GKN PLC - Holding(s) in Company
April 16 2018 - 3:46AM
PR Newswire (US)
GKN plc (the "Company")
Legal Entity Identifier: 213800QNZ22GS95OSW84
Classification of Information: 2.3 Major shareholding
notifications
The following notification was received by the Company on
13 April 2018.
Katie Lewis
Assistant Secretary
16 April 2018
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 or the underlying issuer of existing shares
to which voting rights are attachedii: |
GKN 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 |
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 |
Bank of
America Corporation |
City and
country of registered office (if applicable) |
Wilmington, DE, United States |
4. Full
name of shareholder(s) (if different from 3.)v |
Name |
Merrill
Lynch International |
City and
country of registered office (if applicable) |
London,
UK |
5. Date
on which the threshold was crossed or
reachedvi: |
11th April 2018 |
6. Date
on which issuer notified (DD/MM/YYYY): |
13th April 2018 |
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 issuervii |
Resulting situation on
the date on which threshold was crossed or reached |
8.001% |
5.059% |
13.060% |
1,718,902,276 |
Position
of previous notification (if
applicable) |
6.547% |
5.003% |
11.550% |
|
|
|
|
|
|
|
|
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 of
shares
ISIN code (if possible) |
Number
of voting rightsix |
% 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) |
GB0030646508 |
0 |
137,525,239 |
0% |
8.001% |
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8. A |
137,525,239 |
8.001% |
|
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
datex |
Exercise/
Conversion Periodxi |
Number
of voting rights that may be acquired if the instrument is
exercised/converted. |
% of voting rights |
N/A |
N/A |
N/A |
N/A |
N/A |
|
|
|
|
|
|
|
|
|
|
|
|
SUBTOTAL 8. B 1 |
N/A |
N/A |
|
|
|
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 Period xi |
Physical
or cash
settlementxii |
Number of voting rights |
% of voting rights |
Exchange Traded
Funds |
N/A |
N/A |
Cash
Settled |
64 |
0.000% |
OTC Option over
Index |
20-Dec-19 |
N/A |
Cash
Settled |
185,969 |
0.011% |
Index Futures |
15-Jun-18 |
N/A |
Cash
Settled |
65,868 |
0.004% |
Swaps |
17-Apr-2018 |
N/A |
Cash
Settled |
15,560,925 |
0.905% |
Swaps |
19-Apr-2018 |
N/A |
Cash
Settled |
15,000,000 |
0.873% |
Swaps |
20-Jul-2018 |
N/A |
Cash
Settled |
112,695 |
0.007% |
Swaps |
07-Aug-2018 |
N/A |
Cash
Settled |
5,081,869 |
0.296% |
Swaps |
10-Oct-2018 |
N/A |
Cash
Settled |
149 |
0.000% |
Swaps |
31-Oct-2018 |
N/A |
Cash
Settled |
26,621 |
0.002% |
Swaps |
31-Dec-2018 |
N/A |
Cash
Settled |
70,533 |
0.004% |
Swaps |
31-Jan-2019 |
N/A |
Cash
Settled |
119,307 |
0.007% |
Swaps |
13-Feb-2019 |
N/A |
Cash
Settled |
205,918 |
0.012% |
Swaps |
11-Mar-2019 |
N/A |
Cash
Settled |
64,750 |
0.004% |
Swaps |
11-Apr-2019 |
N/A |
Cash
Settled |
42,953,458 |
2.499% |
Swaps |
15-Apr-2019 |
N/A |
Cash
Settled |
7,443 |
0.000% |
Swaps |
30-Apr-2019 |
N/A |
Cash
Settled |
406,810 |
0.024% |
Swaps |
10-May-2019 |
N/A |
Cash
Settled |
1,138,910 |
0.066% |
Swaps |
13-May-2019 |
N/A |
Cash
Settled |
1,856,000 |
0.108% |
Swaps |
29-May-2019 |
N/A |
Cash
Settled |
17,881 |
0.001% |
Swaps |
31-May-2019 |
N/A |
Cash
Settled |
3,489,363 |
0.203% |
Swaps |
26-Jun-2019 |
N/A |
Cash
Settled |
1,470 |
0.000% |
Swaps |
06-Apr-2020 |
N/A |
Cash
Settled |
500,000 |
0.029% |
Swaps |
15-Feb-2023 |
N/A |
Cash
Settled |
91,011 |
0.005% |
|
|
|
SUBTOTAL 8.B.2 |
86,957,013 |
5.059% |
|
|
|
|
|
|
|
|
|
|
|
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 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) |
X |
Namexv |
% 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 |
Bank of America
Corporation |
N/A |
N/A |
N/A |
NB Holdings
Corporation |
N/A |
N/A |
N/A
|
BofAML Jersey Holdings
Limited |
N/A |
N/A |
N/A |
BofAML EMEA Holdings 2
Limited |
N/A |
N/A |
N/A |
ML UK Capital Holdings
Limited |
N/A |
N/A |
N/A |
Merrill Lynch
International |
7.887% |
N/A |
9.900% |
Namexv |
% 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 |
Bank of America
Corporation |
N/A |
N/A |
N/A |
NB Holdings
Corporation |
N/A |
N/A |
N/A
|
BAC North America
Holding Company |
N/A |
N/A |
N/A |
BANA Holding
Corporation |
N/A |
N/A |
N/A |
Bank of America,
National Association |
N/A |
3.045% |
3.050% |
U.S.
Trust Company of Delaware |
N/A |
N/A |
N/A |
Namexv |
%
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 |
Bank of America
Corporation |
N/A |
N/A |
N/A |
NB Holdings
Corporation |
N/A |
N/A |
N/A |
BAC North America
Holding Company |
N/A |
N/A |
N/A |
Merrill Lynch, Pierce,
Fenner & Smith Incorporated |
N/A |
N/A |
N/A |
Namexv |
%
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 |
Bank of America
Corporation |
N/A |
N/A |
N/A |
NB Holdings
Corporation |
N/A |
N/A |
N/A |
BAC North America
Holding Company |
N/A |
N/A |
N/A |
BANA Holding
Corporation |
N/A |
N/A |
N/A |
Bank of America,
National Association |
N/A |
3.045% |
3.050% |
Managed Account
Advisors LLC |
N/A |
N/A |
N/A |
Namexv |
%
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 |
Bank of America
Corporation |
N/A |
N/A |
N/A |
NB Holdings
Corporation |
N/A |
N/A |
N/A |
BAC North America
Holding Company |
N/A |
N/A |
N/A |
BANA Holding
Corporation |
N/A |
N/A |
N/A |
Bank of America,
National Association |
N/A |
3.045% |
3.050% |
|
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 |
United Kingdom |
Date of
completion |
13th April
2018 |
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