British Empire Trust PLC Holding(s) in Company (5663F)
18 May 2017 - 9:31PM
UK Regulatory
TIDMBTEM TIDMJPM
RNS Number : 5663F
British Empire Trust PLC
18 May 2017
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)(i)
----------------------------------------------------------------------------------------------------
1a. Identity of the issuer British Empire Trust plc
or the 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 X
------------------------------------------------------------------------------------- -------------
An acquisition or disposal of financial instruments
------------------------------------------------------------------------------------- -------------
An event changing the breakdown of voting rights
------------------------------------------------------------------------------------- -------------
Other (please specify)(iii) :
------------------------------------------------------------------------------------- -------------
3. Details of person subject to the notification obligation(iv)
Name JPMorgan Chase & Co.
City and country of registered Delaware, United States of
office (if applicable) America
4. Full name of shareholder(s) (if different from 3.)(v)
----------------------------------------------------------------------------------------------------
Name J.P. Morgan Securities plc
------------------------------------------------- -------------------------------------------------
City and country of registered London, United Kingdom
office (if applicable)
------------------------------------------------- -------------------------------------------------
5. Date on which the threshold 16 May 2017
was crossed or reached(vi)
:
------------------------------------------------- -------------------------------------------------
6. Date on which issuer notified 17 May 2017
(DD/MM/YYYY):
------------------------------------------------- -------------------------------------------------
7. Total positions of person(s) subject to the notification
obligation
----------------------------------------------------------------------------------------------------
% of voting % of voting Total of Total number
rights attached rights through both in % of voting
to shares financial (8.A + 8.B) rights of
(total of instruments issuer(vii)
8. A) (total of
8.B 1 + 8.B
2)
---------------------- ------------------------- ---------------- ---------------- -------------
Resulting
situation
on the date
on which
threshold
was crossed
or reached 3.54% 1.46% 5.00% 119,730,665
---------------------- ------------------------- ---------------- ---------------- -------------
Position N/A N/A N/A
of previous
notification
(if
applicable)
---------------------- ------------------------- ---------------- ---------------- -------------
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 Number of voting rights(ix) % of voting rights
of
shares
ISIN code
(if possible)
----------------
Direct Indirect Direct Indirect
(Art 9 of (Art 10 of (Art 9 of (Art 10 of
Directive Directive Directive Directive
2004/109/EC) 2004/109/EC) 2004/109/EC) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
--------------- -------------- -------------- ----------------------------- -----------------------------
GB0001335081 4,242,945 3.54%
---------------- -------------- -------------- ----------------------------- -----------------------------
SUBTOTAL
8. A 4,242,945 3.54%
---------------- ------------------------------ ------------------------------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a)
of Directive 2004/109/EC (DTR5.3.1.1 (a))
--------------------------------------------------------------------------------------------------------------
Type of Expiration Exercise/ Number of voting % of voting
financial date(x) Conversion rights that rights
instrument Period(xi) may be acquired
if the instrument
is
exercised/converted.
---------------- -------------- -------------- ----------------------------- -----------------------------
Right to
recall 1,689,605 1.41%
---------------- -------------- -------------- ----------------------------- -----------------------------
SUBTOTAL 8.
B 1 1,689,605 1.41%
-------------- ----------------------------- -----------------------------
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 Number % of voting
financial date(x) Conversion or cash of voting rights
instrument Period settlement(xii) rights
(xi)
--------------- --------------- -------------- ---------------- ----------- -----------------------------
Cash-settled
Equity
Swap 09/08/2017 53,338 0.04%
--------------- --------------- -------------- ---------------- ----------- -----------------------------
Cash-settled
Equity
Swap 10/01/2018 2,309 0.00%
--------------- --------------- -------------- ---------------- ----------- -----------------------------
Cash-settled
Equity
Swap 11/01/2018 340 0.00%
--------------- --------------- -------------- ---------------- ----------- -----------------------------
Cash-settled
Equity
Swap 16/01/2018 202 0.00%
--------------- --------------- -------------- ---------------- ----------- -----------------------------
Cash-settled
Equity
Swap 17/01/2018 68 0.00%
--------------- --------------- -------------- ---------------- ----------- -----------------------------
SUBTOTAL
8.B.2 56,257 0.05%
---------------- ----------- -----------------------------
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 X
the voting rights 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 Total of both
rights if it rights through if it equals
equals or is financial instruments or is higher
higher than if it equals than the notifiable
the notifiable or is higher threshold
threshold than the notifiable
threshold
------------------------ ---------------- ----------------------- ---------------------
JPMorgan Chase
& Co.
------------------------ ---------------- ----------------------- ---------------------
JPMorgan Chase
Bank, National
Association
------------------------ ---------------- ----------------------- ---------------------
J.P. Morgan
International
Inc.
------------------------ ---------------- ----------------------- ---------------------
Bank One International
Holdings Corporation
------------------------ ---------------- ----------------------- ---------------------
J.P. Morgan
International
Finance Limited
------------------------ ---------------- ----------------------- ---------------------
J.P. Morgan
Capital Holdings
Limited
------------------------ ---------------- ----------------------- ---------------------
J.P. Morgan
Chase (UK) Holdings
Limited
------------------------ ---------------- ----------------------- ---------------------
J.P. Morgan
Chase International
Holdings
------------------------ ---------------- ----------------------- ---------------------
J.P. Morgan
Securities plc 3.54% 5.00%
------------------------ ---------------- ----------------------- ---------------------
10. In case of proxy voting, please identify:
------------------------------------------------------------------------------------------
Name of the proxy holder N/A
------------------------------------------ ----------------------------------------------
The number and % of voting N/A
rights held
------------------------------------------ ----------------------------------------------
The date until which the N/A
voting rights will be held
------------------------------------------ ----------------------------------------------
11. Additional information(xvi)
------------------------------------------------------------------------------------------
Chain of controlled undertakings:
JPMorgan Chase & Co.
JPMorgan Chase Bank, National Association (100%)
J.P. Morgan International Inc. (100%)
Bank One International Holdings Corporation (100%)
J.P. Morgan International Finance Limited (100%)
J.P. Morgan Capital Holdings Limited (72.73%)
J.P. Morgan Chase (UK) Holdings Limited (99.99%)
J.P. Morgan Chase International Holdings (100%)
J.P. Morgan Securities plc (99.41%)
------------------------------------------------------------------------------------------
Place of completion London, United Kingdom
-------------------- -----------------------
Date of completion 17 May 2017
-------------------- -----------------------
This information is provided by RNS
The company news service from the London Stock Exchange
END
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