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TR-1: Standard form for notification of major holdings
Anglo American plc (the “Company”)
Registered office: 20 Carlton House Terrace, London SW1Y 5AN
Registered number: 3564138 (incorporated in England and Wales)
Legal Entity Identifier: 549300S9XF92D1X8ME43
ISIN: GBOOB1XZS820
JSE Share Code: AGL
NSX Share Code: ANM
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 ANGLO AMERICAN PLC
of existing shares to which voting rights are
attached ii:
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 obligation iv
Name PUBLIC INVESTMENT CORPORATION SOC LIMITED
City and country of registered office (if applicable) PRETORIA, SOUTH AFRICA
4. Full name of shareholder(s) (if different from 3.) v
Name
City and country of registered office (if applicable)
5. Date on which the threshold was crossed or 10/03/2020
reached vi:
6. Date on which issuer notified (DD/MM/YYYY): 11/03/2020
7. Total positions of person(s) subject to the notification obligation
% of voting rights % of voting rights Total of both in % Total number of
attached to shares through financial in- (8.A + 8.B) voting rights of
(total of 8. A) struments issuer vii
(total of 8.B 1 + 8.B 2)
Resulting situation 10.007% 10.007% 1 364 618 026
on the date on which
threshold was
crossed or reached
Position of previous 9.978% 9.978%
notification (if
applicable)
8. Notified details of the resulting situation on the date on which the threshold was crossed or
reached viii
A: Voting rights attached to shares
Class/type of Number of voting rights ix % of voting rights
shares
ISIN code (if possible) Direct Indirect Direct Indirect
(Art 9 of Directive (Art 10 of Directive (Art 9 of Directive (Art 10 of Directive
2004/109/EC) (DTR5.1) 2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
(DTR5.2.1) (DTR5.2.1)
GB00B1XZS820 136 551 718 10.007%
SUBTOTAL 8. A 136 551 718 10.007%
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting rights % of voting rights
instrument datex Conversion Periodxi that may be acquired if
the instrument is
exercised/converted.
SUBTOTAL 8. B 1 NIL NIL
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 Expiration Exercise/ Physical or Number of % of voting rights
instrument datex Conversion cash voting rights
Period xi settlementxii
SUBTOTAL NIL NIL
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 X
control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer xiii
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 entity xiv
(please add additional rows as necessary)
Name xv % of voting rights if it % of voting rights Total of both if it
equals or is higher through financial in- equals or is higher
than the notifiable struments if it equals than the notifiable
threshold or is higher than the threshold
notifiable threshold
PUBLIC INVESTMENT 10.007% 10.007%
CORPORATION SOC
LIMITED
10. In case of proxy voting, please identify:
Name of the proxy holder N/A
The number and % of voting rights held N/A
The date until which the voting rights will be held N/A
11. Additional information xvi
Name: REITUMETSE KAU
E-Mail: Reitumetse.Kau@pic.gov.za
TEL: 0127423747
Place of completion PRETORIA, SOUTH AFRICA
Date of completion 11 March 2020
Clare Davage
Deputy Company Secretary
Anglo American plc
11 March 2020
The Company has a primary listing on the Main Market of the London Stock Exchange and
secondary listings on the Johannesburg Stock Exchange, the Botswana Stock Exchange, the
Namibia Stock Exchange and the SIX Swiss Exchange.
Sponsor
RAND MERCHANT BANK (A division of FirstRand Bank Limited)
Annex: Notification of major holdings (to be filed with the FCA only)
A: Identity of the person subject to the notification obligation
Full name (including legal form for legal entities) PUBLIC INVESTMENT CORPORATION SOC LIMITED
Contact address (registered office for legal entities) PUBLIC INVESTMENT CORPORATION SOC LTD
REPUBLIC OF SOUTH AFRICA
PRIVATE BAG X187
PRETORIA
0001
E-Mail Deviliers.makonko@pic.gov.za
Phone number / Fax number +27 12 742 3578
Other useful information Name: DEVILLIERS MAKONKO
(at least legal representative for legal persons) E-Mail: Devilliers.Makonko@pic.gov.za
TEL: +27 12 742 3578
B: Identity of the notifier, if applicable
Full name REITUMETSE KAU
Contact address PUBLIC INVESTMENT CORPORATION SOC LTD
REPUBLIC OF SOUTH AFRICA
PRIVATE BAG X187
PRETORIA
0001
E-Mail Reitumetse.Kau@pic.gov.za
Phone number / Fax number TEL: 0127423747
Other useful information (e.g. functional relationship with COMPLIANCE OFFICER
the person or legal entity subject to the notification obli-
gation)
C: Additional information
NONE
Please send the completed form together with this annex to the FCA at the following email
address: Majorshareholdings@fca.org.uk. Please send in Microsoft Word format if possible.
