Holding(s) in Company
December 10 2008 - 6:49AM
UK Regulatory
RNS Number : 8860J
Thorntons PLC
10 December 2008
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):
Thorntons 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) Morgan Stanley (Institutional
subject to the notification Securities Group and Global Wealth
obligation (iii): Management)
4. Full name of shareholder(s) ****
(if different from 3.) (iv):
5. Date of the transaction 08.12.08
(and date on which the
threshold is crossed
or reached if different) (v):
6. Date on which issuer 09.12.08
notified:
7. Threshold(s) that is/are 3%
crossed or reached:
8. Notified details: ****
A: Voting rights attached to shares
Class/type of shares Situation previous to Resulting situation after the triggering
if possible using the ISIN the Triggering transaction (vii)
CODE transaction (vi)
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 Shares 2,111,561 2,111,561 Below 3% Below 3% **** Below 3% ****
GB0008901935 **** **** **** **** **** **** ****
**** **** **** **** **** **** **** ****
B: Financial Instruments
Resulting situation after the triggering transaction (xii)
Type of financial Expiration Exercise/Conversion Number of voting % of voting
instrument date (xiii) Period/ Date (xiv) rights that may be rights
acquired if the
instrument
is
exercised/converted
**** **** **** **** ****
Total (A+B)
Number of voting rights % of voting rights
Below 3% Below 3%
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are
effectively held, if applicable (xv):
N/A
Proxy Voting:
10. Name of the proxy holder: N/A
11. Number of voting rights proxy holder will cease to hold: N/A
12. Date on which proxy holder will cease to hold voting rights: N/A
13. Additional information: N/A
14. Contact name: Nkilika Amobi
15. Contact telephone number: 020 7677 1871
Annex Notification Of Major Interests In Shares (xvi)
A: Identity of the person or legal entity subject to the notification
obligation
Full name (including legal form for legal entities) ****
Contact address (registered office for legal entities) ****
Phone number ****
Other useful information (at least legal representative for legal ****
persons)
B: Identity of the notifier, if applicable (xvii)
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
****
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.
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.
This information is provided by RNS
The company news service from the London Stock Exchange
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