TIDMUDG TIDMAV.
RNS Number : 5537M
UDG Healthcare Public Limited Co.
31 July 2017
Standard Form TR-1
Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant
issuer and to the Central Bank of
Ireland)i
1. Identity of the issuer or the underlying issuer of
existing shares to which voting rights are
attachedii: UDG Healthcare plc
-------------------------------------------------------------------------------------------------
2. Reason for the notification (please tick the appropriate
box or boxes):
[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:
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3. Details of person subject to the notification obligationiv
:
Name: Aviva plc and City and country of registered office
its subsidiaries (if applicable): London, United
Kingdom
--------------------- --------------------------------------------------------------------------
4. Full name of shareholder(s) (if different from 3.)v:
-------------------------------------------------------------------------------------------------
5. Date on which the threshold was crossed or reachedvi:
27 July 2017
-------------------------------------------------------------------------------------------------
6. Date on which issuer notified: 28 July 2017
-------------------------------------------------------------------------------------------------
7. Threshold(s) that is/are crossed or reached: 3% (Box
9A)
-------------------------------------------------------------------------------------------------
8. 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 % (9.A of voting
to shares instruments + 9.B) rights of
(total of (total of 9.B.1 issuervii
9.A) + 9.B.2)
--------------------- ------------------ ------------------- ---------------- ---------------
Resulting
situation
on the date
on which threshold
was crossed
or reached 2.89% 0.12% 3.00% 248,326,744
--------------------- ------------------ ------------------- ---------------- ---------------
Position of
previous
notification
(if applicable) 3.995% N/A 3.995%
--------------------- ------------------ ------------------- ---------------- ---------------
9. 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 Number of voting rightsix % of voting rights
of
shares
ISIN code
(if possible)
---------------- ------------------------------------------ ---------------------------------------------
Direct Indirect Direct Indirect
---------------- ------------------- --------------------- ---------------------- ---------------------
IE0033024807 6,682,841 482,210 2.69% 0.20%
---------------- ------------------- --------------------- ---------------------- ---------------------
SUBTOTAL
A 7,165,051 2.89%
---------------- ------------------------------------------ ---------------------------------------------
B 1: Financial Instruments according to Regulation 17(1)(a)
of the Regulations
----------------------------------------------------------------------------------------------------------
Number of voting
rights that
Type of financial Expiration Exercise/ Conversion may be acquired
instrument datex Periodxi if the instrument % of voting
is exercised/converted. rights
--------------------- -------------- ------------------------ ------------------------- --------------
RIGHT TO RECALL
LOANED SHARES 290,995 0.11%
--------------------------------------------------------------- ------------------------- --------------
SUBTOTAL B.1 290,995 0.11%
------------------------ ------------------------- --------------
B 2: Financial Instruments with similar economic effect
according to Regulation 17(1)(b) of the
Regulations
-----------------------------------------------------------------------------------------------------
Exercise/ Physical
Type of financial Expiration Conversion or Number % of voting
instrument datex Period xi cash settlementxii of voting rights
rights
-------------------- ------------- ------------ -------------------- ------------ --------------
SUBTOTAL
B.2
-------------------- ------------ --------------
10. Information in relation to the person subject to
the notification obligation (please tick the
applicable box):
[ ] 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
[X] 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:
% of voting rights
% of voting rights through financial Total of both
Namexv if it equals instruments if if it equals
or is higher it equals or or is higher
than the notifiable is higher than than the notifiable
threshold the notifiable threshold
threshold
---------------------- ---------------------- ------------------- ----------------------
Aviva Investors
Global Services
Limited 2.89% 3.00%
---------------------- ---------------------- ------------------- ----------------------
Aviva plc (Parent
Company)
---------------------- ---------------------- ------------------- ----------------------
Aviva Group Holdings
Limited (wholly
owned subsidiary
of Aviva plc)
---------------------- ---------------------- ------------------- ----------------------
Aviva Investors
Holdings Limited
(wholly owned
subsidiary of
Aviva Group Holdings
Limited)
---------------------- ---------------------- ------------------- ----------------------
Aviva Investors
Global Services
Limited (wholly
owned subsidiary
of Aviva Investors
Holdings Limited)
---------------------- ---------------------- ------------------- ----------------------
11. In case of proxy voting: [name of the proxy holder] will
cease to hold [% and number] voting rights as of [date]
