Amended Statement of Beneficial Ownership (sc 13d/a)
October 09 2015 - 3:11PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D/A
Under
the Securities Exchange Act of 1934
(Amendment No. 19)
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)
October
8, 2015
(Date
of Event which Requires Filing of this Statement)
HM Treasury;
UK Financial 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 box[ ].
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.
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TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
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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 |
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An event changing the breakdown of voting rights |
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Other (please specify): |
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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 |
8 October 2015 |
6. Date on which issuer notified: |
8 October 2015 |
7. Threshold(s) that is/are crossed or
reached: vi, vii |
Below 11% |
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8. Notified details: |
A: Voting rights attached to shares viii, ix |
Class/type of
shares
if possible using
the ISIN CODE
|
Situation previous
to the triggering
transaction |
Resulting situation after the triggering transaction |
Number
of
Shares |
Number
of
Voting
Rights |
Number
of shares |
Number of voting
rights |
% of voting rights x |
Direct |
Direct xi |
Indirect xii |
Direct |
Indirect |
GB0008706128 |
8,551,600,174 |
8,551,600,174 |
7,826,937,384 |
7,826,937,384 |
|
10.97% |
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|
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 |
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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
|
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|
Nominal |
Delta |
|
|
|
Total (A+B+C) |
Number of voting rights |
Percentage of voting rights |
7,826,937,384 |
10.97% |
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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: |
|
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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 |
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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:
October 9, 2015
Her Majesty’s Treasury, a department of Her Majesty’s Government of the United Kingdom of Great Britain and Northern Ireland |
By: |
/s/ Donna Leong |
Name:Donna Leong |
Title: Deputy Director, State-Owned Financial Assets Team |
UK Financial Investments Ltd |
By: |
/s/ Oliver Holbourn |
Name: Oliver Holbourn |
Title: Head of Market Investments (UKFI) |
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