TR-1 (i) NOTIFICATION OF MAJOR INTERESTS IN SHARES
1. Identity of the issuer or the underlying issuer of existing shares to which
voting rights are attached (ii):
United Utilities Group PLC
2. Reason for the notification State
Yes/No
An acquisition or disposal of voting rights Yes
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 AXA S.A. 25 Avenue
obligation (iii): Matignon, 75008 Paris
and its group of
companies
4. Full name of shareholder(s) (if different from 3.) -
(iv):
5. Date of the transaction (and date on which the 29 September 2008
threshold is crossed
or reached if different) (v):
6. Date on which issuer notified: 2 October 2008
7. Threshold(s) that is/are crossed or reached: 5%
8. Notified details: -
A: Voting rights attached to shares
Class/type Situation previous Resulting situation after the triggering
of shares to transaction (vii)
if possible the Triggering
using the transaction (vi)
ISIN CODE
Number Number Number Number of voting % of voting
of of of rights (ix) rights
Shares Voting shares
Rights
(viii)
Direct Direct Indirect Direct Indirect
(x) (xi)
GB00B39J2M42 34,978,542 34,978,542 11,260,204 11,260,204 21,932,065 1.65% 3.22%
B: Financial Instruments
Resulting situation after the triggering transaction (xii)
Type of Expiration Exercise/Conversion Number of voting % of voting
financial date (xiii) Period/ Date (xiv) rights that may be rights
instrument acquired if the
instrument
is exercised/converted
N/A N/A N/A N/A N/A
Total (A+B)
Number of voting rights % of voting rights
33,192,269 4.87%
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable (xv):
Name of the Company / Fund Number of Shares % of issued
share capital
AXA 1,361,757.00 0.19983
Direct
AXA Australia 24,727.00 0.00363
Indirect
AXA Colonia Konzern 1,789,651.00 0.26262
Direct
AXA Colonia Konzern 63,149.00 0.00927
Indirect
AXA Financial, Inc 6,136.00 0.000900435
Indirect
AXA Framlington 1,613,875 0.24
Indirect
AXA France 180,122.00 0.02643222
Indirect
AXA IM UK 5,827,382 0.855146202
Direct
AXA IM UK 929,682 0.1364277307
Indirect
AXA Rosenberg 2,029,703 0.297851215
Direct
AXA Rosenberg 19,114,374 2.804961873
Indirect
AXA Winterthur 251,711 0.036937634
Direct
Total Direct 11,260,204 1.65239
Total Indirect 21,932,065 3.21845
TOTAL 33,192,269 4.87084
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: Kyere Tabiri
15. Contact telephone number: 020 7003 1510
Annex Notification Of Major Interests In Shares (xvi)
A: Identity of the person or legal entity subject to the
notification obligation
Full name (including legal form for legal entities) AXA S.A. and its
group of
companies
Contact address (registered office for legal entities) 25 Avenue
Matignon, 75008
Paris
Phone number
Other useful information (at least legal representative
for legal persons)
B: Identity of the notifier, if applicable (xvii)
Full name Kyere Tabiri
Contact address 7 Newgate
Street, London
EC1A 7NX
Phone number 020 7003 1510
Other useful information (e.g. functional relationship AXA IM UK is a
with the person 100% direct
or legal entity subject to the notification obligation) subsidiary of
AXA IM S.A.
which is in turn
indirectly
wholly owned by
AXA S.A.
C: Additional information
Notes
i. This form is to be sent to the issuer or underlying issuer and to be filed
with the competent authority.
ii. Either the full name of the legal entity or another method for identifying
the issuer or underlying issuer, provided it is reliable and accurate.
iii. This should be the full name of (a) the shareholder; (b) the person
acquiring, disposing of or exercising voting rights in the cases provided for
in DTR5.2.1 (b) to (h); (c) all the parties to the agreement referred to in
DTR5.2.1 (a), or (d) the direct or indirect holder of financial instruments
entitled 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 who should be
mentioned:
- in the circumstances foreseen in DTR5.2.1 (b), the person 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 DTR 5.2.1 (c), the person holding the
collateral, provided the person or entity controls the voting rights and
declares its intention of exercising them, and person lodging the collateral
under these conditions;
- in the circumstances foreseen in DTR5.2.1(d), the person who has a life
interest in shares if that person is entitled to exercise the voting rights
attached to the shares and the person 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,
under DTR5.2.1 (a) to (d) or under a combination of any of those situations,
the controlled undertaking;
- in the circumstances foreseen in 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 DTR5.2.1 (g), the person that controls the
voting rights;
- in the circumstances foreseen in 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.
iv. Applicable in the cases provided for in DTR 5.2.1 (b) to (h). This should
be the full name of the shareholder or holder of financial instruments who is
the counterparty to the natural person or legal entity referred to in DTR5.2.
v. The date of the transaction should normally be, in the case of an on
exchange transaction, the date on which the matching of orders occurs; in the
case of an off exchange transaction, date of the entering into an agreement.
The date on which threshold is crossed should normally be the date on which
the acquisition, disposal or possibility to exercise voting rights takes
effect (see DTR 5.1.1R (3)). For passive crossings, the date when the
corporate event took effect.
These dates will usually be the same unless the transaction is subject to a
condition beyond the control of the parties.
vi. Please refer to the situation disclosed in the previous notification, In
case the situation previous to the triggering transaction was below 3%, please
state `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 of
individual holdings per party to the agreement unless a party individually
crosses or reaches an Article 9 threshold. This applies upon entering into,
introducing changes to or terminating an agreement.
viii. Direct and indirect
ix In case of combined holdings of shares with voting rights attached `direct
holding' and voting rights `indirect holdings', 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 Voting rights attached to shares in respect of which the notifying party is
a direct shareholder (DTR 5.1)
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, the notifying 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 the finical instrument i.e. the date
when the right to acquire shares ends.
xiv If the financial instrument has such a period-please specify the period-
for example once every three months starting from the [date]
xv. The notification should include the name(s) of the controlled undertakings
through which the voting rights are held. The notification should also include
the amount of voting rights and the percentage held by each controlled
undertaking, insofar as individually the controlled undertaking holds 3% or
more, and insofar as the notification by the parent undertaking is intended to
cover the notification obligations of the controlled undertaking.
xvi. This annex is only to be filed with the competent authority.
xvii. Whenever another person makes the notification on behalf of the
shareholder or the natural person/legal entity referred to in DTR5.2 and
DTR5.3.
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