12. Additional informationxvi:.
Annex: Notification of major holdings (only to be filed with the
Central Bank of Ireland and not with the relevant issuer)
A: Identity of the person subject to the notification
obligation
Full name (including legal form for legal entities) Aviva
Investors Global Services Limited
Contact address (registered office for legal entities) St
Helen's, 1 Undershaft, London, EC3P 3DQ, United Kingdom
E-Mail c/o globrep@aviva.com
Phone number / Fax number 00 44 1603 684420
Other useful information (at least legal a contact person for
legal persons)
B: Identity of the notifier, if applicable
Full name Aviva plc
Contact address Surrey Street, Norwich, NR1 3DR
E-Mail globrep@aviva.com
Phone number / Fax number 00 44 1603 684420
Other useful information (e.g. functional relationship with the
person or legal entity subject to the notification obligation)
C: Additional information:
Notes
i. Persons completing this form should have regard to the
requirements of the Transparency (Directive 2004/109/EC)
Regulations
2007 as amended (the "Regulations"), the Central Bank of
Ireland's Transparency Rules (the "Transparency Rules") and
Commissi on
Delegated Regulation (EU) 2015/761 of 17 December 2014.
ii Full name of the legal entity and other identifying
specification of the issuer or underlying issuer, provided it is
reliable and accurate
(e.g. address, LEI, domestic number identity).
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 Regulation
15(b) to (h) of the Regulations (Article 10 (b) to (h) of Directive
2004/109/EC); or (c) the holder of financial instruments referred
to in Regulation 17(1) of the Regulations (Article 13(1) of
Directive 2004/109/EC).
As the disclosure of cases of acting in concert may vary due to
the specific circumstances (e.g. same or different total posi tions
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 Regulation 15 of the Regulations (Article 10 of Directive
2004/109/EC), the following list is provided as an indication of
the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Regulation 15
of the Regulations (Article 10 of Directive 2004/109/EC), the
natural person or legal 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 the Regulation
15 of the Regulations (Article 10 of Directive 2004/109/EC), the
natural person or legal 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 Regulation 15
of the Regulations (Article 10 of Directive 2004/109/EC), the
natural person or legal 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 Regulation 15
of the Regulations (Article 10 of Directive 2004/109/EC), the
controlling natural person or legal entity and, provided it has a
notification duty at an individual level under Regulation 14 of the
Regulations (Article 9 of Directive 2004/109/EC), under letters (a)
to (d) of Regulation 15 of the Regulations (Article 10 of
Directive
2004/109/EC) or under a combination of any of those situations,
the controlled undertaking;
- in the circumstances foreseen in letter (f) of Regulation 15
of the Regulations (Article 10 of Directive 2004/109/EC), the
deposit taker of the shares, if he can exercise the voting rights
attached to the shares deposited with him at his discretion, and th
e depositor of the shares allowing the deposit taker to exercise
the voting rights at his discretion;
- in the circumstances foreseen in letter (g) of Regulation 15
of the Regulations (Article 10 of Directive 2004/109/EC), the
natural person or legal entity that controls the voting rights;
- in the circumstances foreseen in letter (h) of Regulation 15
of the Regulations (Article 10 of Directive 2004/109/EC), the proxy
holder, if he can exercise the voting rights at his discretion, and
the shareholder who has given his proxy to the proxy hold er
allowing the latter to exercise the voting rights at his discretion
(e.g. management companies).
v Applicable in the cases provided for in Regulation 15(b) to
(h) of the Regulations (Article 10 (b) to (h) of Directive
2004/109/EC). This should be the full name of the shareholder who
is the counterparty to the natural person or legal entity referred
to in Regulation
15 of the Regulations (Article 10 Directive 2004/109/EC) 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 the requirements of the
Regulations and the Transparency Rules.
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 the Regulations and the Transparency
Rules the holder is not obliged to disclose the extent of the
holding only that the holding is "below 3%" or "below 5%" as
appropriate.
ix In case of combined holdings of shares with voting rights
attached "direct holding" and voting rights "indirect holding",
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 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
(Regulation 17(4) of the Regulations/Article 13(1a) of Directive
2004/109/EC).
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 cases in which only on subsidiary level a
threshold is crossed or reached and the subsidiary undertaking
discloses th e notification, as only thus will the markets get a
full picture of the group holdings. In the 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 irrespective of whether the controlled undertakings cross
or reach the lowest applicable threshold themselves.
xvi Example: Correction of a previous notification.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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