TIDMAAL TIDM0H7D

RNS Number : 9577W

Anglo American PLC

20 November 2017

Anglo American plc (the "Company")

Registered office: 20 Carlton House Terrace, London SW1Y 5AN

Registered number: 3564138 (incorporated in England and Wales)

Legal Entity Identifier: 549300S9XF92D1X8ME43

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                       ANGLO AMERICAN PLC 
  or the underlying issuer 
  of existing shares to which 
  voting rights are attached(ii) 
  : 
-----------------------------------------------  -------------------------------------------------- 
 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 obligation(iv) 
 Name                                             Deutsche Bank AG 
 City and country of registered                   Frankfurt, Germany 
  office (if applicable) 
 4. Full name of shareholder(s) (if different from 3.) 
--------------------------------------------------------------------------------------------------- 
 Name 
-----------------------------------------------  -------------------------------------------------- 
 City and country of registered 
  office (if applicable) 
-----------------------------------------------  -------------------------------------------------- 
 5. Date on which the threshold                   15/11/2017 
  was crossed or reached(vi) 
  : 
-----------------------------------------------  -------------------------------------------------- 
 6. Date on which issuer notified                 17/11/2017 
  (DD/MM/YYYY): 
-----------------------------------------------  -------------------------------------------------- 
 7. Total positions of person(s) subject to the notification 
  obligation 
--------------------------------------------------------------------------------------------------- 
                              % of voting           % of voting        Total of       Total number 
                            rights attached       rights through       both in %       of voting 
                               to shares             financial        (8.A + 8.B)      rights of 
                               (total of            instruments                        issuer(vii) 
                                 8. A)               (total of 
                                                    8.B 1 + 8.B 
                                                        2) 
---------------------  ------------------------  ----------------  ----------------  -------------- 
 Resulting 
  situation 
  on the date 
  on which 
  threshold 
  was crossed 
  or reached                     2.60%                 5.35%             7.95%        1,404,608,606 
---------------------  ------------------------  ----------------  ----------------  -------------- 
 Position 
  of previous 
  notification 
  (if 
  applicable)                    2.99%                 5.03%             8.02% 
---------------------  ------------------------  ----------------  ----------------  -------------- 
 
 
 
 8. Notified details of the resulting situation on the 
  date on which the threshold was crossed or reached(viii) 
-------------------------------------------------------------------------------------------------------------- 
 A: Voting rights attached to shares 
-------------------------------------------------------------------------------------------------------------- 
 Class/type             Number of voting rights(ix)              % of voting rights 
  of 
  shares 
  ISIN code 
  (if possible) 
--------------------- 
                              Direct             Indirect                   Direct                 Indirect 
                             (Art 9 of           (Art 10 of                (Art 9 of               (Art 10 of 
                             Directive           Directive                 Directive               Directive 
                           2004/109/EC)         2004/109/EC)              2004/109/EC)            2004/109/EC) 
                             (DTR5.1)            (DTR5.2.1)                 (DTR5.1)               (DTR5.2.1) 
--------------------   -------------------  ------------------  ------------------------------  -------------- 
 GB00B1XZS820                22,863,253             13,735,525               1.62%                   0.98% 
---------------------  -------------------  ------------------  ------------------------------  -------------- 
 
 
 SUBTOTAL 
  8. A                                36,598,778                                     2.60% 
---------------------  ---------------------------------------  ---------------------------------------------- 
 
 B 1: Financial Instruments according to Art. 13(1)(a) 
  of Directive 2004/109/EC (DTR5.3.1.1 (a)) 
-------------------------------------------------------------------------------------------------------------- 
 Type of financial      Expiration           Exercise/           Number of voting                % of voting 
  instrument             date(x)              Conversion          rights that                     rights 
                                              Period(xi)          may be acquired 
                                                                  if the instrument 
                                                                  is 
                                                                  exercised/converted. 
---------------------  -------------------  ------------------  ------------------------------  -------------- 
 Right To 
  Recall                                                                   1,019,136                 0.07% 
---------------------  -------------------  ------------------  ------------------------------  -------------- 
 Physically-settled 
  Call Option           15-Jun-18                                          2,500,000                 0.18% 
---------------------  -------------------  ------------------  ------------------------------  -------------- 
 Exchangeable 
  Bond                  11-Apr-20                                          8,983,742                 0.64% 
---------------------  -------------------  ------------------  ------------------------------  -------------- 
                                             SUBTOTAL 8. 
                                              B 1                         12,502,878                 0.89% 
                                            ------------------  ------------------------------  -------------- 
 
