TR-1: Standard form for notification of major holdings
South32 Limited
(Incorporated in Australia under the Corporations Act 2001 (Cth))
(ACN 093 732 597)
ASX / LSE / JSE Share Code: S32 ADR: SOUHY
I SIN: AU000000S320
south32.net
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 South32 Limited
attachedii:
1b. Please indicate if the issuer is a non-UK issuer (please mark with an “X” if appropriate)
Non-UK issuer X
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: Type 1 and Type 3 Disclosure as per the Transparency Directive II Regulation X
3. Details of person subject to the notification obligationiv
Name Schroders plc
City and country of registered office (if applicable) London, UK
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
22.04.2020
reachedvi:
6. Date on which issuer notified (DD/MM/YYYY): 23.04.2020
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
9.999% N/A 9.999% 4,846,267,883
crossed or reached
Position of previous
notification (if 10.080% N/A 10.080%
applicable)
1
8. Notified details of the resulting situation on the date on which the threshold was crossed or
reachedviii
A: Voting rights attached to shares
Class/type of Number of voting rightsix % 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)
AU000000S320 484,592,748 9.999%
SUBTOTAL 8. A 484,592,748 9.999%
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 datex Conversion Periodxi 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 datex 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”)
2
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not
xiii
control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer
Full chain of controlled undertakings through which the voting rights and/or the
xiv
financial instruments are effectively held starting with the ultimate controlling natural person or legal entity 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
Namexv struments if it equals
than the notifiable than the notifiable
or is higher than the
threshold threshold
notifiable threshold
Schroders plc
Schroder Administration
Limited
Schroder Wealth Hold-
ings Limited
Schroder & Co. Limited
Schroders plc
Schroder Administration
Limited
Schroder International
Holdings Limited
Schroder Investment
Management Limited 6.659% 6.659%
Schroders plc
Schroder Administration
Limited
Schroder International
Holdings Limited
Schroder Australia Hold-
ings PTY Limited
Schroder Investment
Management Australia
Limited
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
3
11. Additional informationxvi
Place of completion London
Date of completion 23.04.2020
JSE Sponsor: UBS South Africa (Pty) Ltd
24 April 2020
4
Date: 24-04-2020 08:30:00
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