This form is intended for use by an issuer to make a Regulatory Information Service notification required by the UK Financial Conduct Authority's Disclose and Transparency Rule 3.1.4R(1).
1. Name of the issuer
Standard Chartered PLC
2. State whether the notification relates to:
(i) a transaction notified in accordance with the UK Disclosure and Transparency Rule 3.1.2R;
(ii) a disclosure made in accordance with section 793 of the UK Companies Act (2006); or
(iii) in accordance with paragraph 26 of the Model Code of the UK Listing Rules.
This notification relates to a transaction notified in accordance with the UK Disclosure and Transparency Rule 3.1.2R
3. Name of person discharging managerial responsibilities/director
Tracy Clarke, Mark Dowie, Karen Fawcett, Andy Halford, Doris Honold, Ben Hung, Ajay Kanwal, Sunil Kaushal, Anna Marrs, Mike Rees, Pam Walkden
4. State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person
N/A
5. Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a non-beneficial interest
This notification is made in respect of holdings of persons referred to in 3. above.
6. Description of shares (including class), debentures or derivatives or financial instruments relating to shares
Ordinary shares of US$0.50 each fully paid
7. Name of registered shareholder(s) and, if more than one, the number of shares held by each of them
Tracy Clarke - shares in own name, husband's name, and held through Wealth Nominees Limited and Bedell Trustees Limited
Mark Dowie- shares held in own name and through Vestra Nominees Limited
Karen Fawcett- shares held in own name and through Standard Chartered Private Bank
Andy Halford - shares held through Mership Nominees and Bedell Trustees Limited
Doris Honold- shares held in own name and through Standard Chartered Private Bank
Benjamin Hung- shares held in own name and held through HKSCC Nominees Ltd and TD Direct Investing Nominees (Europe) Ltd
Ajay Kanwal- shares held in own name and through Standard Chartered Private Bank
Sunil Kaushal- shares held in own name
Anna Marrs- shares held in own name
Mike Rees - shares held through Computershare Company Nominees Limited, Heartwood Nominees and Bedell Trustees Limited
Pamela Walkden- shares held in own name, husband's name and through HSBC Client Nominees (UK) Ltd
8. State the nature of the transaction
(i) Application of the notional dividend arising from deferred awards under the 2011 Standard Chartered Share Plan granted on 19 March 2015.
(ii) Exercise of share awards granted in previous years, under the 2011 Standard Chartered Share Plan, and the subsequent retention and sale for tax of the shares acquired.
9. Number of shares, debentures or financial instruments relating to shares acquired
See clause 20 below.
10. Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
See clause 20 below.
11. Number of shares, debentures or financial instruments relating to shares disposed
N/A
12. Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
N/A
13. Price per share or value of transaction
Relating to (ii) in clause 8 above £4.885129
14. Date and place of transaction
21 March 2016 - London
15. Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
Name |
No. of shares |
% of issued share capital |
Tracy Clarke |
194,049 |
0.006% |
Mark Dowie |
209,644 |
0.006% |
Karen Fawcett |
112,611 |
0.003% |
Andy Halford |
201,794 |
0.006% |
Doris Honold |
