20th Sep 2013 13:32
TR-1: NOTIFICATION OF MAYOR INTEREST IN SHARES |
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: ii | ROLLS-ROYCE HOLDINGS PLC |
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 qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | ||
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | ||
An event changing the breakdown of voting rights | ||
Other (please specify): |
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3. Full name of person(s) subject to the notification obligation: iii |
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4. Full name of shareholder(s) (if different from 3.): iv | ||
5. Date of the transaction and date on which the threshold is crossed or reached: v |
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6. Date on which issuer notified: |
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7. Threshold(s) that is/are crossed or reached: vi, vii |
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8. Notified details: | |||||||
A: Voting rights attached to shares viii, ix | |||||||
Class/type ofshares if possible usingthe ISIN CODE | Situation previousto the triggeringtransaction | Resulting situation after the triggering transaction | |||||
NumberofShares | NumberofVotingRights | Numberof shares | Number of votingrights | % of voting rights x | |||
Direct | Direct xi | Indirect xii | Direct | Indirect | |||
Common stock GB00B63H8491 | 49,951,506 | 49,951,506 | 58,969,691 | 58,969,691 | n/a | 3.1363% | n/a |
B: Qualifying Financial Instruments | ||||
Resulting situation after the triggering transaction | ||||
Type of financialinstrument | Expirationdate xiii | Exercise/ConversionPeriod xiv | Number of votingrights that may beacquired if theinstrument isexercised/ converted.
| % of votingrights |
n/a | n/a | n/a | n/a | n/a |
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi | ||||||
Resulting situation after the triggering transaction | ||||||
Type of financialinstrument | Exerciseprice | Expirationdate xvii | Exercise/Conversionperiod xviii | Number of votingrights instrumentrefers to | % of voting rights xix, xx
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n/a | n/a | n/a | n/a | n/a | Nominal | Delta
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n/a | n/a |
Total (A+B+C) | |
Number of voting rights | Percentage of voting rights |
58,969,691 | 3.1363% |
9. Chain of controlled undertakings through which the voting rights and/or thefinancial instruments are effectively held, if applicable: xxi |
Series of Harbor Funds # of Voting Rights % of Voting Rights HARBOR INTERNATIONAL FUND 52,438,006 2.7889% HARBOR CAPITAL APPRECIATION FD 6,457,780 0.3435% HARBOR GLOBAL GROWTH FUND 73,905 0.0039% |
Proxy Voting: | |
10. Name of the proxy holder: | n/a |
11. Number of voting rights proxy holder will cease to hold: | n/a |
12. Date on which proxy holder will cease to hold voting rights: | n/a |
13. Additional information: |
Completed in Chicago, Illinois, USA on September 19, 2013 |
14. Contact name: |
Charles F. McCain, Esq.
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15. Contact telephone number: | 312-443-4420 |
Note: Annex should only be submitted to the FCA not the issuer | |
Annex: Notification of major interests in share | |
A: Identity of the persons or legal entity subject to the notification obligation | |
Full name (including legal form of legal entities) | Rolls-Royce Holdings plc |
Contact address (registered office for legal entities) | 65 Buckingham Gate , London, SW1E 6AT |
Phone number & email | 0207 227 9000 |
Other useful information (at least legal representative for legal persons) | |
B: Identity of the notifier, if applicable | |
Full name | |
Contact address | |
Phone number & email | |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) | |
C: Additional information | |
For notes on how to complete form TR-1 please see the FCA website. |
Related Shares:
Rolls-Royce