Imperial Brands PLC Holding(s) in Company (0641E)
July 02 2021 - 10:20AM
UK Regulatory
TIDMIMB
RNS Number : 0641E
Imperial Brands PLC
02 July 2021
Imperial Brands PLC
Legal Entity Identifier (LEI) No. 549300DFVPOB67JL3A42
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer
and to the FCA in Microsoft Word format if possible)
1a. Identity of the issuer or the Imperial Brands PLC
underlying issuer of existing shares ISIN GB0004544929
to which voting rights are attached:
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 X
------------------
An acquisition or disposal of financial instruments
------------------
An event changing the breakdown of voting rights
------------------
Other (please specify):
------------------
3. Details of person subject to the notification obligation
Name Spring Mountain Investments Ltd
----------------------------------------------------------
City and country of registered Camana Bay, George Town, Cayman
office (if applicable) Islands
----------------------------------------------------------
4. Full name of shareholder(s) (if different from 3)
Name LBS Limited, Northfield Investments
Limited and Seneca Investments
Limited
----------------------------------------------------------
City and country of registered George Town, Cayman Islands
office (if applicable)
----------------------------------------------------------
5. Date on which the threshold 29/06/2021
was crossed or reached:
----------------------------------------------------------
6. Date on which issuer notified 01/07/2021
(DD/MM/YYYY):
----------------------------------------------------------
7. Total positions of person(s) subject to the notification obligation:
% of voting % of voting rights Total of both Total number
rights attached through financial in % of voting rights
to shares instruments of issuer
(total of (total of 8.B.1 (8.A + 8.B)
8.A) + 8.B.2)
---------------------- ------------------- ----------------- ------------------
Resulting situation
on the date on
which threshold
was crossed or
reached 3.725355 0.382491 4.107846 38,876,987
---------------------- ------------------- ----------------- ------------------
Position of previous
notification
(if applicable) 3.635542 0.382491 4.018033
---------------------- ------------------- ----------------- ------------------
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached:
A: Voting rights attached to shares
Class/type Number of voting rights % of voting rights
of shares
ISIN code
(if possible)
---------------------------------------------- ---------------------------------
Direct Indirect Direct Indirect
(Art 9 of (Art 10 of Directive (Art 9 (Art 10 of
Directive 2004/109/EC) (DTR5.2.1) of Directive Directive
2004/109/EC) 2004/109/EC) 2004/109/EC)
(DTR5.1) (DTR5.1) (DTR5.2.1)
--------------- ----------------------------- ---------------- ---------------
GB0004544929
Common Stock 35,075,559 0 3.706177 0.000000
--------------- ----------------------------- ---------------- ---------------
US45262P1021
Depository
Receipt 181,500 0 0.019178 0.000000
--------------- ----------------------------- ---------------- ---------------
SUBTOTAL 8.A 35,257,059 3.725355%
---------------------------------------------- ---------------------------------
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 % of voting
instrument date Conversion rights that may be rights
Period acquired if the instrument
is exercised/converted
--------------- ------------- -------------------------------- ---------------
SUBTOTAL
8.B.1
-------------------------------- ---------------
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 financial Expiration Exercise/ Physical Number of % of voting
instrument date Conversion or cash voting rights rights
Period settlement
--------------- ------------- -------------- ---------------- ---------------
Total Return December
Swap 10, 2021 Cash 3,619,928 0.382491
--------------- ------------- -------------- ---------------- ---------------
SUBTOTAL
8.B.2 3,619,928 0.382491
---------------- ---------------
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) issuer.
Full chain of controlled undertakings through which the voting X
rights and/or the financial instruments are effectively held
starting with the ultimate controlling natural person or legal
entity (please add additional rows as necessary)
--------------------
Ultimate controlling Name of controlled % of voting % of voting Total of both
person undertaking rights if it rights through if it equals
equals or is financial instruments or is higher
higher than if it equals than the notifiable
the notifiable or is higher threshold
threshold than the notifiable
threshold
------------------------ --------------- --------------------- --------------------
Kenneth Bryan
Dart 0.000000
--------------- --------------------- --------------------
Portfolio Services
Ltd 0.000000
--------------- --------------------- --------------------
Seneca Investments
Limited 3.064022 0.000000 3.064022
------------------------ --------------- --------------------- --------------------
Spring Mountain
Investments
Ltd 0.000000
------------------------ --------------- --------------------- --------------------
Northfield Investments
Limited 0.000000
------------------------ --------------- --------------------- --------------------
LBS Limited 0.000000
------------------------ --------------- --------------------- --------------------
10. In case of proxy voting, please identify:
Name of the proxy holder N/A
------------------------------------------------------------
The number and % of voting rights
held
------------------------------------------------------------
The date until which the voting
rights will be held
------------------------------------------------------------
11. Additional information:
N/A
----------------------------------------------------------------------------------------
12. Date of 01 July 2021
completion
13. Place of Grand Cayman, Cayman Islands
completion
-------------------------------------------------------------------------------------
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