71,247 |
0.002% |
Ben Hung |
191,676 |
0.006% |
Ajay Kanwal |
46,105 |
0.001% |
Sunil Kaushal |
50,127 |
0.002% |
Anna Marrs |
33,525 |
0.001% |
Mike Rees |
668,634 |
0.020% |
Pam Walkden |
194,977 |
0.006% |
16. Date issuer informed of transaction
21 March 2016
If a person discharging managerial responsibilities has been granted options by the issuer complete the following boxes
17. Date of grant
N/A
18. Period during which or date on which exercisable
N/A
19. Total amount paid (if any) for grant of the option
None
20. Description of shares or debentures involved (class and number)
Ordinary shares of US$0.50 each fully paid
(i) defined in clause 8 above
Name |
Number of notional dividends |
Tracy Clarke |
534 |
Mark Dowie |
696 |
Karen Fawcett |
300 |
Andy Halford |
706 |
Doris Honold |
228 |
Benjamin Hung |
351 |
Ajay Kanwal |
89 |
Sunil Kaushal |
179 |
Anna Marrs |
413 |
Pamela Walkden |
140 |
(ii) defined in clause 8 above
Name |
Award type |
Granted |
Number of shares exercised |
Number of shares retained |
% of issued share capital |
Number of shares sold |
% of issued share capital |
Tracy Clarke |
Deferred shares |
Mar-14 |
10,007 |
5,294 |
0.00016% |
4,713 |
0.00014% |
Deferred shares |
Mar-15 |
9,895 |
5,235 |
0.00016% |
4,660 |
0.00014% |
|
Mark Dowie |
Deferred shares |
Mar-14 |
27,652 |
20,909 |
0.00064% |
6,743 |
0.00021% |
Deferred shares |
Mar-15 |
18,656 |
9,869 |
0.00030% |
8,787 |
0.00027% |
|
Karen Fawcett |
Deferred shares |
Mar-13 |
6,243 |
4,865 |
0.00015% |
1,378 |
0.00004% |
Deferred shares |
Mar-14 |
5,391 |
4,200 |
0.00013% |
1,191 |
0.00004% |
|
Deferred shares |
Mar-15 |
8,038 |
6,261 |
0.00019% |
1,777 |
0.00005% |
|
Andy Halford |
Deferred shares |
Mar-15 |
13,068 |
6,913 |
0.00021% |
6,155 |
0.00019% |
Doris Honold |
Deferred shares |
Mar-14 |
3,425 |
2,667 |
0.00008% |
758 |
0.00002% |
Deferred shares |
Mar-15 |
6,097 |
4,746 |
0.00014% |
1,351 |
0.00004% |
|
Benjamin Hung |
Deferred shares |
Mar-14 |
1,351 |
1,144 |
0.00003% |
207 |
0.00001% |
Deferred shares |
Mar-15 |
9,423 |
8,000 |
0.00024% |
1,423 |
0.00004% |
|
Ajay Kanwal |
Deferred shares |
Mar-14 |
1,082 |
839 |
0.00003% |
243 |
0.00001% |
Deferred shares |
Mar-15 |
2,168 |
1,682 |
0.00005% |
486 |
0.00001% |
|
Anna Marrs |
Deferred shares |
Mar-14 |
5,900 |
3,558 |
0.00011% |
2,342 |
0.00007% |
Deferred shares |
Mar-15 |
11,086 |
6,684 |
0.00020% |
4,402 |
0.00013% |
|
Mike Rees |
Deferred shares |
Mar-14 |
70,340 |
37,213 |
0.00113% |
33,127 |
0.00101% |
Pamela Walkden |
Deferred shares |
Mar-14 |
3,724 |
1,969 |
0.00006% |
1,755 |
0.00005% |
Deferred shares |
Mar-15 |
3,392 |
1,789 |
0.00005% |
1,603 |
0.00005% |
21. Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise
N/A
22. Total number of shares or debentures over which options held following notification
Name |
No. of shares |
Tracy Clarke |
580,641 |
Mark Dowie |
654,070 |
Karen Fawcett |
399,023 |
Andy Halford |
220,161 |
Doris Honold |
316,811 |
Benjamin Hung |
381,632 |
Ajay Kanwal |
295,662 |
Sunil Kaushal |
261,348 |
Anna Marrs |
377,388 |
Mike Rees |
274,077 |
Pamela Walkden |
306,684 |
23. Any additional information
None
24. Name of contact and telephone number for queries
Alex Raistrick, Company Secretarial Assistant, 020 7885 7154
Name of authorised official of issuer responsible for making notification
Lee Davis, Assistant Group Secretary
Date of notification
22 March 2016