Carillion PLC Holding(s) in Company (6461Z)
March 16 2017 - 3:48AM
UK Regulatory
TIDMCLLN
RNS Number : 6461Z
Carillion PLC
16 March 2017
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):
-----------------------------------------------------------------------------------------
An acquisition or disposal of voting rights n/a
---------------------------------------------------------------- -----------------------
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
---------------------------------------------------------------- -----------------------
An acquisition or disposal of instruments with Yes
similar economic effect to qualifying financial
instruments
---------------------------------------------------------------- -----------------------
An event changing the breakdown of voting rights n/a
---------------------------------------------------------------- -----------------------
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)
(if different from 3.):(iv) UBS AG London Branch
--------------------------------------------------------- ------------------------------
5. Date of the transaction 13 March 2017
and date on
which the threshold is
crossed or
reached: (v)
--------------------------------------------------------- ------------------------------
6. Date on which issuer 15 March 2017
notified:
--------------------------------------------------------- ------------------------------
7. Threshold(s) that is/are 5% Section (B+C)
crossed or
reached: (vi, vii)
--------------------------------------------------------- ------------------------------
8. Notified details:
----------------------------------------------------------------------------------------------------------------------
A: Voting rights attached to shares (viii, ix)
----------------------------------------------------------------------------------------------------------------------
Class/type Situation previous Resulting situation after the triggering
of to the 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 1,146,104 1,146,104 - - - - -
----------------- ------------------ ------------- ---------- ----------- ---------- -----------
B: Qualifying Financial Instruments
----------------------------------------------------------------------------------------------------------------------
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 264,271 0.06%
------------------ ----------------- ------------------------------- ----------------------- ---------------------
XS1140296614 19.12.2019 4 years 216,509 0.05%
------------------ ----------------- ------------------------------- ----------------------- ---------------------
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)
---------------- ----------------- ---------------- ------------- ----------------------- -----------------------
Equity Swaps - from - 21,639,399 Nominal Delta
02.05.2017
to 16.01.2020
---------------- ----------------- ---------------- ------------- ----------------------- ---------- -----------
- 5.03%
-------------- ------------- -------------- ------------- -------- ----------- ---------- -----------
Total (A+B+C)
----------------------------------------------------------------------------------------------------------------------
Number of voting rights Percentage of voting rights
-------------------------------------------------------------------- ------------------------------------------------
22,120,179 5.14%
-------------------------------------------------------------------- ------------------------------------------------
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
- 22,120,179 (5.14%)
Proxy 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:
-------------------------------------------------------------------------------- ------------------------------------
13. Additional information:
-------------------------------------------------------------------- ------------------------------------------------
14. Contact name: Jamie Bonney / David Iglesias
-------------------------------------------------------------------- ------------------------------------------------
15. Contact telephone number: +41 44 239 8058
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The company news service from the London Stock Exchange
END
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