Notes
i Please note that national forms may vary due to specific national legislation (Article 3(1a) of Directive 2004/109/EC) as for
instance the applicable thresholds or information regarding capital holdings.
ii Full name of the legal entity and further specification of the issuer or underlying issuer, provided it is reliable and accurate
(e.g. address, LEI, domestic number identity). Indicate in the relevant section whether the issuer is a non UK issuer.
iii Other reason for the notification could be voluntary notifications, changes of attribution of the nature of the holding (e.g.
expiring of financial instruments) or acting in concert.
iv This should be the full name of (a) the shareholder; (b) the natural person or legal entity acquiring, disposing of or exercising
voting rights in the cases provided for in DTR5.2.1 (b) to (h)/ Article 10 (b) to (h) of Directive 2004/109/EC; (c) all parties to the
agreement referred to in Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or (d) the holder of financial instruments
referred to in Article 13(1) of Directive 2004/109/EC (DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to the specific circumstances (e.g. same or different total positions
of the parties, entering or exiting of acting in concert by a single party) the standard form does not provide for a specific method
how to notify cases of acting in concert.
In relation to the transactions referred to in points (b) to (h) of Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the
following list is provided as indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of that Directive (DTR5.2.1 (b)), the natural person or legal entity that
acquires the voting rights and is entitled to exercise them under the agreement and the natural person or legal entity who is
transferring temporarily for consideration the voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of that Directive (DTR5.2.1 (c)), the natural person or legal entity
holding the collateral, provided the person or entity controls the voting rights and declares its intention of exercising them, and
natural person or legal entity lodging the collateral under these conditions;
- in the circumstances foreseen in letter (d) of Article 10 of that Directive (DTR5.2.1 (d)), the natural person or legal entity who
has a life interest in shares if that person or entity is entitled to exercise the voting rights attached to the shares and the natural
person or legal entity who is disposing of the voting rights when the life interest is created;
- in the circumstances foreseen in letter (e) of Article 10 of that Directive (DTR5.2.1 (e)), the controlling natural person or legal
entity and, provided it has a notification duty at an individual level under Article 9 (DTR 5.1), under letters (a) to (d) of Article 10
of that Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those situations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of that Directive (DTR5.2.1 (f)), the deposit taker of the shares, if he
can exercise the voting rights attached to the shares deposited with him at his discretion, and the depositor of the shares
allowing the deposit taker to exercise the voting rights at his discretion;
- in the circumstances foreseen in letter (g) of Article 10 of that Directive (DTR5.2.1 (g)), the natural person or legal entity that
controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of that Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise the
voting rights at his discretion, and the shareholder who has given his proxy to the proxy holder allowing the latter to exercise
the voting rights at his discretion (e.g. management companies).
v Applicable in the cases provided for in Article 10 (b) to (h) of Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should be the
full name of the shareholder who is the counterparty to the natural person or legal entity referred to in Article 10 of that
Directive (DTR5.2) unless the percentage of voting rights held by the shareholder is lower than the lowest notifiable threshold
for the disclosure of voting rights holdings in accordance with national practices (e.g. identification of funds managed by
management companies).
vi The date on which threshold is crossed or reached should be the date on which the acquisition or disposal took place or the
other reason triggered the notification obligation. For passive crossings, the date when the corporate event took effect.
vii The total number of voting rights shall be composed of all the shares, including depository receipts representing shares, to
which voting rights are attached even if the exercise thereof is suspended.
viii If the holding has fallen below the lowest applicable threshold in accordance with national law, please note that it might not
be necessary in accordance with national law to disclose the extent of the holding, only that the new holding is below that
threshold.
ix In case of combined holdings of shares with voting rights attached "direct holding" and voting rights "indirect holding", please
split the voting rights number and percentage into the direct and indirect columns – if there is no combined holdings, please
leave the relevant box blank.
x Date of maturity/expiration of the financial instrument i.e. the date when right to acquire shares ends.
xi If the financial instrument has such a period – please specify this period – for example once every 3 months starting from
(date).
xii In case of cash settled instruments the number and percentages of voting rights is to be presented on a delta-adjusted basis
(Article 13(1a) of Directive 2004/109/EC) (DTR 5.3.3.A).
xiii If the person subject to the notification obligation is either controlled and/or does control another undertaking then the
second option applies.
xiv The full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity has to be
presented also in the cases, in which only on subsidiary level a threshold is crossed or reached and the subsidiary undertaking
discloses the notification as only thus the markets get always the full picture of the group holdings. In case of multiple chains
through which the voting rights and/or financial instruments are effectively held the chains have to be presented chain by chain
leaving a row free between different chains (e.g.: A, B, C, free row, A, B, D, free row, A, E, F etc.).
xv The names of controlled undertakings through which the voting rights and/or financial instruments are effectively held have to
be presented irrespectively whether the controlled undertakings cross or reach the lowest applicable threshold themselves.
xvi Example: Correction of a previous notification.
Date: 11-03-2020 02:00:00
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