Holding(s) in Company
November 19 2010 - 4:40AM
UK Regulatory
TIDMPMK
TR-1 (i) NOTIFICATION OF MAJOR INTERESTS IN SHARES
1. Identity of the issuer or the underlying issuer of existing shares to which
voting rights are attached (ii):
PLUS Markets Group plc
2. Reason for the notification State
Yes/No
An acquisition or disposal of voting rights Yes
An acquisition or disposal of financial instruments which may
result in the
acquisition of shares already issued to which voting rights are
attached
An event changing the breakdown of voting rights
Other (please specify):
3. Full name of person(s) subject to the notification obligation Bruce Rowan,
(iii): Sun Group of
Companies
4. Full name of shareholder(s) (if different from 3.) (iv):
5. Date of the transaction (and date on which the threshold is 16 November
crossed 2010 and 17
or reached if different) (v): November 2010
6. Date on which issuer notified: 18 November
2010
7. Threshold(s) that is/are crossed or reached: 5% and 6%
8. Notified details: As below
A: Voting rights attached to shares
Class/type Situation Resulting situation
of shares previous to the after the triggering
if possible Triggering transaction (vii)
using the transaction (vi)
ISIN CODE
Number Number Number Number of voting % of voting
of of of rights (ix) rights
Shares Voting shares
Rights
(viii)
Direct Direct Indirect Direct Indirect
(x) (xi)
Ordinary 16,500,000 16,500,000 21,500,000 21,500,000 5.56%
Shares
Ordinary 21,500,000 21,500,000 25,500,000 25,500,000 6.59%
Shares
B: Financial Instruments
Resulting situation after the triggering transaction (xii)
Type of Expiration Exercise/ Number of % of voting
financial date (xiii) Conversion voting rights
instrument Period/ Date rights that may
(xiv) be
acquired if the
instrument is
exercised/
converted
Total (A+B)
Number of voting rights % of voting rights
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable (xv):
Proxy Voting:
10. Name of the proxy holder:
11. Number of voting rights proxy holder will cease
to hold:
12. Date on which proxy holder will cease to hold
voting rights:
13. Additional information:
14. Contact name:
15. Contact telephone number:
Annex Notification Of Major Interests In Shares (xvi)
A: Identity of the person or legal entity subject to the
notification obligation
Bruce Rowan, Sun Group of Companies
Full name (including legal form for
legal entities)
R. B. Rowan
Contact address (registered office for
legal entities)
34 Weymouth Street
Phone number
020 7486 3997
Other useful information (at least legal
representative for legal persons)
B: Identity of the notifier, if applicable (xvii)
As above
Full name
Contact address
Phone number
Other useful information (e.g. functional relationship
with the person or legal entity subject to the notification
obligation)
C: Additional information
For clarity, the total holding of 25,500,000 was reached through an existing
holding of 16,500,000, a purchase of 5,000,000 shares on 16 November 2010 and a
purchase of 4,000,000 shares on 17 November 2010. The company received
notification of both of these purchases on 18 November 2010.
Notes
i. This form is to be sent to the issuer or underlying issuer and to be filed
with the competent authority.
ii. Either the full name of the legal entity or another method for identifying
the issuer or underlying issuer, provided it is reliable and accurate.
iii. This should be the full name of (a) the shareholder; (b) the person
acquiring, disposing of or exercising voting rights in the cases provided for
in DTR5.2.1 (b) to (h); (c) all the parties to the agreement referred to in
DTR5.2.1 (a), or (d) the direct or indirect holder of financial instruments
entitled to acquire shares already issued to which voting rights are attached,
as appropriate.
In relation to the transactions referred to in points 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 DTR5.2.1 (b), the person 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 DTR 5.2.1 (c), the person holding the
collateral, provided the person or entity controls the voting rights and
declares its intention of exercising them, and person lodging the collateral
under these conditions;
- in the circumstances foreseen in DTR5.2.1(d), the person who has a life
interest in shares if that person is entitled to exercise the voting rights
attached to the shares and the person who is disposing of the voting rights
when the life interest is created;
- in the circumstances foreseen in DTR5.2.1 (e), the parent undertaking and,
provided it has a notification duty at an individual level under DTR 5.1, under
DTR5.2.1 (a) to (d) or under a combination of any of those situations, the
controlled undertaking;
- in the circumstances foreseen in 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 DTR5.2.1 (g), the person that controls the
voting rights;
- in the circumstances foreseen in 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.
iv. Applicable in the cases provided for in DTR 5.2.1 (b) to (h). This should
be the full name of the shareholder or holder of financial instruments who is
the counterparty to the natural person or legal entity referred to in DTR5.2.
v. The date of the transaction should normally be, in the case of an on
exchange transaction, the date on which the matching of orders occurs; in the
case of an off exchange transaction, date of the entering into an agreement.
The date on which threshold is crossed should normally be the date on which the
acquisition, disposal or possibility to exercise voting rights takes effect
(see DTR 5.1.1R (3)). For passive crossings, the date when the corporate event
took effect. [DEL::DEL]
These dates will usually be the same unless the transaction is subject to a
condition beyond the control of the parties.
vi. Please refer to the situation disclosed in the previous notification, In
case the situation previous to the triggering transaction was below 3%, please
state `below 3%'.
vii. If the holding has fallen below the minimum threshold , the notifying
party should not be obliged to disclose the extent of the holding, only that
the new holding is less than 3%.
For the case provided for in DTR5.2.1(a), there should be no disclosure of
individual holdings per party to the agreement unless a party individually
crosses or reaches an Article 9 threshold. This applies upon entering into,
introducing changes to or terminating an agreement.
viii. Direct and indirect
ix In case of combined holdings of shares with voting rights attached `direct
holding' and voting rights `indirect holdings', 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 Voting rights attached to shares in respect of which the notifying party is a
direct shareholder (DTR 5.1)
xi. Voting rights held by the notifying party as an indirect shareholder (DTR
5.2.1)
xii If the holding has fallen below the minimum threshold, the notifying party
should not be obliged to disclose the extent of the holding, only that the new
holding is below 3%.
xiii date of maturity / expiration of the finical instrument i.e. the date when
the right to acquire shares ends.
xiv If the financial instrument has such a period-please specify the period-
for example once every three months starting from the [date]
xv. The notification should include the name(s) of the controlled undertakings
through which the voting rights are held. The notification should also include
the amount of voting rights and the percentage held by each controlled
undertaking, insofar as individually the controlled undertaking holds 3% or
more, and insofar as the notification by the parent undertaking is intended to
cover the notification obligations of the controlled undertaking.
xvi. This annex is only to be filed with the competent authority.
xvii. Whenever another person makes the notification on behalf of the
shareholder or the natural person/legal entity referred to in DTR5.2 and
DTR5.3.
END
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