Carillion PLC Holding(s) in Company (1320L)
January 07 2016 - 3:46AM
UK Regulatory
TIDMCLLN
RNS Number : 1320L
Carillion PLC
07 January 2016
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)
--------------------------------------------------
1. Identity of the issuer or Carillion Plc
the underlying issuer GB0007365546
of existing shares to which
voting rights are
attached: (ii)
------------------------------------------------------------- ------------------------
2 Reason for the notification (please tick the appropriate
box or boxes):
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An acquisition or disposal of voting rights Yes
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An acquisition or disposal of qualifying financial n/a
instruments which may result in the acquisition
of shares already issued to which voting rights
are attached
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An acquisition or disposal of instruments with Yes
similar economic effect to qualifying financial
instruments
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An event changing the breakdown of voting rights n/a
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Other (please n/a
specify):
------------------------------------------------------- ------- ---------------------
3. Full name of person(s) UBS Investment Bank
subject to the UBS Group AG
notification obligation:
(iii)
--------------------------------------------------------- ----------------------------
4. Full name of shareholder(s) UBS AG London Branch
(if different from 3.):(iv) UBS Limited
UBS Securities LLC
--------------------------------------------------------- ----------------------------
5. Date of the transaction 4 January 2016
and date on
which the threshold is
crossed or
reached: (v)
--------------------------------------------------------- ----------------------------
6. Date on which issuer 6 January 2016
notified:
--------------------------------------------------------- ----------------------------
7. Threshold(s) that is/are 5% (Section A+B+C)
crossed or
reached: (vi, vii)
--------------------------------------------------------- ----------------------------
8. Notified details:
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A: Voting rights attached to shares (viii, ix)
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Class/type Situation previous Resulting situation after the
of to the triggering triggering transaction
shares transaction
if possible
using
the ISIN
CODE
-------------- ------------------------------------ ----------------------------------------------------------------
Number Number Number Number of voting % of voting
of of of shares rights rights (x)
Shares Voting
Rights
-------------- ----------------- ----------------- ------------- ------------------------ -----------------------
Direct Indirect Direct Indirect
(xi) (xii)
-------------- ------------- ------------- ------------- --------- ------------- ---------- -----------
GB0007365546 18,011,080 18,011,080 - - 14,623,520 - 3.40%
----------------- ----------------- ------------- --------- ------------- ---------- -----------
B: Qualifying Financial Instruments
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Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------------------------
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion rights that rights
(xiii) Period (xiv) may be
acquired if
the
instrument
is
exercised/
converted.
------------------ ----------------- ------------------------------ ------------------------ ---------------------
Right to recall
lent shares - Anytime 171,000 0.04%
------------------ ----------------- ------------------------------ ------------------------ ---------------------
C: Financial Instruments with similar economic effect
to Qualifying Financial Instruments (xv, xvi)
----------------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------------------------
Type of Exercise Expiration Exercise/ Number of voting % of voting
financial price date Conversion rights instrument rights (xix,
instrument (xvii) period refers to xx)
(xviii)
---------------- ----------------- --------------- ------------- ------------------------ -----------------------
XS1140296614 - 19.12.2019 4 years 1,115,377 Nominal Delta
---------------- ----------------- --------------- ------------- ------------------------ ---------- -----------
- 0.26%
-------------- ------------- ------------- ------------- ------- ------------- ---------- -----------
Equity Swaps - from - 6,599,558 Nominal Delta
02.03.2016
to 16.10.2018
---------------- ----------------- --------------- ------------- ------------------------ ---------- -----------
- 1.53%
-------------- ------------- ------------- ------------- ------- ------------- ---------- -----------
Total (A+B+C)
----------------------------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
------------------------------------------------------------------- -------------------------------------------------
22,509,455 5.23%
------------------------------------------------------------------- -------------------------------------------------
9. Chain of controlled undertakings through which the
voting rights and/or the
financial instruments are effectively held, if applicable:
(xxi)
----------------------------------------------------------------------------------------------------------------------
UBS Group AG is a group holding company for UBS Investment
Bank business. Voting rights are held through its controlled
undertakings as set out below.
UBS AG:
* directly through its branches: UBS AG London Branch -
20,182,876 (4.69%); and
* indirectly through its subsidiaries: UBS Limited -
2,112,679 (0.49%)
* indirectly through its subsidiaries: UBS Securities
LLC - 213,900 (0.05%)
Proxy Voting:
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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:
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13. Additional information:
January 07, 2016 03:46 ET (08:46 GMT)
------------------------------------------------------------------- -------------------------------------------------
14. Contact name: Konstantina Georgaki / Zuzana
Görögová
------------------------------------------------------------------- -------------------------------------------------
15. Contact telephone number: +41 44 239 4071
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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 UBS Investment Bank
(including legal form of
legal entities)
------------------------------------ -------------------------------
Contact address 1 Finsbury Avenue
(registered office for legal London
entities) EC2M 2PP
------------------------------------ -------------------------------
Phone number & email
+41 44 239 4071
konstantina.georgaki@ubs.com
------------------------------------ -------------------------------
Other useful information
(at least legal representative
for legal persons)
------------------------------------ -------------------------------
B: Identity of the notifier, if applicable
---------------------------------------------------------------------
Full name Konstantina Georgaki / Zuzana
Görögová
------------------------------------ -------------------------------
Contact address Europastrasse 2
8152 Opfikon
Switzerland
------------------------------------ -------------------------------
Phone number & email
+41 44 239 4071
konstantina.georgaki@ubs.com
------------------------------------ -------------------------------
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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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