20th Jul 2017 09:01
Glencore plc
Baar, Switzerland
20 July, 2017
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 attachedii: | Glencore 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 | X | |||||
An acquisition or disposal of financial instruments | ||||||
An event changing the breakdown of voting rights | ||||||
Other (please specify)iii: | ||||||
3. Details of person subject to the notification obligationiv | ||||||
Name | Harris Associates L.P. | |||||
City and country of registered office (if applicable) | Chicago, USA | |||||
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 reachedvi: | 17/07/2017 | |||||
6. Date on which issuer notified (DD/MM/YYYY): | 19/07/2017 | |||||
7. Total positions of person(s) subject to the notification obligation | ||||||
% of voting rights attached to shares (total of 8. A) | % of voting rights through financial instruments(total of 8.B 1 + 8.B 2) | Total of both in % (8.A + 8.B) | Total number of voting rights of issuervii | |||
Resulting situation on the date on which threshold was crossed or reached | 4.91% | n/a | 4.91% | 14,394,740,908 | ||
Position of previous notification (if applicable) | 5.01% | n/a | 5.01% | |||
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 ofshares ISIN code (if possible) | Number of voting rightsix | % of voting rights | |||||||||||
Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | ||||||||||
JE00B4T3BW64 | 707,082,866 | 4.91% | |||||||||||
SUBTOTAL 8. A | 707,082,866 | 4.91% | |||||||||||
| |||||||||||||
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a)) | |||||||||||||
Type of financial instrument | Expirationdatex | Exercise/Conversion Periodxi | Number of voting rights that may be acquired if the instrument is exercised/converted. | % of voting rights | |||||||||
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)) | |||||||||||||
Type of financial instrument | Expirationdatex | Exercise/Conversion Period xi | Physical or cash settlementxii | Number of voting rights | % of voting rights | ||||||||
SUBTOTAL 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) issuerxiii | |||||||||||||
Full chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held starting with the ultimate controlling natural person or legal entityxiv (please add additional rows as necessary) | X | ||||||||||||
Namexv | % of voting rights if it equals or is higher than the notifiable threshold | % of voting rights through financial instruments if it equals or is higher than the notifiable threshold | Total of both if it equals or is higher than the notifiable threshold | ||||||||||
Harris Associates L.P. | 4.91% | n/a | 4.91% | ||||||||||
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 informationxvi | |||||||||||||
Place of completion | Chicago |
Date of completion | 19/07/2017 |
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) | Harris Associates L.P. | |
Contact address (registered office for legal entities) | 111 S. Wacker Drive, Suite 4600, Chicago, IL 60606 | |
Phone number / Fax number | Phone: 312-646-3489 | |
Other useful information (at least legal representative for legal persons) | ||
B: Identity of the notifier, if applicable | ||
Full name | Kim Colwell | |
Contact address | 111 S. Wacker Drive, Suite 4600, Chicago, IL 60606 | |
Phone number / Fax number | 312-646-3489 | |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) | Senior Compliance Officer | |
C: Additional information | ||
Company secretarial | ||||||
John Burton | t: +41 41 709 2619 | m: +41 79 944 5434 | ||||
Nicola Leigh | t: +41 41 709 2755 | m: +41 79 735 3916 | ||||
Media | ||||||
Charles Watenphul | t: +41 41 709 2462 | m: +41 79 904 3320 | ||||
Investors | ||||||
Martin Fewings | t: +41 41 709 2880 | m: +41 79 737 5642 | ||||
Carlos Francisco Fernandez | t: +41 41 709 2369 | m: +41 79 129 9195 | ||||
www.glencore.com
Notes for Editors
Glencore is one of the world's largest global diversified natural resource companies and a major producer and marketer of more than 90 commodities. The Group's operations comprise around 150 mining and metallurgical sites, oil production assets and agricultural facilities.
With a strong footprint in both established and emerging regions for natural resources, Glencore's industrial and marketing activities are supported by a global network of more than 90 offices located in over 50 countries.
Glencore's customers are industrial consumers, such as those in the automotive, steel, power generation, oil and food processing sectors. We also provide financing, logistics and other services to producers and consumers of commodities. Glencore's companies employ around 155,000 people, including contractors.
Glencore is proud to be a member of the Voluntary Principles on Security and Human Rights and the International Council on Mining and Metals. We are an active participant in the Extractive Industries Transparency Initiative.
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DisclaimerThe companies in which Glencore plc directly and indirectly has an interest are separate and distinct legal entities. In this document, "Glencore", "Glencore group" and "Group" are used for convenience only where references are made to Glencore plc and its subsidiaries in general. These collective expressions are used for ease of reference only and do not imply any other relationship between the companies. Likewise, the words "we", "us" and "our" are also used to refer collectively to members of the Group or to those who work for them. These expressions are also used where no useful purpose is served by identifying the particular company or companies.
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