Summer Time) at the offices of Pinsent Masons LLP, 1 Park Row, Leeds LS1 5AB.

It is advised that attending shareholders should have paperwork demonstrating that they hold shares, which can be obtained from the respective shareholder's broker. This can be lodged with Link (the company's transfer agent) ahead of the AGM, but Link have also stated they will accept this on the day at the meeting. You can also ask your broker to lodge this through the CREST system. More information on how to contact Link can be found here.


Share information

This information was last updated as of 29 December 2022.

There are 180,300,967 ordinary shares in issue. There are no ordinary shares held in treasury. Therefore, the total number of voting rights in the Company is 180,300,967.

The table below shows the interests of major shareholders of 3% or more which have been notified to the Company or of which the Company is aware.

Insofar as the Company is aware, the percentage of the Company’s issued ordinary shares that is not in public hands is 10%. 1

There are no restrictions as to the transfer of ordinary shares.


Major shareholders (Ordinary shares)

Ordinary shares held

%
Hargreaves Lansdown Asset Management 28,884,397 16.03%
4D pharma plc Directors and related holdings 18,025,411 10.00%
Interactive Investor Trading 17,661,877 9.80%
Halifax Share Dealing 10,451,634 5.80%
Barclays Bank 8,710,885 4.83%
Merck Sharp & Dohme LLC 8,315,023 4.61%
AJ Bell Securities 7,065,960 3.92%
Fidelity 7,038,723 3.90%

American Depositary Shares (ADSs)
American Depositary Shares (ADSs) via JPMorgan Chase Bank N.A. 20,547,808 11.41%
1 Shares not in public hands are defined as those held by 4D pharma plc Directors and related holdings and substantial shareholders of ≥10%


Meetings and voting


Advisers and registrars

Nominated adviser and joint broker

Singer Capital Markets

1 Bartholemew Lane

London, EC2N 2AX

Joint broker

Bryan Garnier & Co. Limited

Beaufort House

15 St. Botolph Street

London, EC3A 7BB

Auditor

RSM UK Audit LLP

3 Hardman Street

Manchester, M3 3HF

Registrar

Link Group

10th Floor, Central Square, 29 Wellington Street

Leeds, LS1 4DL

All enquiries concerning your shareholding should be directed to the Company's Registrar, Link Asset Services. During this challenging time, extra pressure is being put on telephone services.
Therefore, to help those shareholders who need it the most, please can we encourage you to make use of the online Share Portal.
To access your shareholding via the Share Portal click here. The Share Portal contains a help centre full of useful information and answers to frequently asked questions, which can be accessed without needing to login first. To access and view specific information on your shareholding you will need to login first. If you have forgotten your username or password then click on the forgotten username or password links. New users will first need to register; you only need 3 pieces of information – your surname, postcode and investor code. Your investor code is a unique number that you will have received on previous communications from Link, such as share certificates or dividend tax confirmations. Once you are logged in you will be able to self-service with ease.
If you do need to call the helpline Link's agents will be available for you to speak to; it may just take a little longer to get through than normal.

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