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Rolls-Royce Holdings (RR)

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Wednesday 21 October, 2020

Rolls-Royce Holdings

Holding(s) in Company

RNS Number : 8153C
Rolls-Royce Holdings plc
21 October 2020
 

Rolls-Royce Holdings plc

 

TR-1: S tandard form for notification of major holdings

 

NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i


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

Rolls-Royce Holdings 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

X

An event changing the breakdown of voting rights


Other (please specify)iii:


3. Details of person subject to the notification obligation iv

Name

The Goldman Sachs Group, Inc.

City and country of registered office (if applicable)

Corporation Trust Center, 1209 Orange Street,

Wilmington DE 19801, USA

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

Name

City and country of registered office (if applicable)

Plumtree Court, 25 Shoe Lane, London EC4A 4AU, UK

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

16/10/2020

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

20/10/2020

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 vii

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

1.03%

4.87%

5.90%

1,930,995,313

Position of previous notification (if

applicable)

0.98%

5.001%

5.98%


 

 

 

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reached viii

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rights ix

% 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)

GB00B63H8491


19,730,780


1.02%

US7757812067


139,053


0.01%






SUBTOTAL 8. A

19,869,833

1.03%

 

 

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
x

Exercise/
Conversion Period
xi

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights

Securities Lending

Open


34,153,131

1.77%

Future

16/04/2021


1,951,139

0.10%








SUBTOTAL 8. B 1

36,104,270

1.87%

 

 

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
x

Exercise/
Conversion Period
xi

Physical or cash

settlement xii

Number of voting rights

% of voting rights

Refer to the annexure





















SUBTOTAL 8.B.2

58,015,057

3.00%


 

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 xiii


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
xiv (please add additional rows as necessary)

X

Name xv

% 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

The Goldman Sachs Group, Inc.




Goldman Sachs (UK) L.L.C.




Goldman Sachs Group UK Limited




Goldman Sachs

International


4.78%

5.64%





The Goldman Sachs Group, Inc.




IMD Holdings LLC




United Capital Financial Partners, Inc.




United Capital Financial Advisers, LLC








The Goldman Sachs Group, Inc.




Goldman Sachs & Co. LLC








The Goldman Sachs Group, Inc.




GSAM Holdings LLC




Goldman Sachs Asset Management, L.P.








The Goldman Sachs Group, Inc.




Goldman, Sachs & Co. Wertpapier GmbH








The Goldman Sachs Group, Inc.




Folio Financial, Inc.




Folio Investments Inc.





10. In case of proxy voting, please identify:

Name of the proxy holder

N/A

The number and % of voting rights held

N/A

The date until which the voting rights will be held

N/A

 

 

11. Additional information xvi

Please note, the total amount of voting rights has been rounded to 2 decimal places therefore there is a possibility of a rounding error.

 

General email contact:

[email protected]

 

 

 

Place of completion

London

Date of completion

20/10/2020

 

Annexure

 

