GKN PLC Holding(s) in Company
April 16 2018 - 4:43AM
UK Regulatory
TIDMGKN
GKN plc (the "Company")
Legal Entity Identifier: 213800QNZ22GS95OSW84
Classification of Information: 2.3 Major shareholding notifications
The following notification was received by the Company on 13 April 2018.
Katie Lewis
Assistant Secretary
16 April 2018
TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the
FCA in Microsoft Word format if possible)i
1a. Identity of the issuer or the underlying GKN plc
issuer of existing shares to which voting
rights are attachedii:
1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X"
if appropriate)
Non-UK issuer
2. Reason for the notification (please mark the appropriate box or boxes with
an "X")
An acquisition or disposal of voting rights
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights X
Other (please specify)iii:
3. Details of person subject to the notification obligationiv
Name The Goldman Sachs Group, Inc.
City and country of registered office (if Corporation Trust Center, 1209 Orange Street,
applicable) Wilmington DE 19801, USA
4. Full name of shareholder(s) (if different from 3.)v
Name Goldman Sachs International
City and country of registered office (if Peterborough Court, 133 Fleet Street, London
applicable) EC4A 2BB, UK
5. Date on which the threshold was crossed or 11/04/2018
reachedvi:
6. Date on which issuer notified (DD/MM/YYYY): 13/04/2018
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both in Total number of
rights attached through financial % (8.A + 8.B) voting rights of
to shares (total instruments issuervii
of 8. A) (total of 8.B 1 +
8.B 2)
Resulting 3.91% 3.57% 7.47% 1,718,902,276
situation on the
date on which
threshold was
crossed or reached
Position of 1.96% 5.30% 7.26%
previous
notification (if
applicable)
8. Notified details of the resulting situation on the date on which the
threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type of Number of voting rightsix % of voting rights
shares
ISIN code (if Direct Indirect Direct Indirect
possible) (Art 9 of (Art 10 of (Art 9 of Directive (Art 10 of
Directive 2004/ Directive 2004/109/ 2004/109/EC) (DTR5.1) Directive 2004/
109/EC) (DTR5.1) EC) (DTR5.2.1) 109/EC)
(DTR5.2.1)
GB0030646508 66,916,810 3.89%
US3617556069 213,803 0.01%
SUBTOTAL 8. A 67,130,613 3.91%
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting rights % of voting
instrument datex Conversion Periodxi that may be acquired if rights
the instrument is
exercised/converted.
Securities Lending Open 101,328 0.01%
SUBTOTAL 8. B 1 101,328 0.01%
B 2: Financial Instruments with similar economic effect according to Art. 13(1)
(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of Expiration Exercise/ Physical or cash Number of % of voting
financial datex Conversion settlementxii voting rights rights
instrument Period xi
Refer to the
annexure
SUBTOTAL 8.B.2 61,233,718 3.56%
9. Information in relation to the person subject to the notification obligation
(please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled by any natural
person or legal entity and does not control any other undertaking(s) holding
directly or indirectly an interest in the (underlying) issuerxiii
Full chain of controlled undertakings through which the voting rights and/or X
the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entityxiv (please add additional rows as
necessary)
Namexv % of voting rights if % of voting rights Total of both if it
it equals or is higher through financial equals or is higher
than the notifiable instruments if it than the notifiable
threshold equals or is higher threshold
than the notifiable
threshold
The Goldman Sachs
Group, Inc.
Goldman Sachs (UK)
L.L.C.
Goldman Sachs Group UK
Limited
Goldman Sachs 3.85% 3.56% 7.41%
International
The Goldman Sachs
Group, Inc.
Goldman Sachs & Co.
LLC
The Goldman Sachs
Group, Inc.
GSAM Holdings LLC
GS Investment
Strategies, LLC
Goldman Sachs
Investment Partners
GP, LLC
Global Long Short
Partners Master LP
The Goldman Sachs
Group, Inc.
GSAM Holdings LLC
Goldman Sachs Asset
Management, L.P.
10. In case of proxy voting, please identify:
Name of the proxy holder N/A
The number and % of voting rights held N/A
The date until which the voting rights will be N/A
held
11. Additional informationxvi
Please note, the total amount of voting rights have been rounded to 2 decimal
places therefore there is a possibility of a rounding error.
General email contact:
RegOpsEMEA-RnM@gs.com
Place of completion London
Date of completion 13/04/2018
Annexure
B 2: Financial Instruments with similar economic effect according to Art. 13(1)
(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of Expiration Exercise/ Physical or Number of voting rights % of voting
financial datex Conversion cash rights
instrument periodxi settlementxii
Swap 17-Dec-2019 Cash 22,897,946 1.33%
Swap 03-Sep-2019 Cash 14,973,080 0.87%
Swap 26-Apr-2018 Cash 14,300,000 0.83%
Swap 03-Sep-2019 Cash 7,073,112 0.41%
CFD 13-Apr-2023 Cash 967,729 0.06%
CFD 07-Apr-2028 Cash 502,025 0.03%
CFD 19-Jan-2028 Cash 138,196 0.01%
Swap 15-May-2019 Cash 100,000 0.006%
CFD 15-May-2019 Cash 81,447 0.005%
Swap 30-Jul-2019 Cash 78,853 0.005%
CFD 19-Jan-2028 Cash 77,846 0.005%
CFD 27-Feb-2023 Cash 22,459 0.0013%
CFD 27-Feb-2023 Cash 8,981 0.0005%
CFD 27-Feb-2023 Cash 6,188 0.0004%
CFD 06-May-2027 Cash 5,856 0.0003%
Total Number of voting rights and percentage of voting rights 3.56%
61,233,718
Additional information: Please note, total amount of voting rights have been
rounded to 2 decimal places therefore there is a possibility of a rounding
error.
END
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