UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 


 

 

SCHEDULE 13D/A

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 9)

 


 

Lloyds Banking Group plc

(Name of Issuer)

 


 

Ordinary Shares

(Title of Class of Securities)

 


 

539439109

(CUSIP Number)

 


 

Stephen Parker

1 Horse Guards Road

London

SW1A 2HQ

(+44) 20 7270 5666

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 


 

April 23, 2015

(Date of Event Which Requires Filing of this Statement)

HM Treasury;

UKFinancial Investments Ltd

Names of Reporting Persons

 

 

 

If the filing person has previously filed a statement on Schedule 13Gto report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following boxo.

Explanatory note: In lieu of providing the information called for by Schedule 13D, Her Majesty's Treasury is furnishing a copy of “TR-1: Notification of Major Interest in Shares”, which is the standard form for any notification required to be delivered under the UK Disclosure Rules and Transparency Rules to an issuer whose shares are listed on a relevant European Economic Area market (and to the UK Financial Services Authority) following the acquisition or disposal of certain interests in the shares or voting rights in such issuer. The UK Disclosure Rules and Transparency Rules implement the European Transparency Directive (EU Directive 2004/109/EC). This modified Schedule 13D is filed pursuant to no-action relief granted by the Staff of the Securities and Exchange Commission in a no-action letter dated December 10, 2008.

 



 

TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)

 

1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: (ii)

Lloyds Banking Group plc

 

 

2 Reason for the notification (please tick the appropriate box or boxes):

 

 

 

An acquisition or disposal of voting rights

Yes

 

 

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):

 

 

 

3. Full name of person(s) subject to the
notification obligation:
(iii)

The Commissioners of Her Majesty’s Treasury

 

 

4. Full name of shareholder(s)
 
 (if different from 3.):(iv)

The Solicitor for the Affairs of Her Majesty’s Treasury

 

 

5. Date of the transaction and date on
which the threshold is crossed or
reached:
(v)

23 April 2015

 

 

6. Date on which issuer notified:

23 April 2015

 

 

7. Threshold(s) that is/are crossed or
reached:
(vi), (vii)

Below 21%

 

2



 

8. Notified details:

 

A: Voting rights attached to shares (viii), (ix)

 

 

 

Situation previous

 

Resulting situation after the triggering transaction

 

Class/type of
shares

 

to the triggering
transaction

 

Number
of shares

 

Number of voting
rights

 

% of voting rights (x)

 

if possible using
the ISIN CODE

 

Number
of
Shares

 

Number
of
Voting
Rights

 

Direct

 

Direct (xi)

 

Indirect
(xii)

 

Direct

 

Indirect

 

GB0008706128

 

15,697,240,024

 

15,697,240,024

 

14,955,279,535

 

14,955,279,535

 

 

 

20.95

%

 

 

 

B: Qualifying Financial Instruments

 

Resulting situation after the triggering transaction

 

Type of financial
instrument

 

Expiration
date (xiii)

 

Exercise/
Conversion Period (xiv)

 

Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.

 

% of voting
rights

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

C: Financial Instruments with similar economic effect to Qualifying Financial Instruments (xv), (xvi)

 

Resulting situation after the triggering transaction

 

Type of financial
instrument

 

Exercise
price

 

Expiration
date (xvii)

 

Exercise/
Conversion
period (xviii)

 

Number of voting rights
instrument refers to

 

% of voting rights (xix),
(xx)

 

 

 

 

 

 

 

 

 

 

Nominal

 

Delta

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total (A+B+C)

 

Number of voting rights

 

Percentage of voting rights

 

14,955,279,535

 

20.95

%

 

3



 

9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: (xxi)

 

UK Financial Investments Limited, a company wholly-owned by Her Majesty’s Treasury, is entitled to exercise control over the voting rights which are the subject of this notification (pursuant to certain management arrangements with Her Majesty’s Treasury).

 

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:

The Solicitor for the Affairs of Her Majesty’s Treasury is acting as nominee for Her Majesty’s Treasury

 

 

14. Contact name:

James Neilson

 

 

15. Contact telephone number:

020 7270 5813

 

4



 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: April 24, 2015

 

 

Her Majesty’s Treasury, a department of Her Majesty’s Government of the United Kingdom of Great Britain and Northern Ireland

 

 

 

By:

/s/ Charles Roxburgh

 

 

Name:

Charles Roxburgh

 

 

Title:

Director General, Financial Services

 

 

 

 

 

UKFinancial Investments Ltd

 

 

 

By:

/s/ Oliver Holbourn

 

 

Name:

Oliver Holbourn

 

 

Title:

Head of Market Investments (UKFI)

 

5


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