Rolls-Royce Holdings plc Holding(s) in Company (7077F)
18 Novembre 2020 - 10:10AM
UK Regulatory
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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END
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November 18, 2020 04:10 ET (09:10 GMT)
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