TR-1 notification of major interests in shares
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: |
Smith & Nephew plc |
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2. Reason for the notification (please tick the appropriate box or boxes) |
|
||
An acquisition or disposal of voting rights |
x |
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An acquisition or disposal of financial instruments which may result in the acquisition of shares already issued to which voting rights are attached |
¨ |
||
An event changing the breakdown of voting rights |
¨ |
||
Other (please specify): |
¨ |
||
3. Full name of person(s) subject to the notification obligation |
Thornburg Investment Management Inc. |
||
4. Full name of shareholder(s) (if different from 3.) |
N/A |
||
5. Date of the transaction (and date on which the threshold is crossed or reached if different) |
12 January 2011 |
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6. Date on which issuer notified: |
22 February 2011 |
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7. Threshold(s) that is/are crossed or reached: |
3% |
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8. Notified details: |
|
|
|
A: Voting rights attached to shares |
|||||||
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 |
|||
Direct |
Direct |
Indirect |
Direct |
Indirect |
|||
ORD
ADR
|
Above 3%
Above 3% |
Above 3%
Above 3% |
N/A
|
N/A |
14,783,322
764,329
|
N/A |
1.66%
0.43% |
B: Financial Instruments |
||||
Resulting situation after the triggering transaction |
||||
Type of financial instrument |
Expiration date |
Exercise/ Conversion Period/ Date |
Number of voting rights that may be acquired if the instrument is exercised/ converted. |
% of voting rights |
N/A |
|
|
|
|
Total (A+B) |
|
Number of voting rights |
% of voting rights |
18,604,969 |
2.09% |
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: |
Thornburg Investment Management holds these shares as dicretionary Investment Manager. |
Proxy Voting: |
|
10. Name of the proxy holder: |
N/A |
11. Number of voting rights proxy holder will cease to hold: |
N/A |
12. Date on which proxy holder will cease to hold voting rights: |
N/A |
13. Additional information: |
|
14. Contact name: |
Ronald Olexsak |
15. Contact telephone number: |
505.467.7447 (USA) |
TR-1 NOTIFICATION OF MAJOR INTERESTS IN SHARES
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: |
Smith & Nephew plc |
||
2. Reason for the notification (please tick the appropriate box or boxes) |
|
||
An acquisition or disposal of voting rights |
x |
||
An acquisition or disposal of financial instruments which may result in the acquisition of shares already issued to which voting rights are attached |
¨ |
||
An event changing the breakdown of voting rights |
¨ |
||
Other (please specify): |
¨ |
||
3. Full name of person(s) subject to the notification obligation: |
Thornburg Investment Management Inc. |
||
4. Full name of shareholder(s) (if different from 3.): |
N/A |
||
5. Date of the transaction (and date on which the threshold is crossed or reached if different): |
11 January 2011 |
||
6. Date on which issuer notified: |
22 February 2011 |
||
7. Threshold(s) that is/are crossed or reached: |
4% |
||
8. Notified details: |
|
|
|
A: Voting rights attached to shares |
|||||||
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 |
|||
Direct |
Direct |
Indirect |
Direct |
Indirect |
|||
ORD
ADR
|
Above 4%
Above 4% |
Above 4%
Above 4% |
N/A
|
N/A |
27,913,322
1,110,447
|
N/A |
3.14%%
0.62% |
B: Financial Instruments |
||||
Resulting situation after the triggering transaction |
||||
Type of financial instrument |
Expiration date |
Exercise/ Conversion Period/ Date |
Number of voting rights that may be acquired if the instrument is exercised/ converted. |
% of voting rights |
N/A |
|
|
|
|
Total (A+B) |
|
Number of voting rights |
% of voting rights |
33,465,559 |
3.76% |
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: |
Thornburg Investment Management holds these shares as dicretionary Investment Manager. |
Proxy Voting: |
|
10. Name of the proxy holder: |
N/A |
11. Number of voting rights proxy holder will cease to hold: |
N/A |
12. Date on which proxy holder will cease to hold voting rights: |
N/A |
13. Additional information: |
|
14. Contact name: |
Ronald Olexsak |
15. Contact telephone number: |
505.467.7447 (USA) |
Gemma Parsons
Deputy Company Secretary
Smith & Nephews plc
Tel: +44 (0)20 7401 7646