TIDMRR. TIDM42SB

RNS Number : 7077F

Rolls-Royce Holdings plc

18 November 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                                      Rolls-Royce Holdings plc 
  underlying issuer of existing shares 
  to which voting rights are attached 
  (ii) : 
                                                             ---------------------------------------------- 
 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 
                                                                                                       ---- 
 An event changing the breakdown of voting rights 
                                                                                                       ---- 
 Other (please specify)(iii) : Passive crossing of threshold due                                         X 
  to change in the total number of voting rights in the issuer 
                                                                                                       ---- 
 3. Details of person subject to the notification obligation (iv) 
 Name                                                         The Goldman Sachs Group, Inc. 
 City and country of registered office                        Corporation Trust Center, 1209 Orange 
  (if applicable)                                              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) 
                                                             ---------------------------------------------- 
 5. Date on which the threshold was                           12/11/2020 
  crossed or reached (vi) : 
                                                             ---------------------------------------------- 
 6. Date on which issuer notified (DD/MM/YYYY):               17/11/2020 
                                                             ---------------------------------------------- 
 7. Total positions of person(s) subject to the notification obligation 
                              % of voting       % of voting rights     Total of both    Total number 
                            rights attached      through financial       in % (8.A +     of voting rights 
                            to shares (total        instruments             8.B)         of issuer (vii) 
                                of 8. A)           (total of 8.B 
                                                     1 + 8.B 2) 
                          ------------------  ----------------------  ---------------  -------------------- 
 Resulting situation 
  on the date 
  on which threshold 
  was crossed 
  or reached                     0.03%                 0.05%               0.08%           7,992,500,197 
                          ------------------  ----------------------  ---------------  -------------------- 
 Position of 
  previous notification 
  (if 
  applicable)                    0.73%                 7.65%               8.38% 
                          ------------------  ----------------------  ---------------  -------------------- 
 
 
 
 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       Number of voting rights                           % of voting rights 
 shares               (ix) 
 ISIN code (if 
 possible) 
                          Direct                  Indirect                              Direct                          Indirect 
                         (Art 9 of           (Art 10 of Directive                 (Art 9 of Directive             (Art 10 of Directive 
                         Directive               2004/109/EC)                    2004/109/EC) (DTR5.1)                2004/109/EC) 
                        2004/109/EC)              (DTR5.2.1)                                                           (DTR5.2.1) 
                          (DTR5.1) 
                                        ---------------------------- 
   GB00B63H8491                                   2,390,041                                                              0.03% 
                    ------------------  ----------------------------  -----------------------------------------  --------------------- 
   US7757812067                                    27,464                                                               0.0003% 
                    ------------------  ----------------------------  -----------------------------------------  --------------------- 
 
 SUBTOTAL 8. A                          2,417,505                                                   0.03% 
                    ------------------------------------------------  ---------------------------------------------------------------- 
 
 B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC 
  (DTR5.3.1.1 (a)) 
 Type of financial   Expiration   Exercise/                      Number of voting                                 % of voting 
  instrument          date (x)     Conversion Period              rights that may                                  rights 
                                   (xi)                           be acquired if 
                                                                  the instrument 
                                                                  is 
                                                                  exercised/converted. 
                    -----------  -----------------------------  -----------------------------------------------  --------------------- 
 Securities 
  Lending            Open                                                          2,762,354                             0.03% 
                    -----------  -----------------------------  -----------------------------------------------  --------------------- 
 
 
                                  SUBTOTAL 8. B 
                                   1                                               2,762,354                             0.03% 
                                 -----------------------------  -----------------------------------------------  --------------------- 
 
 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         Expiration       Exercise/           Physical or          Number of                              % of voting 
 financial        date (x)         Conversion          cash                 voting rights                          rights 
 instrument                        Period (xi)         settlement 
                                                       (xii) 
                ---------------  ------------------  -------------------  ------------------------------------- 
 Refer to the 
  annexure 
                ---------------  ------------------  -------------------  ------------------------------------- 
 
 
                                                      SUBTOTAL 8.B.2                                  1,371,803          0.02% 
                                                     -------------------  ------------------------------------- 
 
 
 
 
 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                           X 
  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) 
            Name (xv)                % of voting      % of voting rights       Total of both if 
                                     rights if it      through financial        it equals or is 
                                     equals or is      instruments if it        higher than the 
                                     higher than      equals or is higher     notifiable threshold 
                                    the notifiable    than the notifiable 
                                      threshold            threshold 
                                  ----------------  ---------------------  ------------------------ 
 The Goldman Sachs Group, 
  Inc. 
                                  ----------------  ---------------------  ------------------------ 
 Goldman Sachs & Co. LLC 
                                  ----------------  ---------------------  ------------------------ 
 
 The Goldman Sachs Group, 
  Inc. 
                                  ----------------  ---------------------  ------------------------ 
 Goldman, Sachs & Co. 
  Wertpapier GmbH 
                                  ----------------  ---------------------  ------------------------ 
 
 The Goldman Sachs Group, 
  Inc. 
                                  ----------------  ---------------------  ------------------------ 
 GSAM Holdings LLC 
                                  ----------------  ---------------------  ------------------------ 
 Goldman Sachs Asset Management, 
  L.P. 
                                  ----------------  ---------------------  ------------------------ 
 
 The Goldman Sachs Group, 
  Inc. 
                                  ----------------  ---------------------  ------------------------ 
 IMD Holdings LLC 
                                  ----------------  ---------------------  ------------------------ 
 United Capital Financial 
  Partners, Inc. 
                                  ----------------  ---------------------  ------------------------ 
 United Capital Financial 
  Advisers, LLC 
                                  ----------------  ---------------------  ------------------------ 
 
 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                                 N/A 
  held 
                                                                  ------ 
 The date until which the voting rights                            N/A 
  will be held 
                                                                  ------ 
 
 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: 
  gs-regops-emea-position-enquiries@gs.com 
 
 
 Place of completion   London 
 Date of completion    17/11/2020 
                      ----------- 
 
 
 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       Expiration    Exercise/Conversion    Physical           Number of voting rights                                                     % of 
 financial      date(x)       period(xi)             or cash                                                                                       voting 
 instrument                                          settlement(xii)                                                                               rights 
              ------------  ---------------------  -----------------  --------------------------------------------------------------------------  --------- 
 Swap          22/12/2020                            Cash                                                                             346,566      0.004% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          20/01/2021                            Cash                                                                             235,069      0.003% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                             178,675      0.002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                             133,158      0.002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                             116,296      0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                74,271    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                66,000    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          17/11/2020                            Cash                                                                                50,981    0.001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                30,416    0.0004% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                30,144    0.0004% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Put Warrant   31/12/2030                            Cash                                                                                25,000    0.0003% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Put Warrant   31/12/2030                            Cash                                                                                18,537    0.0002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                14,000    0.0002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                13,000    0.0002% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Put Warrant   31/12/2030                            Cash                                                                                  7,692   0.0001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  7,000   0.0001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  5,000   0.0001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  5,000   0.0001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  4,000   0.0001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  3,000   0.00004% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  3,000   0.00004% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  2,000   0.00003% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  2,000   0.00003% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Swap          31/12/2030                            Cash                                                                                  1,000   0.00001% 
              -----------------------------------   ----------------  --------------------------------------------------------------------------  --------- 
 Total Number of voting rights and percentage 
  of voting rights                                                     1,371,803                                                                   0.02% 
                                                                      --------------------------------------------------------------------------  --------- 
 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: 18 November 2020 
  L EI: 213800EC7997ZBLZJH69 
 

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November 18, 2020 04:10 ET (09:10 GMT)