TIDMHDIV TIDMIHP

RNS Number : 6897U

Henderson Diversified Income TstPLC

07 April 2021

TR-1: Standard form for notification of major holdings

 
 1a. Identity of the issuer or the underlying 
  issuer of existing shares to which voting                  Henderson Diversified Income Trust 
  rights are a tt ac h e d ii :                              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 . De t ails of pe r son s ubject to the notification obligation i v 
 Name                                            IntegraFin Holdings Plc 
                                                ------------------------------------------------------------------ 
 City and country of registered office           London, UK 
  (if applicable) 
                                                ------------------------------------------------------------------ 
 4 . F u ll name of shareholder( s) ( if diff e r ent from 3. ) v 
 Name                                            Transact Nominees Limited 
                                                ------------------------------------------------------------------ 
 City and country of registered office           London, UK 
  (if applicable) 
                                                ------------------------------------------------------------------ 
 5. Date on which the threshold was crossed      04/03/2021 
  or r eac h e d vi : 
                                                ------------------------------------------------------------------ 
 6. Date on which issuer notified                05/03/2021 
 (DD/MM/YYYY): 
                                                ------------------------------------------------------------------ 
 7. Total positions of person(s) subject to the notification obligation 
                            % of voting rights     % of voting rights                            Total number 
                            attached to shares     through financial          Total of both       of voting rights 
                             (total of 8. A)         in- struments            in % (8.A + 8.B)    of issuer vii 
                                                    (total of 8.B 1 
                                                        + 8.B 2) 
                         ---------------------  ----------------------  ----------------------  ------------------ 
 Resulting situation 
  on the date on 
  which threshold 
  was crossed or 
  reached                   5.9846%                                        5.9846%                 191,318,240 
                         ---------------------  ----------------------  ----------------------  ------------------ 
 Position of previous 
  notification (if 
  applicable)               6.0009%                                        6.0009% 
                         ---------------------  ----------------------  ----------------------  ------------------ 
 
 
 
 8. Notified details of the resulting situation on the date on which the 
  threshold was crossed or 
  r eac h e d v iii 
 A: Voting rights attached to shares 
 Class/type    Number of voting rights ix                             % of voting rights 
 of 
 shares 
 ISIN code 
 (if 
 possible) 
              -----------------------------------------------------  -------------------------------------------------------- 
                      Direct                         Indirect                   Direct                         Indirect 
                (Art 9 of Directive            (Art 10 of Directive       (Art 9 of Directive            (Art 10 of Directive 
                   2004/109/EC)                    2004/109/EC)              2004/109/EC)                    2004/109/EC) 
                     (DTR5.1)                       (DTR5.2.1)                 (DTR5.1)                       (DTR5.2.1) 
              ---------------------  ------------------------------  ------------------------  ------------------------------ 
 Henderson 
  Diversi- 
  fied 
  Income 
  Trust 
  Plc (HDIV)     11449541                                               5.9846% 
              ---------------------  ------------------------------  ------------------------  ------------------------------ 
 SUBTOTAL 8. 
  A                                              11449541                                                  5.9846% 
              -----------------------------------------------------  -------------------------------------------------------- 
 
 
 B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC 
  (DTR5.3.1.1 (a)) 
                                                               Number of voting 
   Type of financial     Expiration     Exercise/ Conversion    rights that may be             % of voting rights 
   instrument            date x         Period xi               acquired if the instrument 
                                                                is 
                                                                exercised/converted. 
                      -------------  -----------------------  ----------------------------  --------------------- 
 
 
                                      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 of financial   Expiration   Exercise/     Physical or        Number of 
  instrument          date x       Conversion    cash settlement    voting rights     % of voting rights 
                                   Period xi     xii 
                    -----------  ------------  -----------------  ---------------  --------------------- 
 
 
                                                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) 
  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) 
                                                                                        ---------------------------- 
                                   % of voting rights            % of voting rights             Total of both if 
                                   if it equals or is             through financial          it equals or is higher 
            Name x v                 higher than the               in- struments if            than the notifiable 
                                       notifiable               it equals or is higher              threshold 
                                        threshold                      than the 
                                                                 notifiable threshold 
                             ----------------------------  ---------------------------  ---------------------------- 
 IntegraFin Holdings 
  plc                         5.9846% 
                             ----------------------------  ---------------------------  ---------------------------- 
 Integrated Financial 
  Arrangements Ltd            5.9846% 
                             ----------------------------  ---------------------------  ---------------------------- 
 IntegraLife UK Limited       5.9830% 
                             ----------------------------  ---------------------------  ---------------------------- 
 
 IntegraFin Holdings 
  plc                         5.9846% 
                             ----------------------------  ---------------------------  ---------------------------- 
 Integrated Financial 
  Arrangements Ltd            5.9846% 
                             ----------------------------  ---------------------------  ---------------------------- 
 IntegraLife International 
  Limited                     0.0015% 
                             ----------------------------  ---------------------------  ---------------------------- 
 
 
 
 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 
 
 
 
 Place of completion   London, UK 
 Date of completion    05/03/2021 
                      ----------- 
 

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 le- gal 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 le- gal 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 le- gal 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), un- der letters (a) to (d) of Article 10 of that Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those sit- uations, 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 le- gal 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 hold- ing", please split the voting rights number and percentage into the direct and indirect columns - if there is no com- bined 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.

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