Custodian REIT plc : Standard form for notification of major holdings (998471)
March 16 2020 - 11:42AM
UK Regulatory
Custodian REIT plc (CREI)
Custodian REIT plc : Standard form for notification of major holdings
16-March-2020 / 16:41 GMT/BST
Dissemination of a Regulatory Announcement that contains inside information
according to REGULATION (EU) No 596/2014 (MAR), transmitted by EQS Group.
The issuer is solely responsible for the content of this announcement.
TR-1: Standard 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 Custodian REIT plc
or the underlying issuer
of existing shares to
which voting rights are
attachedii:
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 X
An acquisition or disposal of financial
instruments
An event changing the breakdown of voting rights
Other (please specify)iii :
3. Details of person subject to the notification
obligationiv
Name Mattioli Woods plc
City and country of Leicester, England
registered office (if
applicable)
4. Full name of shareholder(s) (if different from 3.)v
Name See Section 9
City and country of See Section 9
registered office (if
applicable)
5. Date on which the 13/03/20
threshold was crossed or
reachedvi:
6. Date on which issuer 16/03/20
notified (DD/MM/YYYY):
7. Total positions of person(s) subject to the
notification obligation
% of % of voting Total Total number of
voting rights through of both voting rights of
rights financial in % issuervii
attache instruments (8.A +
d to (total of 8.B 1 8.B)
shares + 8.B 2)
(total
of 8.
A)
Resulting 6.25% 6.25% 420,053,344
situation
on the date
on which
threshold
was crossed
or reached
Position of 5.98% 5.98% 416,053,344
previous
notificatio
n (if
applicable)
8. Notified details of the resulting situation on the date on
which the threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type Number of voting rightsix % of voting
of rights
shares
ISIN code
(if
possible)
Direct Indirect Direct Indirect
(Art 9 of (Art 10 of (Art 9 of (Art 10
Directive Directive Directive of
2004/109/EC) 2004/109/EC) 2004/109/EC) Directiv
(DTR5.1) (DTR5.2.1) (DTR5.1) e
2004/109
/EC)
(DTR5.2.
1)
Ordinary 26,250,642 6.25%
shares of 1p
each
ISIN:
GB00BJFLFT45
SUBTOTAL 8. 26,250,642 6.25%
A
B 1: Financial Instruments according to Art. 13(1)(a) of
Directive 2004/109/EC (DTR5.3.1.1 (a))
Type of Expiration Exercise/ Number of voting %
financial datex Conversion rights that may be of
instrument Periodxi acquired if the vo
instrument is ti
ng
ri
gh
exercised/converted. ts
N/A
SUBTOTAL 8. B 1
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 Expiration Exercise/ Physical or cash Number %
of datex Conversion of of
financ Period xi voting vo
ial rights ti
instru settlementxii ng
ment ri
gh
ts
N/A
SUBTOTAL 8.B.2
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) issuerxiii
Full chain of controlled undertakings through X
which the voting rights and/or the
financial instruments are effectively held
starting with the ultimate controlling natural
person or legal entityxiv (please add
additional rows as necessary)
Namexv % of % of Total of both if it equals
voting voting or is higher than the
rights if rights notifiable threshold
it equals through
or is financia
higher l
than the instrume
notifiable nts if
threshold it
equals
or is
higher
than the
notifiab
le
threshol
d
Discretionary
Client
Portfolios
(held under
following
custodians)
Pershing <3% <3% (1.28%)
Nominees (1.28%)
Limited
FNZ Nominees <3% <3% (0.07%)
Limited (0.07%)
Mattioli Woods
Funds (held
under
following
custodian)
Société 4.90% 4.90%
Générale
10. In case of proxy voting, please identify:
Name of the proxy holder
The number and % of
voting rights held
The date until which the
voting rights will be
held
11. Additional informationxvi
Place of completion Newmarket, England
Date of completion 16 March 2020
Annex: Notification of major holdings (to be filed with the FCA
only)
A: Identity of the person subject to the notification
obligation
Full name (including legal Mattioli Woods plc
form for legal entities)
Contact address (registered 1 New Walk Place, Leicester, LE1
office for legal entities) 6RU
E-Mail jonathon.marchant@mattioliwoods.com
Phone number / Fax number 0116 240 8706
Other useful information
(at least legal
representative for legal
persons)
B: Identity of the notifier, if applicable
Full name Jonathon Marchant (Investment
Analyst)
Contact address Mattioli Woods, Cheveley House,
Fordham Road, Newmarket, Suffolk,
CB8 7XN
E-Mail jonathon.marchant@mattioliwoods.com
[1]
Phone number / Fax number 01638 564230
Other useful information
(e.g. functional
relationship with the person
or legal entity subject to
the notification obligation)
C: Additional information
The shares referred to in section 9 are held in portfolios
managed by those firms on a discretionary basis for clients
under investment management agreements. This disclosure has
been calculated based on issue share capital amount
420,053,344.
Please send the completed form together with this annex to the FCA at the
following email
address: Majorshareholdings@fca.org.uk. Please send in Microsoft Word format
if possible.
