Glencore plc
Baar, Switzerland
20 June 2017
TR-1 Notification of Major Interest in Shares
|
||
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: |
GLENCORE PLC |
|
2. Reason for the notification (yes/no) |
||
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 |
No |
|
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
No |
|
An event changing the breakdown of voting rights |
No |
|
Other (please specify): ______________ |
No |
|
3. Full name of person(s) subject to notification obligation: |
Harris Associates L.P. |
|
4. Full name of shareholder(s) (if different from 3): |
Amsouth Bank BNY Mellon Center Brown Brothers Harriman Charles Schwab & Co., Inc Colorado State Bank & Trust Harris Trust & Savings Bank JPMorgan Private Client Svcs Mesirow Financial Northern Trust Company Pershing Advisor Solutions Private Bank & Trust Co. Regions Morgan Keegan Trust Smith Barney State Street Bank and Trust State Street Group Email U.S. Trust Wells Fargo |
|
5. Date of transaction (and date on which the threshold is crossed or reached if different): |
15 June 2017 |
|
6. Date on which issuer notified: |
19 June 2017 |
|
7. Threshold(s) that is/are crossed or reached: |
5% |
|
8. Notified Details |
||||||||||||
A: Voting rights attached to shares |
||||||||||||
Class/type of shares If possible use 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 |
Percentage of voting rights |
||||||||
Direct |
Indirect |
Direct |
Indirect |
|||||||||
JE00B4T3BW64 Common Stock |
|
|
720,813,799 ( 713,401,885 Common Stock shares and 3,705,957 Depository Receipt shares or 720,813,799 Common Stock shares on a converted basis) |
|
720,813,799 ( 713,401,885 Common Stock shares and 3,705,957 Depository Receipt shares or 720,813,799 Common Stock votes on a converted basis) |
|
5.01% |
|||||
|
|
|
|
|
|
|
|
|||||
|
||||||||||||
B: Qualifying Financial Instruments |
||||||||||||
Resulting situation after the triggering transaction |
||||||||||||
Type of financial instrument |
Expiration date |
Exercise/ conversion period |
No. of voting rights that may be acquired (if the instrument is exercised/converted) |
Percentage of voting rights |
||||||||
|
|
|
|
|
||||||||
|
||||||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments |
||||||||||||
Resulting situation after the triggering transaction |
||||||||||||
Type of financial instrument |
Exercise Price |
Expiration date |
Exercise/ conversion period |
No. of voting rights instrument refers to |
Percentage of voting rights |
|||||||
Nominal |
Delta |
|||||||||||
|
|
|
|
|
|
|
||||||
|
||||||||||||
Total (A+B+C) |
||||||||||||
Number of voting rights |
Percentage of voting rights |
|||||||||||
720,813,799 ( 713,401,885 Common Stock shares and 3,705,957 Depository Receipt shares or 720,813,799 votes on a converted basis) |
5.01% |
|||||||||||
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: |
|
Amsouth Bank - 133,800 Common Stock shares BNY Mellon - 5,174,000 Common Stock shares Brown Brothers Harriman - 15,246,600 Common Stock shares Charles Schwab & Co., Inc - 8,000 Common Stock shares Colorado State Bank & Trust - 44,800 Common Stock shares Harris Trust & Savings Bank - 62,000 Common Stock shares JPMorgan Private Client Svcs - 11,945,938 Common Stock shares Mesirow Financial - 24,200 Common Stock shares Northern Trust Company - 15,525,300 Common Stock shares Pershing Advisor Solutions - 153,000 Common Stock shares Private Bank & Trust Co. - 50,206 Common Stock shares Regions Morgan Keegan Trust - 69,200 Common Stock shares Smith Barney - 119,600 Common Stock shares State Street Bank and Trust - 649,129,556 Common Stock shares State Street Group - 22,750,999 Common Stock shares U.S. Trust - 114,400 Common Stock shares Wells Fargo - 262,200 Common Stock shares
|
|
|
|
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: |
|
14. Contact name: |
Kim Colwell |
15. Contact telephone number: |
312-646-3489 |
Annex: Notification of major interests in shares |
|
|
|
A: Identity of the person or legal entity subject to the notification obligation |
|
Full name (including legal form for legal entities) |
Harris Associates L.P. |
Contact address (including legal form for legal entities) |
111 S. Wacker Drive, Suite 4600, Chicago, IL 60606 USA |
Phone number & email |
312-646-3489 kcolwell@harrisassoc.com |
Other useful information (at least legal representative for legal persons) |
|
|
|
B: Identity of the notifier, if applicable |
|
Full name |
Kim Colwell |
Contact address |
111 S. Wacker Drive, Suite 4600, Chicago, IL 60606 USA |
Phone number & email |
312-646-3489 kcolwell@harrisassoc.com |
Other useful information (e.g. functional relationship with the person or legal entity subject to the notification obligation) |
|
|
|
C: Additional information |
|
|
Company secretarial |
|
|
||||
John Burton |
t: +41 41 709 2619 |
m: +41 79 944 5434 |
||||
Nicola Leigh |
t: +41 41 709 2755 |
m: +41 79 735 3916 |
nicola.leigh@glencore.com |
|||
Media |
|
|
|
|||
Charles Watenphul |
t: +41 41 709 2462 |
m: +41 79 904 3320 |
charles.watenphul@glencore.com |
|||
Investors |
|
|
|
|||
Martin Fewings |
t: +41 41 709 2880 |
m: +41 79 737 5642 |
martin.fewings@glencore.com |
|||
Carlos Francisco Fernandez |
t: +41 41 709 2369 |
m: +41 79 129 9195 |
carlos.fernandez@glencore.com |
|||
|
|
|
|
|||
Notes for Editors
Glencore is one of the world's largest global diversified natural resource companies and a major producer and marketer of more than 90 commodities. The Group's operations comprise around 150 mining and metallurgical sites, oil production assets and agricultural facilities.
With a strong footprint in both established and emerging regions for natural resources, Glencore's industrial and marketing activities are supported by a global network of more than 90 offices located in over 50 countries.
Glencore's customers are industrial consumers, such as those in the automotive, steel, power generation, oil and food processing sectors. We also provide financing, logistics and other services to producers and consumers of commodities. Glencore's companies employ around 155,000 people, including contractors.
Glencore is proud to be a member of the Voluntary Principles on Security and Human Rights and the International Council on Mining and Metals. We are an active participant in the Extractive Industries Transparency Initiative.
www.flickr.com/photos/glencore
www.youtube.com/glencorevideos
Disclaimer
The companies in which Glencore plc directly and indirectly has an interest are separate and distinct legal entities. In this document, "Glencore", "Glencore group" and "Group" are used for convenience only where references are made to Glencore plc and its subsidiaries in general. These collective expressions are used for ease of reference only and do not imply any other relationship between the companies. Likewise, the words "we", "us" and "our" are also used to refer collectively to members of the Group or to those who work for them. These expressions are also used where no useful purpose is served by identifying the particular company or companies.