23rd Jan 2007 13:01
Financial Services Authority TR-1(1): NOTIFICATION OF MAJOR INTERESTS IN SHARES \* T1. Identity of the issuer or the underlying issuer of Northern Rock existing shares to which voting rights are attached(2):-------------------------------------------------------------------------------------------2. Reason for the notification (please tick the appropriate box or boxes)-------------------------------------------------------------------------------------------An acquisition or disposal of voting rights X-------------------------------------------------------------------------------------------An acquisition or disposal of financial instruments which may result in the acquisition of shares already issued to which voting rights are attached-------------------------------------------------------------------------------------------An event changing the breakdown of voting rights-------------------------------------------------------------------------------------------Other (please specify):___________________________________________-------------------------------------------------------------------------------------------3. Full name of person(s) subject to the notification Lloyds TSB Group plc obligation(3):-------------------------------------------------------------------------------------------4. Full name of shareholder(s) (if different from 3.)(4):-------------------------------------------------------------------------------------------5. Date of the transaction (and date on which the 22nd January 2007 threshold is crossed or reached if different)(5):-------------------------------------------------------------------------------------------6. Date on which issuer notified: 23rd January 2007-------------------------------------------------------------------------------------------7. Threshold(s) that is/are crossed or reached: 5%-------------------------------------------------------------------------------------------8. Notified details:-------------------------------------------------------------------------------------------\* T \* TA: Voting rights attached to shares-------------------------------------------------------------------------------------------Class/type of Situation previous to Resulting situation after the triggering shares the Triggering transaction(7)if possible transaction (6) using the ----------------------------------------------------------------------------- ISIN CODE Number of Number of Number of Number of voting rights% of voting rights Shares Voting shares (ix) Rights ------------------------------------------------------ (viii) Direct Direct (x) Indirect Direct Indirect 1. 1. (xi)------------------------------------------------------------------------------------------- ORD GBP 0.25 0145279 25,129,690 25,129,690 26,209,648 22,808,930 3,400,718 5.415 0.807-------------------------------------------------------------------------------------------\* T \* TB: Financial Instruments-------------------------------------------------------------------------------------------Resulting situation after the triggering transaction (xii)-------------------------------------------------------------------------------------------Type of financial Expiration Exercise/ Conversion Number of voting rights% of voting instrument date (xiii) Period/ Date (xiv) that may be acquired rights if the instrument is exercised/ converted.-------------------------------------------------------------------------------------------\* T \* TTotal (A+B)-------------------------------------------------------------------------------------------Number of voting rights % of voting rights------------------------------------------------------------------------------------------- 26,209,648 6.222-------------------------------------------------------------------------------------------\* T \* T9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable (xv):------------------------------------------------------------------------------------------\* T \* TProxy Voting:------------------------------------------------------------------------------------------10. Name of the proxy holder:------------------------------------------------------------------------------------------11. Number of voting rights proxy holder will cease to hold:------------------------------------------------------------------------------------------12. Date on which proxy holder will cease to hold voting rights:------------------------------------------------------------------------------------------\* T \* T13. Additional information:------------------------------------------------------------------------------------------14. Contact name: Philip Mason------------------------------------------------------------------------------------------15. Contact telephone number: 01444 418127------------------------------------------------------------------------------------------\* T ANNEX NOTIFICATION OF MAJOR INTERESTS IN SHARES (XVI) \* TA: Identity of the person or legal entity subject to the notification obligation----------------------------------------------------------------------------------------------Full name (including legal form for legal entities) Lloyds TSB Group plc----------------------------------------------------------------------------------------------Contact address (registered office for legal Henry Duncan House entities) 120 George Street Edinburgh EH2 4LH----------------------------------------------------------------------------------------------Phone number 0131 225 4555----------------------------------------------------------------------------------------------Other useful information (at least legal representative for legal persons)----------------------------------------------------------------------------------------------\* T \* TB: Identity of the notifier, if applicable (xvii)----------------------------------------------------------------------------------------------Full name Lloyds TSB Central Disclosure Unit----------------------------------------------------------------------------------------------Contact