To view the PDF file, sign up for a MySharenet subscription.

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

Release Date: 24/04/2020 08:30
Code(s): S32     PDF:  
 
Wrap Text
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
Produced by the JSE SENS Department. The SENS service is an information dissemination service administered by the JSE Limited ('JSE'). 
The JSE does not, whether expressly, tacitly or implicitly, represent, warrant or in any way guarantee the truth, accuracy or completeness of
 the information published on SENS. The JSE, their officers, employees and agents accept no liability for (or in respect of) any direct, 
indirect, incidental or consequential loss or damage of any kind or nature, howsoever arising, from the use of SENS or the use of, or reliance on,
 information disseminated through SENS.

Email this JSE Sens Item to a Friend.

Share This Story