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 datex

Exercise/Conversion periodxi

Physical or cash settlementxii

Number of voting rights

% of voting rights

CFD

01/05/2025


Cash

  9,603,140

0.50%

CFD

01/10/2030


Cash

  2,850,529

0.15%

CFD

15/10/2030


Cash

  2,815,561

0.15%

CFD

08/11/2021


Cash

  2,272,455

0.12%

CFD

02/04/2024


Cash

  2,189,296

0.11%

CFD

23/02/2023


Cash

  2,126,615

0.11%

CFD

15/07/2025


Cash

  1,770,409

0.09%

CFD

10/12/2029


Cash

  1,729,591

0.09%

CFD

29/10/2021


Cash

  1,680,808

0.09%

CFD

11/09/2030


Cash

  1,496,682

0.08%

CFD

10/12/2029


Cash

  1,382,423

0.07%

CFD

08/07/2030


Cash

  1,156,266

0.06%

CFD

02/12/2022


Cash

  1,117,756

0.06%

CFD

01/10/2030


Cash

  1,103,776

0.06%

Swap

12/07/2021


Cash

  1,028,236

0.05%

CFD

07/10/2030


Cash

  1,027,257

0.05%

CFD

08/10/2030


Cash

  995,269

0.05%

CFD

07/10/2030


Cash

  950,106

0.05%

CFD

11/09/2023


Cash

  901,435

0.05%

CFD

15/07/2025


Cash

  891,859

0.05%

CFD

17/06/2030


Cash

  778,202

0.04%

CFD

03/05/2022


Cash

  765,472

0.04%

CFD

17/06/2030


Cash

  719,282

0.04%

CFD

19/08/2030


Cash

  719,272

0.04%

CFD

03/04/2030


Cash

  634,455

0.03%

CFD

30/09/2030


Cash

  599,265

0.03%

CFD

01/10/2030


Cash

  548,776

0.03%

CFD

15/10/2030


Cash

  537,422

0.03%

CFD

02/05/2023


Cash

  532,636

0.03%

CFD

25/02/2030


Cash

  519,063

0.03%

CFD

09/10/2030


Cash

  500,125

0.03%

CFD

12/10/2023


Cash

  472,438

0.02%

CFD

27/03/2025


Cash

  441,568

0.02%

CFD

26/08/2025


Cash

  430,993

0.02%

CFD

01/10/2030


Cash

  400,334

0.02%

CFD

08/10/2030


Cash

  390,400

0.02%

CFD

16/09/2030


Cash

  355,624

0.02%

CFD

25/02/2030


Cash

  352,936

0.02%

Swap

22/12/2020


Cash

  346,127

0.02%

CFD

25/09/2023


Cash

  345,886

0.02%

CFD

08/04/2024


Cash

  332,163

0.02%

CFD

09/10/2023


Cash

  319,997

0.02%

CFD

30/09/2030


Cash

  313,089

0.02%

CFD

17/06/2030


Cash

  301,915

0.02%

CFD

08/10/2030


Cash

  289,868

0.02%

CFD

23/09/2030


Cash

  289,288

0.01%

CFD

21/08/2030


Cash

  264,082

0.01%

Swap

31/12/2030


cash

  236,420

0.01%

CFD

08/10/2030


Cash

  231,398

0.01%

Swap

05/07/2024


Cash

  224,998

0.01%

CFD

24/09/2030


Cash

  202,180

0.01%

CFD

15/07/2030


Cash

  198,390

0.01%

Call Warrant

31/12/2030


Cash

  192,830

0.01%

CFD

25/09/2030


Cash

  187,986

0.01%

CFD

19/08/2030


Cash

  176,628

0.01%

CFD

14/05/2024


Cash

  176,498

0.01%

CFD

30/09/2030


Cash

  173,242

0.01%

Swap

31/12/2030


cash

  159,816

0.01%

CFD

07/06/2021


Cash

  158,459

0.01%

Call Warrant

31/12/2030


Cash

  158,058

0.01%

CFD

08/10/2030


Cash

  155,039

0.01%

CFD

01/10/2030


Cash

  150,815

0.01%

Swap

05/07/2024


Cash

  149,704

0.01%

CFD

23/09/2030


Cash

  146,562

0.01%

CFD

30/09/2030


Cash

  145,890

0.01%

CFD

15/10/2030


Cash

  143,625

0.01%

CFD

19/08/2030


Cash

  130,794

0.01%

CFD

03/05/2022


Cash

  122,496

0.01%

Swap

31/12/2030


cash

  104,119

0.01%

CFD

07/10/2030


Cash

  102,176

0.01%

CFD

16/10/2023


Cash

  99,999

0.01%

Call Warrant

31/12/2030


Cash

  98,913

0.01%

CFD

10/08/2021


Cash

  95,566

0.005%

CFD

07/06/2021


Cash

  95,082

0.005%

CFD

08/07/2030


Cash

  90,754

0.005%

Swap

24/12/2020


Cash

  89,482

0.005%

CFD

09/10/2030


Cash

  82,815

0.004%

CFD

09/10/2023


Cash

  79,999

0.004%

Swap

03/06/2024


Cash

  78,555

0.004%

CFD

28/07/2025


Cash

  76,767

0.004%

CFD

13/10/2025


Cash

  66,401

0.003%

Swap

31/12/2030


cash

  66,000

0.003%

Call Warrant

31/12/2030


Cash

  64,450

0.003%

CFD

07/10/2030


Cash

  63,849

0.003%

CFD

15/07/2030


Cash

  53,750

0.003%

CFD

09/01/2025


Cash

  50,726

0.003%

Swap

31/12/2030


cash

  50,470

0.003%

Call Warrant

31/12/2030


Cash

  50,334

0.003%

CFD

02/08/2022


Cash

  46,824

0.002%

CFD

08/10/2030


Cash

  45,011

0.002%

CFD