 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               Expiration            Exercise/           Physical           Number       % of voting 
  financial             date(x)              Conversion          or cash             of voting    rights 
  instrument                                 Period              settlement(xii)     rights 
                                             (xi) 
--------------------  --------------------  ------------------  -----------------  -----------  -------------- 
 Equity 
  Swaps                24-Jan-22                                       Cash         30,350,920       2.16% 
--------------------  --------------------  ------------------  -----------------  -----------  -------------- 
 Call Option           10-Dec-18                                       Cash         28,958,458       2.06% 
--------------------  --------------------  ------------------  -----------------  -----------  -------------- 
 Put Option            10-Dec-18                                       Cash         1,019,722        0.07% 
--------------------  --------------------  ------------------  -----------------  -----------  -------------- 
 Put Option            20-Apr-18                                     Physical       2,050,000        0.15% 
--------------------  --------------------  ------------------  -----------------  -----------  -------------- 
 Option 
  Swaps                15-Dec-17                                       Cash          250,000         0.02% 
--------------------  --------------------  ------------------  -----------------  -----------  -------------- 
                                                                 SUBTOTAL 
                                                                  8.B.2             62,629,100       4.46% 
                                                                -----------------  -----------  -------------- 
 
 
 
 
 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) 
  issuer(xiii) 
 Full chain of controlled undertakings through which                      x 
  the voting rights and/or the 
  financial instruments are effectively held starting 
  with the ultimate controlling natural person or legal 
  entity(xiv) (please add additional rows as necessary) 
--------------------------------------------------------------  --------------------- 
       Name(xv)            % of voting      % of voting rights      Total of both 
                           rights if it      through financial       if it equals 
                           equals or is       instruments if         or is higher 
                            higher than        it equals or       than the notifiable 
                          the notifiable      is higher than           threshold 
                             threshold        the notifiable 
                                                 threshold 
----------------------  -----------------  -------------------  --------------------- 
 Deutsche Bank 
  Aktiengesellschaft                              5.35%                 7.95% 
-----------------------------------------  -------------------  --------------------- 
 Deutsche Holdings 
  (Luxembourg) 
  S.à r.l. 
-----------------------------------------  -------------------  --------------------- 
 Deutsche Group 
  Holdings (SA) 
  Proprietary Limited 
-----------------------------------------  -------------------  --------------------- 
 Deutsche Holdings 
  (SA) (Proprietary) 
  Limited 
-----------------------------------------  -------------------  --------------------- 
 Deutsche Securities 
  (Proprietary) 
  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 
-----------------------------------------  ------------------------------------------ 
 
 11. Additional information(xvi) 
------------------------------------------------------------------------------------- 
 
 
 
 
 Place of completion     London 
--------------------  ----------- 
 Date of completion    17/11/2017 
--------------------  ----------- 
 

John Mills

Group Company Secretary

Anglo American plc

20 November 2017

Notes

(i) Please note that national forms may vary due to specific national legislation (Article 3(1a) of Directive 2004/109/EC) as for instance the applicable thresholds or information regarding capital holdings.

(ii) Full name of the legal entity and further specification of the issuer or underlying issuer, provided it is reliable and accurate (e.g. address, LEI, domestic number identity). Indicate in the relevant section whether the issuer is a non UK issuer.

(iii) Other reason for the notification could be voluntary notifications, changes of attribution of the nature of the holding (e.g. expiring of financial instruments) or acting in concert.

(iv) This should be the full name of (a) the shareholder; (b) the natural person or legal entity acquiring, disposing of or exercising voting rights in the cases provided for in DTR5.2.1 (b) to (h)/ Article 10 (b) to (h) of Directive 2004/109/EC; (c) all parties to the agreement referred to in Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or (d) the holder of financial instruments referred to in Article 13(1) of Directive 2004/109/EC (DTR5.3.1).

As the disclosure of cases of acting in concert may vary due to the specific circumstances (e.g. same or different total positions of the parties, entering or exiting of acting in concert by a single party) the standard form does not provide for a specific method how to notify cases of acting in concert.

