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SOUTH32 LIMITED - TR-1: Standard form for notification of major holdings

Release Date: 23/03/2020 09:20
Code(s): S32     PDF:  
 
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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
ISIN: 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
                                                                                                 16.03.2020
  reachedvi:

  6. Date on which issuer notified (DD/MM/YYYY):                                                 20.03.2020

  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
                                       10.080%                          N/A                  10.080%            4,879,286,133
  crossed or reached
  Position of previous
  notification (if                      6.030%                        0.000%                  6.030%
  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                                          491,820,820                                              10.080%




SUBTOTAL 8. A                              491,820,820                                            10.080%



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




                                                                                                                          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
                                                                                                       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 Holdings
Limited
Schroder & Co. Limited



Schroders plc
Schroder Administration
Limited
Schroder International
Holdings Limited
Schroder Investment
Management Limited                        6.847%                                                           6.847%



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           20.03.2020

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)            Schroders plc

                                                               1 London Wall Place
Contact address (registered office for legal entities)         London
                                                               EC2Y 5AU

E-Mail

Phone number / Fax number                                      +44 20 7658 0000

Other useful information
(at least legal representative for legal persons)




B: Identity of the notifier, if applicable

Full name                                                      Ibraheem Mir

                                                               1 London Wall Place
Contact address                                                London
                                                               EC2Y 5AU

E-Mail                                                         groupdisclosure@schroders.com

Phone number / Fax number                                      +44 20 7658 7892

Other useful information (e.g. functional relationship with
the person or legal entity subject to the notification obli-   Compliance Analyst
gation)



C: Additional information




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JSE Sponsor: UBS South Africa (Pty) Ltd
23 March 2020




                                          5

Date: 23-03-2020 09:20:00
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