Holding(s) in Company

RNS Number : 2228T
British Empire Trust PLC
10 October 2017
 

TR-1: Standard form for notification of major holdings

 

NOTIFICATION OF MAJOR HOLDINGS


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

British Empire Trust PLC

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


Other (please specify): Share buy back

X

3. Details of person subject to the notification obligation

Name

Lazard Asset Management LLC

City and country of registered office

(if applicable)

New York, United States of America

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

Name

J.P. Morgan Chase - Swift

Mellon Trust

Northern Trust Co

State Street Bank - Master Tr - ETC

State Street Bank -Custody Master Trust

City and country of registered office (if applicable)


5. Date on which the threshold was crossed or reached:

09 October 2017

6. Date on which issuer notified (DD/MM/YYYY):

10/10/2017

7. Total positions of person(s) subject to the notification obligation


% of voting rights attached to shares (total of 8. A)

% of voting rights through financial instruments
(total of 8.B 1 + 8.B 2)

Total of both in % (8.A + 8.B)

Total number of voting rights of issuer

Resulting situation on the date on which threshold was crossed or reached

8.001%

N/A

8.001%

115,983,983

Position of previous notification (if

applicable)

7.997%

N/A

7.997%


 

 

 

 

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 of
shares

ISIN code (if possible)

Number of voting rights

% of voting rights

 

 

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

 

 

GB0001335081


9,280,340


8.001%

 

 






 

 






 

 

SUBTOTAL 8. A

9,280,340

8.001%

 

 


 

 

B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))

 

 

Type of financial instrument

Expiration
date

Exercise/
Conversion Period

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

% of voting rights

 

 






 

 






 

 






 

 



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 instrument

Expiration
date

Exercise/
Conversion Period

Physical or cash

settlement

Number of voting rights

% of voting rights

 

 







 

 







 

 







 

 




SUBTOTAL 8.B.2



 

 


 

 

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 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)

X

 

 

Namexv

% of voting rights if it equals or is higher than the notifiable threshold

% of voting rights through financial instruments if it equals or is higher than the notifiable threshold

Total of both if it equals or is higher than the notifiable threshold

 

 

Lazard Asset Management LLC

8.001%


8.001%

 

 





 

 





 

 





 

 





 

 


 

 

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

 

 

Contact name: Legal & Compliance Department

Contact telephone number: 0207 448 2085

 

 

Place of completion

Lazard Asset Management Limited

Date of completion

10 October 2017

 

 

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
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