Notes
i Please note that national forms may vary due to specific national
legislation (Article 3(1a) of Directive 2004/109/EC) as for instance the
applicable thresholds or information regarding capital holdings.
ii Full name of the legal entity and further specification of the issuer or
underlying issuer, provided it is reliable and accurate (e.g. address, LEI,
domestic number identity). Indicate in the relevant section whether the
issuer is a non UK issuer.
iii Other reason for the notification could be voluntary notifications,
changes of attribution of the nature of the holding (e.g. expiring of
financial instruments) or acting in concert.
iv This should be the full name of (a) the shareholder; (b) the natural
person or legal entity acquiring, disposing of or exercising voting rights
in the cases provided for in DTR5.2.1 (b) to (h)/ Article 10 (b) to (h) of
Directive 2004/109/EC; (c) all parties to the agreement referred to in
Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or (d) the holder of
financial instruments referred to in Article 13(1) of Directive 2004/109/EC
(DTR5.3.1).
As the disclosure of cases of acting in concert may vary due to the specific
circumstances (e.g. same or different total positions of the parties,
entering or exiting of acting in concert by a single party) the standard
form does not provide for a specific method how to notify cases of acting in
concert.
In relation to the transactions referred to in points (b) to (h) of Article
10 of Directive 2004/109/EC (DTR5.2.1 (b) to (h)), the following list is
provided as indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of that
Directive (DTR5.2.1 (b)), the natural person or legal entity that acquires
the voting rights and is entitled to exercise them under the agreement and
the natural person or legal entity who is transferring temporarily for
consideration the voting rights;
- in the circumstances foreseen in letter (c) of Article 10 of that
Directive (DTR5.2.1 (c)), the natural person or legal entity holding the
collateral, provided the person or entity controls the voting rights and
declares its intention of exercising them, and natural person or legal
entity lodging the collateral under these conditions;
- in the circumstances foreseen in letter (d) of Article 10 of that
Directive (DTR5.2.1 (d)), the natural person or legal entity who has a life
interest in shares if that person or entity is entitled to exercise the
voting rights attached to the shares and the natural person or legal entity
who is disposing of the voting rights when the life interest is created;
- in the circumstances foreseen in letter (e) of Article 10 of that
Directive (DTR5.2.1 (e)), the controlling natural person or legal entity
and, provided it has a notification duty at an individual level under
Article 9 (DTR 5.1), under letters (a) to (d) of Article 10 of that
Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those
situations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of that
Directive (DTR5.2.1 (f)), the deposit taker of the shares, if he can
exercise the voting rights attached to the shares deposited with him at his
discretion, and the depositor of the shares allowing the deposit taker to
exercise the voting rights at his discretion;
- in the circumstances foreseen in letter (g) of Article 10 of that
Directive (DTR5.2.1 (g)), the natural person or legal entity that controls
the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of that
Directive (DTR5.2.1 (h)), the proxy holder, if he can exercise the voting
rights at his discretion, and the shareholder who has given his proxy to the
proxy holder allowing the latter to exercise the voting rights at his
discretion (e.g. management companies).
v Applicable in the cases provided for in Article 10 (b) to (h) of Directive
2004/109/EC (DTR5.2.1 (b) to (h). This should be the full name of the
shareholder who is the counterparty to the natural person or legal entity
referred to in Article 10 of that Directive (DTR5.2) unless the percentage
of voting rights held by the shareholder is lower than the lowest notifiable
threshold for the disclosure of voting rights holdings in accordance with
national practices (e.g. identification of funds managed by management
companies).
vi The date on which threshold is crossed or reached should be the date on
which the acquisition or disposal took place or the other reason triggered
the notification obligation. For passive crossings, the date when the
corporate event took effect.
vii The total number of voting rights shall be composed of all the shares,
including depository receipts representing shares, to which voting rights
are attached even if the exercise thereof is suspended.
viii If the holding has fallen below the lowest applicable threshold in
accordance with national law, please note that it might not be necessary in
accordance with national law to disclose the extent of the holding, only
that the new holding is below that threshold.
ix In case of combined holdings of shares with voting rights attached
"direct holding" and voting rights "indirect holding", please split the
voting rights number and percentage into the direct and indirect columns -
if there is no combined holdings, please leave the relevant box blank.
x Date of maturity/expiration of the financial instrument i.e. the date when
right to acquire shares ends.
xi If the financial instrument has such a period - please specify this
period - for example once every 3 months starting from [date].
xii In case of cash settled instruments the number and percentages of voting
rights is to be presented on a delta-adjusted basis (Article 13(1a) of
Directive 2004/109/EC) (DTR 5.3.3.A).
xiii If the person subject to the notification obligation is either
controlled and/or does control another undertaking then the second option
applies.
xiv The full chain of controlled undertakings starting with the ultimate
controlling natural person or legal entity has to be presented also in the
cases, in which only on subsidiary level a threshold is crossed or reached
and the subsidiary undertaking discloses the notification as only thus the
markets get always the full picture of the group holdings. In case of
multiple chains through which the voting rights and/or financial instruments
are effectively held the chains have to be presented chain by chain leaving
a row free between different chains (e.g.: A, B, C, free row, A, B, D, free
row, A, E, F etc.).
xv The names of controlled undertakings through which the voting rights
and/or financial instruments are effectively held have to be presented
irrespectively whether the controlled undertakings cross or reach the lowest
applicable threshold themselves.
xvi Example: Correction of a previous notification.
ISIN: GB00BJFLFT45
Category Code: MSCH
TIDM: CREI
LEI Code: 2138001BOD1J5XK1CX76
OAM Categories: 3.1. Additional regulated information required to be
disclosed under the laws of a Member State
Sequence No.: 52576
EQS News ID: 998471
End of Announcement EQS News Service
1: mailto:sarah.thi@mattioliwoods.com
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