4 December 2009, 10:06
Private Equity Inv: Holding(s) in Company
<pre>
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
1. Identity of the issuer or the underlying issuer of Private Equity
existing shares to which voting rights are attached: Investor PLC
2 Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights Yes
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
qualifying financial instruments
An event changing the breakdown of voting rights
Other (please specify):
3. Full name of person(s) subject to the Red Rocks Capital, LLC
notification obligation:
4. Full name of shareholder(s) (if different from AVS Listed Private Equity
3.): Portfolio
ALPS/Red Rocks Listed
Private Equity Fund
JNL/Red ocks Listed
Private Equity Fund
Hays Medical Centre Inc.
Foundation
5. Date of the transaction and date on which the December 2, 2009
threshold is crossed or reached:
6. Date on which issuer notified: December 4, 2009
7. Threshold(s) that is/are crossed or reached: The 3% threshold was
reached
8. Notified details:
A: Voting rights attached to shares
Class/type of Situation previous Resulting situation after the triggering
shares to the triggering transaction
transaction
Number Number Number Number of voting % of voting
of of of shares rights rights
Voting
Shares Rights Direct Direct Indirect Direct Indirect
GB0000504034 1,031,2889 1,031,289 1,091,289 1,091,289 3%
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion rights that may be rights
Period acquired if the
instrument is
exercised/ converted.
C: Financial Instruments with similar economic effect to Qualifying Financial
Instruments
Resulting situation after the triggering transaction
Type of Exercise Expiration Exercise/ Number of % of voting
financial price date Conversion voting rights
instrument period rights
instrument
refers to
Nominal Delta
Total (A+B+C)
Number of voting rights Percentage of voting rights
1,091,289 3%
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable:
Proxy Voting:
10. Name of the proxy holder: Red Rocks Capital,
LLC
11. Number of voting rights proxy holder will cease to N/A
hold:
12. Date on which proxy holder will cease to hold voting N/A
rights:
13. The reporting threshold has been reached for Red Rocks Capital,
Additional LLC (RRC), a Registered Investment Adviser, registered with the
information: SEC. None of the RRC client accounts have individually reached
the reporting threshold.
14. Contact Matthew R. Luoma
name:
15. Contact 303.679.8252, ext 13
telephone
number: Matt@RedRocksCapital.com
END</pre>
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