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NuCana plc
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(Name of Issuer)
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Ordinary Shares nominal value £0.04 per share
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(Title of Class of Securities)
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67022C106
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(CUSIP Number)
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September 28, 2017
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(Date of Event Which Requires Filing of This Statement)
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| ☒ |
Rule 13d-1(b)
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| ☐ |
Rule 13d-1(c)
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| ☐ |
Rule 13d-1(d)
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CUSIP No. 67022C106
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Scottish Enterprise
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)
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(a) ☒
(b) ☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Scotland, United Kingdom
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH:
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5
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SOLE VOTING POWER
2,246,915
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6
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SHARED VOTING POWER
0
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7
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SOLE DISPOSITIVE POWER
2,246,915
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8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,246,915
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions)
☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.06%
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12
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TYPE OF REPORTING PERSON (see instructions)
OO
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Item 1(a).
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Name of Issuer:
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NuCana plc
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Item 1(b).
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Address of Issuer’s Principal Executive Offices:
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3 Lochside Way
Edinburgh
EH12 9DT. United Kingdom
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Item 2(a).
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Name of Person Filing:
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Rhona Bree Specialist, Portfolio on behalf of Scottish Enterprise
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Item 2(b).
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Address of Principal Business Office or, if none, Residence:
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Atrium Court
50 Waterloo Street
Glasgow
G2 6HQ
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Item 2(c).
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Citizenship:
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Scotland, United Kingdom
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Item 2(d).
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Title of Class of Securities:
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Ordinary Shares nominal value £0.04 per share
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Item 2(e).
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CUSIP Number: 67022C106
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Item 3.
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If this Statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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☐ |
Broker or dealer registered under Section 15 of the Act;
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(b)
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☐ |
Bank as defined in Section 3(a)(6) of the Act;
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(c)
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☐ |
Insurance company as defined in Section 3(a)(19) of the Act;
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(d)
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☐ |
Investment company registered under Section 8 of the Investment Company Act of 1940;
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(e)
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☐ |
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
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(f)
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☐ |
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
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(g)
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☐ |
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
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(h)
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☐ |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐ |
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
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(j)
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☐ |
A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
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(k)
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☐ |
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
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Item 4.
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Ownership.
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Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
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(a)
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Amount Beneficially Owned:
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2,246,915
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(b)
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Percent of Class:
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7.06%
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(c)
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Number of shares as to which such person has:
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(i)
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sole power to vote or to direct the vote:
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2,246,915
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(ii)
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shared power to vote or to direct the vote:
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0
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(iii)
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sole power to dispose or to direct the disposition of:
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2,246,915
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(iv)
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shared power to dispose or to direct the disposition of:
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0
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not applicable.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
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Not applicable.
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Item 8.
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Identification and Classification of Members of the Group.
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Not applicable.
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Item 9.
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Notice of Dissolution of Group.
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Not applicable.
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Item 10.
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Certification.
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of and do not have the effect of changing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect for the time being.
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13 February 2018
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Date
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/s/ Catherine Mary Corr
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Signature
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Solicitor and Authorized Signatory
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Name/Title
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