26/02/2030


Cash

  44,137

0.002%

CFD

13/04/2028


Cash

  44,079

0.002%

CFD

02/05/2023


Cash

  42,894

0.002%

Swap

17/11/2020


Cash

  40,669

0.002%

CFD

09/10/2030


Cash

  39,534

0.002%

CFD

18/08/2025


Cash

  38,504

0.002%

CFD

09/08/2023


Cash

  37,403

0.002%

CFD

25/02/2030


Cash

  35,492

0.002%

CFD

16/09/2030


Cash

  35,341

0.002%

CFD

26/02/2030


Cash

  33,980

0.002%

CFD

09/10/2030


Cash

  33,908

0.002%

CFD

02/10/2029


Cash

  31,673

0.002%

CFD

10/12/2024


Cash

  29,750

0.002%

CFD

14/10/2030


Cash

  28,300

0.001%

Swap

31/12/2030


cash

  28,150

0.001%

Swap

03/06/2024


Cash

  26,131

0.001%

Put Warrant

31/12/2030


cash

  25,000

0.001%

Swap

31/12/2030


cash

  25,000

0.001%

Call Warrant

31/12/2030


Cash

  24,632

0.001%

CFD

14/10/2030


Cash

  21,691

0.001%

Put Warrant

31/12/2030


cash

  21,096

0.001%

Swap

31/12/2030


cash

  21,096

0.001%

Swap

01/07/2024


Cash

  20,608

0.001%

CFD

16/09/2030


Cash

  20,200

0.001%

CFD

14/10/2030


Cash

  17,277

0.001%

CFD

23/09/2030


Cash

  16,685

0.001%

CFD

29/10/2029


Cash

  15,164

0.001%

CFD

16/09/2030


Cash

  14,975

0.001%

CFD

23/09/2030


Cash

  14,969

0.001%

Call Option

11/11/2020


Cash

  14,665

0.001%

CFD

07/10/2030


Cash

  14,575

0.001%

Swap

31/12/2030


cash

  14,290

0.001%

Swap

31/12/2030


cash

  14,000

0.001%

Call Warrant

31/12/2030


Cash

  13,476

0.001%

CFD

29/08/2023


Cash

  13,272

0.001%

CFD

07/10/2030


Cash

  13,132

0.001%

Swap

31/12/2030


cash

  13,000

0.001%

CFD

28/07/2025


Cash

  12,820

0.001%

CFD

14/10/2030


Cash

  11,431

0.001%

CFD

17/06/2030


Cash

  10,492

0.001%

Put Warrant

31/12/2030


cash

  10,452

0.001%

Swap

31/12/2030


cash

  10,452

0.001%

CFD

03/05/2022


Cash

  10,352

0.001%

Put Warrant

31/12/2030


cash

  9,862

0.001%

Swap

31/12/2030


cash

  9,862

0.001%

Call Warrant

31/12/2030


Cash

  9,500

0.0005%

CFD

07/10/2030


Cash

  9,221

0.0005%

CFD

28/07/2025


Cash

  9,012

0.0005%

CFD

25/09/2030


Cash

  7,940

0.0004%

Call Warrant

31/12/2030


Cash

  6,635

0.0003%

CFD

03/05/2022


Cash

  6,533

0.0003%

CFD

29/10/2029


Cash

  5,819

0.0003%

CFD

07/10/2030


Cash

  5,492

0.0003%

CFD

03/06/2030


Cash

  5,360

0.0003%

CFD

24/09/2030


Cash

  4,904

0.0003%

CFD

03/05/2022


Cash

  4,854

0.0003%

CFD

20/03/2029


Cash

  4,697

0.0002%

CFD

29/10/2029


Cash

  4,439

0.0002%

Call Option

04/11/2020


Cash

  4,167

0.0002%

Swap

31/12/2030


cash

  4,000

0.0002%

Call Warrant

31/12/2030


Cash

  3,330

0.0002%

Swap

31/12/2030


cash

  3,000

0.0002%

Swap

31/12/2030


cash

  3,000

0.0002%

CFD

04/03/2030


Cash

  2,959

0.0002%

CFD

07/10/2030


Cash

  2,624

0.0001%

CFD

14/10/2030


Cash

  2,002

0.0001%

Swap

31/12/2030


cash

  2,000

0.0001%

Swap

31/12/2030


cash

  2,000

0.0001%

Put Warrant

19/10/2020


cash

  2,000

0.0001%

Swap

19/10/2020


cash

  2,000

0.0001%

Call Warrant

31/12/2030


Cash

  2,000

0.0001%

Call Warrant

31/12/2030


Cash

  1,167

0.0001%

CFD

07/10/2030


Cash

  1,133

0.0001%

Swap

31/12/2030


cash

  1,000

0.0001%

Swap

31/12/2030


cash

  1,000

0.0001%

Call Warrant

31/12/2030


Cash

  990

0.0001%

Call Warrant

31/12/2030


Cash

  800

0.00004%

Call Warrant

31/12/2030


Cash

  600

0.00003%

Call Warrant

31/12/2030


Cash

  389

0.00002%

Call Option

21/10/2020


Cash

  3

0.0000002%

CFD

19/07/2027


Cash

  1

0.0000001%

Total Number of voting rights and percentage of voting rights

58,015,057

3.00%

Additional information: Please note, total amount of voting rights have been rounded to 2 decimal places therefore there is a possibility of a rounding error.

 

Name of authorised officer of issuer responsible for making notification: N icola Carroll FCG

Date of notification: 21 October 2020

L EI: 213800EC7997ZBLZJH69

 

 

 

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