Regulatory News Item

RNS Number : 0344D
Smiths Group PLC
04 October 2018
 

TR-1: Standard 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)

 

1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached:

 

Smiths Group Plc

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

X

An acquisition or disposal of financial instruments

 

An event changing the breakdown of voting rights

 

Other (please specify):

 

3. Details of person subject to the notification obligation

Name

Ameriprise Financial, Inc. and its group

City and country of registered office (if applicable)

Minneapolis, USA

4. Full name of shareholder(s) (if different from 3.)

Name

BNP Paribas Nominees Pty Limited

Nortrust Nominees LTD

HSBC Global Custody Nominees (UK) Ltd

Vidacos Nominees Ltd

State Street Nominees Limited

The Bank Of New York ( Nominees ) Limited

Roy Nominees

Chase Nominees Ltd

American Enterprise Investment Services, Inc.

City and country of registered office (if applicable)

 

5. Date on which the threshold was crossed or reached:

1st October 2018

6. Date on which issuer notified (DD/MM/YYYY):

3rd October 2018

     
 

 

7. Total positions of person(s) subject to the notification obligation

 

% of voting rights attached to shares (total of 8. A)

% of voting rights through financial instruments
(total of 8.B 1 + 8.B 2)

Total of both in % (8.A + 8.B)

Total number of voting rights of issuer

Resulting situation on the date on which threshold was crossed or reached

5.264%

0

5.264%

395,918,643

Position of previous notification (if

applicable)

N/A

N/A

N/A

 

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reached

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rights

% of voting rights

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

GB00B1WY2338

125,027

20,704,965

0.031%

5.230%

US83238P2039

 

12,058

 

0.003%

 

 

 

 

 

SUBTOTAL 8. A

20,842,050

5.264%

 

 

B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))

Type of financial instrument

Expiration
date

Exercise/
Conversion Period

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights

 

 

 

 

 

 

 

 

 

 

 

 

SUBTOTAL 8. B 1

 

 

 

 

B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))

 

 

 

 

 

 

 

 

 

SUBTOTAL 8.B.2

 

 

 

                   

 

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

 

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 entity
(please add additional rows as necessary)

X

Name

% of voting rights if it equals or is higher than the notifiable threshold

% of voting rights through financial instruments if it equals or is higher than the notifiable threshold

Total of both if it equals or is higher than the notifiable threshold

Ameriprise Financial, Inc.

     %

     %

     %

Ameriprise International Holdings GmbH

     %

     %

     %

Threadneedle Asset Management Holdings SARL

     %

     %

     %

Threadneedle Holdings Limited

     %

     %

     %

TAM UK Holdings Limited

     %

     %

     %

Threadneedle Asset Management Holdings Limited

     %

     %

     %

TC Financing Limited

     %

     %

     %

Threadneedle Asset Management Limited

     5.261%

     %

 5.261%

 

 

 

 

Ameriprise Financial, Inc.

     %

     %

     %

Columbia Management Investment Advisers, LLC

     %

     %

     %

 

 

 

 

Ameriprise Financial, Inc.

     %

     %

     %

AMPF

Holding Corporation

     %

     %

     %

Ameriprise Financial Services, Inc.

     %

     %

     %

 

10. In case of proxy voting, please identify:

Name of the proxy holder

N/A

The number and % of voting rights held

N/A

The date until which the voting rights will be held

N/A

 

 

 

11. Additional information

Threadneedle Asset Management Limited is wholly owned by TC Financing Limited, which is itself wholly owned by Threadneedle Asset Management Holdings Limited, which is itself wholly owned by TAM UK Holdings Limited, which is itself wholly owned by Threadneedle Holdings Limited, which is itself wholly owned by Threadneedle Asset Management Holdings SARL, which is itself wholly owned by Ameriprise International Holdings GmbH, which is itself wholly owned by Ameriprise Financial, Inc.

 

Columbia Management Investment Advisers, LLC, is wholly owned by Ameriprise Financial, Inc.

 

Ameriprise Financial Services, Inc. is wholly owned by AMPF Holding Corporation, which is itself wholly owned by Ameriprise Financial, Inc.

 

         

 

Place of completion

Swindon, UK

Date of completion

03/10/2018

 


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