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ANGLO AMERICAN PLC - TR-1: Standard form for notification of major holdings

Release Date: 13/10/2017 15:00
Code(s): AGL     PDF:  
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TR-1: Standard form for notification of major holdings

Anglo American plc
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
(the “Company”)


The Company has received the notifications below in respect of the acquisition of 102,183,792 shares
in the Company by Volcan Holdings II plc, increasing the combined total interest in the Company shares
by Volcan Holdings II plc, Conclave PTC Limited and Volcan Investments Limited to 19.35%.


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
of existing shares to which voting rights are                           Anglo American plc
attachedii:
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
                                                         Conclave PTC Limited
Name
                                                         Volcan Investments Limited
                                                         In respect of Conclave PTC Limited, Nassau,
                                                         Bahamas.
City and country of registered office (if applicable)
                                                         In respect of Volcan Investments Limited, Abaco,
                                                         Bahamas
4. Full name of shareholder(s) (if different from 3.) v

Name                                                     Volcan Holdings PLC & Volcan Holdings II PLC

City and country of registered office (if applicable)    Limassol, Cyprus

5. Date on which the threshold was crossed or
                                                         10 October 2017
reachedvi:
                                                                                                       
6. Date on which issuer notified (DD/MM/YYYY):                       12/10/2017

7. Total positions of person(s) subject to the notification obligation

                                                         % of voting rights
                            % of voting rights                                                               Total number of
                                                        through financial in-         Total of both in %
                            attached to shares                                                               voting rights of
                                                             struments                   (8.A + 8.B)
                               (total of 8. A)                                                               issuervii
                                                      (total of 8.B 1 + 8.B 2)
Resulting situation
on the date on which
threshold was
                              19.35 per cent.              0 per cent.                  19.35 per cent.       1,404,606,799
crossed or reached
Position of previous
notification (if              12.08 per cent.              0 per cent.                  12.08 per cent.
applicable)

8. Notified details of the resulting situation on the date on which the threshold was crossed or
reached v iii
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                           0                   271,802,858                        0                19.35 per cent.


SUBTOTAL 8. A                                271,802,858                                          19.35 per cent.


B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
                                                                                Number of voting rights
Type of financial           Expiration      Exercise/                           that may be acquired if
                                                                                                             % of voting rights
instrument                  date x          Conversion Period xi                the instrument is
                                                                                exercised/converted.


                                             SUBTOTAL 8. B 1


B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive
2004/109/EC (DTR5.3.1.1 (b))
                                             Exercise/              Physical or
Type of financial     Expiration                                                         Number of
                                             Conversion             cash                                     % of voting rights
instrument            date x                                                             voting rights
                                             Period xi              settlement xii


                                                                                                                              
                                                                SUBTOTAL
                                                                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
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         X
(please add additional rows as necessary)
                                                                   % of voting rights
                                 % of voting rights if it                                           Total of both if it
                                                                 through financial in-
                                  equals or is higher                                              equals or is higher
          Name xv                                                 struments if it equals
                                  than the notifiable                                              than the notifiable
                                                                 or is higher than the
                                       threshold                                                       threshold
                                                                  notifiable threshold
Conclave PTC Limited
(Bahamas) – 100 per
cent. voting shares held              19.35 per cent.                    0 per cent.                  19.35 per cent.
in Volcan Investments
Limited
Volcan Investments
Limited (Bahamas) -
99.97 per cent. voting
shares and 0.03 per                   19.35 per cent.                    0 per cent.                  19.35 per cent.
cent. held via nominee
companies in Volcan
Holdings PLC
Volcan Holdings PLC
                                      11.44 per cent.                    0 per cent.                  11.44 per cent.
(Cyprus)


Conclave PTC Limited
(Bahamas) – 100 per
cent. voting shares held              19.35 per cent.                    0 per cent.                  19.35 per cent.
in Volcan Investments
Limited
Volcan Investments
Limited (Bahamas) -
99.97 per cent. voting
shares and 0.03 per                   19.35 per cent.                    0 per cent.                  19.35 per cent.
cent. held via nominee
companies in Volcan
Holdings II PLC
Volcan Holdings II PLC
                                      7.91 per cent.                     0 per cent.                  7.91 per cent.
(Cyprus)


