Notes
i Please note this form
should be read jointly with the
applicable Disclosure Guidance and Transparency
Rules Chapter 5
(DTR5) available on the following link: https://www.handbook.fca.orq.uk/handbook/DTR/5/?view=chapter
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.
;;; 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); (c) all parties to
the agreement referred to in DTR5.2.1 (a) or (d) the holder of
financial instruments referred to in 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
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 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 DTR5.2.1
(c), 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 DTR5.2.1 (d), 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 DTR5.2.1
(e), the controlling natural person or legal entity and, provided
it has a notification duty at an individual /eve/ under DTR 5.1,
under OTR5.2.1 (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 natural person or legal
entity 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 discre-
tion, 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 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 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 held in the issuer 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.
v,,i If
the holding has
fallen below the
lowest
applicable threshold, please note that
it might not be
necessary 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 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
(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 in
this way will 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 by numbering each chain
accordingly. Please see the below example:
Name of ultimate controlling
person A (chain 1)
Name of controlled undertaking B Name of controlled
undertaking C
Name of ultimate
controlling person A (chain 2)
Name of controlled undertaking B Name of controlled
undertaking D
Name of ultimate controlling
person A (chain3)
Name of controlled undertaking E Name of controlled
undertaking F
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.