address 2nd Floor 31/33 Perrymount Road Haywards Heath West Sussex RH16 3SP----------------------------------------------------------------------------------------------Phone number 01444 418127----------------------------------------------------------------------------------------------Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation)----------------------------------------------------------------------------------------------\* T \* TC: Additional information-----------------------------------------------------------------------------------------------\* T Notes (1) This form is to be sent to the issuer or underlying issuer and to be filedwith the competent authority. (2) Either the full name of the legal entity or another method for identifyingthe issuer or underlying issuer, provided it is reliable and accurate. (3) This should be the full name of (a) the shareholder; (b) the personacquiring, disposing of or exercising voting rights in the cases provided for inDTR5.2.1 (b) to (h); (c) all the parties to the agreement referred to inDTR5.2.1 (a), or (d) the direct or indirect holder of financial instrumentsentitled to acquire shares already issued to which voting rights are attached,as appropriate. In relation to the transactions referred to in points DTR5.2.1(b) to (h), the following list is provided as indication of the persons whoshould be mentioned: - in the circumstances foreseen in DTR5.2.1 (b), the personthat acquires the voting rights and is entitled to exercise them under theagreement and the natural person or legal entity who is transferring temporarilyfor consideration the voting rights; - in the circumstances foreseen in DTR5.2.1 (c), the person holding the collateral, provided the person or entitycontrols the voting rights and declares its intention of exercising them, andperson lodging the collateral under these conditions; - in the circumstancesforeseen in DTR5.2.1(d), the person who has a life interest in shares if thatperson is entitled to exercise the voting rights attached to the shares and theperson who is disposing of the voting rights when the life interest is created;- in the circumstances foreseen in DTR5.2.1 (e), the parent undertaking and,provided it has a notification duty at an individual level under DTR 5.1, underDTR5.2.1 (a) to (d) or under a combination of any of those situations, thecontrolled undertaking; - in the circumstances foreseen in DTR5.2.1 (f), thedeposit taker of the shares, if he can exercise the voting rights attached tothe shares deposited with him at his discretion, and the depositor of the sharesallowing the deposit taker to exercise the voting rights at his discretion; - inthe circumstances foreseen in DTR5.2.1 (g), the person that controls the votingrights; - in the circumstances foreseen in DTR5.2.1 (h), the proxy holder, if hecan exercise the voting rights at his discretion, and the shareholder who hasgiven his proxy to the proxy holder allowing the latter to exercise the votingrights at his discretion. (4) Applicable in the cases provided for in DTR 5.2.1 (b) to (h). This should bethe full name of the shareholder or holder of financial instruments who is thecounterparty to the natural person or legal entity referred to in DTR5.2. (5) The date of the transaction should normally be, in the case of an onexchange transaction, the date on which the matching of orders occurs; in thecase of an off exchange transaction, date of the entering into an agreement. Thedate on which threshold is crossed should normally be the date on which theacquisition, disposal or possibility to exercise voting rights takes effect (seeDTR 5.1.1R (3)). For passive crossings, the date when the corporate event tookeffect. These dates will usually be the same unless the transaction is subjectto a condition beyond the control of the parties. (6) Please refer to the situation disclosed in the previous notification, Incase the situation previous to the triggering transaction was below 3%, pleasestate 'below 3%'. vii If the holding has fallen below the minimum threshold ,the notifying party should not be obliged to disclose the extent of the holding,only that the new holding is less than 3%. For the case provided for in DTR5.2.1(a), there should be no disclosure ofindividual holdings per party to the agreement unless a party individuallycrosses or reaches an Article 9 threshold. This applies upon entering into,introducing changes to or terminating an agreement. viii Direct and indirect ixIn case of combined holdings of shares with voting rights attached 'directholding' and voting rights 'indirect holdings', please split the voting rightsnumber and percentage into the direct and indirect columns-if there is nocombined holdings, please leave the relevant box blank. X Voting rights attachedto shares in respect of which the notifying party is a direct shareholder (DTR5.1) xi Voting rights held by the notifying party as an indirect shareholder(DTR 5.2.1) xii If the holding has fallen below the minimum threshold, thenotifying party should not be obliged to disclose the extent of the holding,only that the new holding is below 3%. xiii date of maturity / expiration of thefinical instrument i.e. the date when the right to acquire shares ends. xiv Ifthe financial instrument has such a period-please specify the period- forexample once every three months starting from the [date] xv The notificationshould include the name(s) of the controlled undertakings through which thevoting rights are held. The notification should also include the amount ofvoting rights and the percentage held by each controlled undertaking, insofar asindividually the controlled undertaking holds 3% or more, and insofar as thenotification by the parent undertaking is intended to cover the notificationobligations of the controlled undertaking. xvi This annex is only to be filedwith the competent authority. xvii Whenever another person makes thenotification on behalf of the shareholder or the natural person/legal entityreferred to in DTR5.2 and DTR5.3. Copyright Business Wire 2007Related Shares:
Lloyds