                                                                                                                        
10. In case of proxy voting, please identify:
Name of the proxy holder

The number and % of voting rights held

The date until which the voting rights will be held


11. Additional information xvi


Place of completion          Bahamas

Date of completion           12 October 2017


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
of existing shares to which voting rights are                            Anglo American plc
attachedii:
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 obligationiv
Name                                                     Volcan Holdings II plc
City and country of registered office (if applicable)    Limassol, Cyprus

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 October 2017
reachedvi:

6. Date on which issuer notified (DD/MM/YYYY):                        12/10/2017

7. Total positions of person(s) subject to the notification obligation
                                                         % of voting rights
                            % of voting rights                                                               Total number of
                                                        through financial in-         Total of both in %
                            attached to shares                                                               voting rights of
                                                             struments                   (8.A + 8.B)
                               (total of 8. A)                                                               issuervii
                                                      (total of 8.B 1 + 8.B 2)
Resulting situation
on the date on which
threshold was
                              7.91 per cent.               0 per cent.                   7.91 per cent.       1,404,606,799
crossed or reached
Position of previous
notification (if                  N/A                         N/A                             N/A
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                     111,117,696                      0                     7.91 per cent.                   0




SUBTOTAL 8. A                               111,117,696                                            7.91 per cent.



B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
                                                                                Number of voting rights
Type of financial           Expiration      Exercise/                           that may be acquired if
                                                                                                             % of voting rights
instrument                  date x          Conversion Period xi                the instrument is
                                                                                exercised/converted.


                                             SUBTOTAL 8. B 1


                                                                                                                             
B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive
2004/109/EC (DTR5.3.1.1 (b))
                                           Exercise/             Physical or
Type of financial     Expiration                                                       Number of
                                           Conversion            cash                                     % of voting rights
instrument            date x                                                           voting rights
                                           Period xi             settlementxii



                                                                 SUBTOTAL
                                                                 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
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       X
(please add additional rows as necessary)
                                                                    % of voting rights
                                 % of voting rights if it                                            Total of both if it
                                                                  through financial in-
                                  equals or is higher                                               equals or is higher
          Name xv                                                  struments if it equals
                                  than the notifiable                                               than the notifiable
                                                                  or is higher than the
                                       threshold                                                        threshold
                                                                   notifiable threshold
Conclave PTC Limited
(Bahamas) – 100 per
cent. voting shares held              19.35 per cent.                    0 per cent.                   19.35 per cent.
in Volcan Investments
Limited
Volcan Investments
Limited (Bahamas) -
99.97 per cent. voting
shares and 0.03 per                   19.35 per cent.                    0 per cent.                   19.35 per cent.
cent. held via nominee
companies in Volcan
Holdings PLC
Volcan Holdings PLC
                                      11.44 per cent.                    0 per cent.                   11.44 per cent.
(Cyprus)


Conclave PTC Limited
(Bahamas) – 100 per
cent. voting shares held              19.35 per cent.                    0 per cent.                   19.35 per cent.
in Volcan Investments
Limited
Volcan Investments
Limited (Bahamas) -
                                      19.35 per cent.                    0 per cent.                   19.35 per cent.
99.97 per cent. voting
shares and 0.03 per                                                                                                                 
cent. held via nominee
companies in Volcan
Holdings II PLC
Volcan Holdings II PLC
                                       7.91 per cent.                    0 per cent.                   7.91 per cent.
(Cyprus)



10. In case of proxy voting, please identify:
Name of the proxy holder

The number and % of voting rights held

The date until which the voting rights will be held



11. Additional information xvi



Place of completion       Cyprus

Date of completion        12 October 2017

John Mills
Group Company Secretary
Anglo American plc
13 October 2017

Sponsor
RAND MERCHANT BANK (A division of FirstRand Bank Limited)
                                                                                  

Date: 13/10/2017 03:00:00 Produced by the JSE SENS Department. The SENS service is an information dissemination service administered by the JSE Limited ('JSE'). 
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