TR-1: Notifications of Major Interests in Shares |
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1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: |
Smiths Group PLC |
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2. Reason for notification (yes/no) |
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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 |
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An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
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An event changing the breakdown of voting rights |
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Other (please specify): |
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3. Full name of person(s) subject to notification obligation: |
Dodge & Cox |
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4. Full name of shareholder(s) (if different from 3): |
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5. Date of transaction and date on which the threshold is crossed or reached: |
November 26, 2014 |
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6. Date on which issuer notified: |
November 28, 2014 |
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7. Threshold(s) that is/are crossed or reached: |
5% |
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8. Notified Details |
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A: Voting rights attached to shares |
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Class/type of shares If possible use ISIN CODE |
Situation previous to the triggering transaction |
Resulting situation after the triggering transaction |
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Number of Shares |
Number of voting rights |
Number of shares |
Number of voting rights |
Percentage of voting rights |
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Direct |
Indirect |
Direct |
Indirect |
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GB00B1WY2338 |
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19,255,900 |
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20,345,010 |
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5.15% |
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B: Qualifying Financial Instruments |
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Resulting situation after the triggering transaction |
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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 |
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C: Financial Instruments with similar economic effect to Qualifying Financial Instruments |
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Resulting situation after the triggering transaction |
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Type of financial instrument |
Exercise Price |
Expiration date |
Exercise/ conversion period |
No. of voting rights instrument refers to |
Percentage of voting rights |
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Nominal |
Delta |
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Total (A+B+C) |
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Number of voting rights |
Percentage of voting rights |
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20,345,010 |
5.15% |
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9. Chain of controlled undertakings through which the voting rights and /or the financial instruments are effectively held, if applicable: |
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Proxy Voting:
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10. Name of proxy holder:
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11. Number of voting rights proxy holder will cease to hold:
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12. Date on which proxy holder will cease to hold voting rights:
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13. Additional information: |
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14 Contact name: |
Megan O'Keeffe |
15. Contact telephone name: |
(415) 274-9460 |