In relation to the transactions referred to in points (b) to (h) of Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the following list is provided as indication of the persons who should be mentioned:

- in the circumstances foreseen in letter (b) of Article 10 of that Directive (DTR5.2.1 (b)), the natural person or legal entity that acquires the voting rights and is entitled to exercise them under the agreement and the natural person or legal entity who is transferring temporarily for consideration the voting rights;

- in the circumstances foreseen in letter (c) of Article 10 of that Directive (DTR5.2.1 (c)), the natural person or legal entity holding the collateral, provided the person or entity controls the voting rights and declares its intention of exercising them, and natural person or legal entity lodging the collateral under these conditions;

- in the circumstances foreseen in letter (d) of Article 10 of that Directive (DTR5.2.1 (d)), the natural person or legal entity who has a life interest in shares if that person or entity is entitled to exercise the voting rights attached to the shares and the natural person or legal entity who is disposing of the voting rights when the life interest is created;

- in the circumstances foreseen in letter (e) of Article 10 of that Directive (DTR5.2.1 (e)), the controlling natural person or legal entity and, provided it has a notification duty at an individual level under Article 9 (DTR 5.1), under letters (a) to (d) of Article 10 of that Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those situations, the controlled undertaking;

- in the circumstances foreseen in letter (f) of Article 10 of that Directive (DTR5.2.1 (f)), the deposit taker of the shares, if he can exercise the voting rights attached to the shares deposited with him at his discretion, and the depositor of the shares allowing the deposit taker to exercise the voting rights at his discretion;

- in the circumstances foreseen in letter (g) of Article 10 of that Directive (DTR5.2.1 (g)), the natural person or legal entity that controls the voting rights;

- in the circumstances foreseen in letter (h) of Article 10 of that Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise the voting rights at his discretion, and the shareholder who has given his proxy to the proxy holder allowing the latter to exercise the voting rights at his discretion (e.g. management companies).

(v) Applicable in the cases provided for in Article 10 (b) to (h) of Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should be the full name of the shareholder who is the counterparty to the natural person or legal entity referred to in Article 10 of that Directive (DTR5.2) unless the percentage of voting rights held by the shareholder is lower than the lowest notifiable threshold for the disclosure of voting rights holdings in accordance with national practices (e.g. identification of funds managed by management companies).

(vi) The date on which threshold is crossed or reached should be the date on which the acquisition or disposal took place or the other reason triggered the notification obligation. For passive crossings, the date when the corporate event took effect.

(vii) The total number of voting rights shall be composed of all the shares, including depository receipts representing shares, to which voting rights are attached even if the exercise thereof is suspended.

(viii) If the holding has fallen below the lowest applicable threshold in accordance with national law, please note that it might not be necessary in accordance with national law to disclose the extent of the holding, only that the new holding is below that threshold.

(ix) In case of combined holdings of shares with voting rights attached "direct holding" and voting rights "indirect holding", please split the voting rights number and percentage into the direct and indirect columns - if there is no combined holdings, please leave the relevant box blank.

(x) Date of maturity/expiration of the financial instrument i.e. the date when right to acquire shares ends.

(xi) If the financial instrument has such a period - please specify this period - for example once every 3 months starting from [date].

(xii) In case of cash settled instruments the number and percentages of voting rights is to be presented on a delta-adjusted basis (Article 13(1a) of Directive 2004/109/EC) (DTR 5.3.3.A).

(xiii) If the person subject to the notification obligation is either controlled and/or does control another undertaking then the second option applies.

(xiv) The full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity has to be presented also in the cases, in which only on subsidiary level a threshold is crossed or reached and the subsidiary undertaking discloses the notification as only thus the markets get always the full picture of the group holdings. In case of multiple chains through which the voting rights and/or financial instruments are effectively held the chains have to be presented chain by chain leaving a row free between different chains (e.g.: A, B, C, free row, A, B, D, free row, A, E, F etc.).

(xv) The names of controlled undertakings through which the voting rights and/or financial instruments are effectively held have to be presented irrespectively whether the controlled undertakings cross or reach the lowest applicable threshold themselves.

(xvi) Example: Correction of a previous notification.

This information is provided by RNS

The company news service from the London Stock Exchange

END

HOLEANFEALSXFEF

(END) Dow Jones Newswires

November 20, 2017 06:30 ET (11:30 GMT)

Anglo American (LSE:AAL)
Historical Stock Chart
From Feb 2024 to Mar 2024 Click Here for more Anglo American Charts.
Anglo American (LSE:AAL)
Historical Stock Chart
From Mar 2023 to Mar 2024 Click Here for more Anglo American Charts.