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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
of existing shares to which voting rights are attached (ii) ANGLO AMERICAN PLC
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
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify)iii: Change in delta-adjusted holdings for cash-settled financial instruments X
3. Details of person subject to the notification obligation(iv)
Name Deutsche Bank AG
City and country of registered office (if applicable) Frankfurt, Germany
4. Full name of shareholder(s) (if different from 3.)
Name
City and country of registered office (if applicable)
5. Date on which the threshold was crossed or reached(vi): 16/04/2018
6. Date on which issuer notified (DD/MM/YYYY): 18/04/2018
7. Total positions of person(s) subject to the notification obligation
% of voting rights % of voting rights
attached to shares (total through financial instruments Total of both in % Total number of
of 8. A) (total of 8.B 1 + 8.B 2) (8.A + 8.B) voting rights of issuer(vii)
Resulting situation 2.16% 4.86% 7.02% 1,404,766,876
on the date on which
threshold was
crossed or reached
Position of previous
notification (if 2.04% 4.86% 6.90%
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 29,658,598 655,987 2.11% 0.05%
SUBTOTAL 8. A 30,314,585 2.16%
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
instrument date(x) Conversion Period(xi) the instrument is % of voting rights
exercised/converted.
Right to Recall 7,500 0.00%
Physically-settled Call 20-Jul-18 2,000,000 0.14%
Option
Exchangeable Bond 10-Oct-20 8,611,866 0.61%
SUBTOTAL 8. B 1 10,619,366 0.75%
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
instrument date(x) Conversion Period (xi) cash settlement(xii) voting rights % of voting rights
Equity Swaps 21-Feb-23 Cash 25,891,209 1.84%
Call Option 10-Dec-18 Cash 26,879,581 1.91%
Put Option 10-Dec-18 Cash 1,904,361 0.14%
Put Option 21-Dec-18 Physical 1,500,000 0.11%
Option Swaps 21-Sep-18 Cash 1,250,000 0.09%
Exchange Traded
Fund
Cash 292,537 0.02%
SUBTOTAL 57,717,688 4.11%
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 through financial instruments Total of both if it
it equals or is higher if it equals or is equals or is higher
than the notifiable higher than the notifiable than the notifiable
Name(xv) threshold threshold threshold
Deutsche Bank Aktiengesell 4.86% 7.02%
schaft
Deutsche Holdings
(Luxembourg) S.à r.l.
Deutsche Group Holdings
(SA) Proprietary Limited
Deutsche Holdings (SA) (Pro-
prietary) Limited
Deutsche Securities (Proprie-
tary) Limited
Deutsche Bank Aktiengesell 4.86% 7.02%
schaft
DB USA Corporation
DB U.S. Financial Markets
Holding Corporation
Deutsche Bank Securities
Inc.
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 London
Date of completion 18/04/2018
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.
Clare Davage
Deputy Company Secretary
Anglo American plc
19 April 2018
Sponsor
RAND MERCHANT BANK (A division of FirstRand Bank Limited)
Date: 19/04/2018 04:00:00 Produced by the JSE SENS Department. The SENS service is an information dissemination service administered by the JSE Limited ('JSE').
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