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

Release Date: 18/09/2020 08:30
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



18 September 2020



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
                                                                                           South32 Limited
existing shares to which voting rights are 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
                                                                                              15.09.2020
reachedvi:

6. Date on which issuer notified (DD/MM/YYYY):                                                16.09.2020

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
                                    8.129%                         N/A                   8.129%              4,846,267,883
crossed or reached

                                                                                                                         1
Position of previous
notification (if               9.999%                         N/A                        9.999%
applicable)



 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                                           393,954,033                                               8.129%




 SUBTOTAL 8. A                               393,954,033                                             8.129%



 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 Hold-
ings Limited
Schroder & Co. Limited



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


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



                                                                                                                  3
     The date until which the voting rights will be held



     11. Additional informationxvi
     This disclosure is being made due to a legal entity, Schroder Investment Management Limited, crossing
     below the 5% threshold



Place of completion     London

Date of completion      17.09.2020


     JSE Sponsor: UBS South Africa (Pty) Ltd
     18 September 2020




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Date: 18-09-2020 08:30:00
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