Northgate PLC NOTIFICATION OF MAJOR HOLDINGS (5689B)
31 Januar 2020 - 10:50AM
UK Regulatory
TIDMNTG TIDM80GT
RNS Number : 5689B
Northgate PLC
31 January 2020
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 Northgate plc
underlying issuer of existing shares
to which voting rights are attached:
--------------------------------------------
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 JPMorgan Chase & Co.
City and country of registered office Wilmington, Delaware, USA
(if applicable)
4. Full name of shareholder(s) (if different from 3.)
Name J.P. Morgan Securities Plc
JPMorgan Chase Bank, N.A.
J.P. Morgan Securities LLC
--------------------------------------------
City and country of registered office London, United Kingdom
(if applicable)
--------------------------------------------
5. Date on which the threshold was 28 January 2020
crossed or reached:
--------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 30 January 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
of 8. A) (total of 8.B
1 + 8.B 2)
------------------ --------------------- -------------- --------------------
Resulting situation
on the date
on which threshold
was crossed
or reached 3.95% 1.20% 5.15% 133,232,518
------------------ --------------------- -------------- --------------------
Position of
previous notification
(if
applicable) 4.34% 0.90% 5.24%
------------------ --------------------- -------------- --------------------
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 Number of voting rights % of voting rights
shares
ISIN code (if
possible)
Direct Indirect Direct Indirect
(Art 9 of Directive (Art 10 of Directive (Art 9 of Directive (Art 10 of Directive
2004/109/EC) 2004/109/EC) 2004/109/EC) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
------------------------
GB00B41H7391 5,298,475 3.95%
------------------------- ------------------------ --------------------- ---------------------
SUBTOTAL 8. A 5,298,475 3.95%
--------------------------------------------------- --------------------------------------------
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 Conversion Period rights that may rights
be acquired if
the instrument
is
exercised/converted.
---------------- --------------------------- --------------------------- ---------------------
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))
Type of financial Expiration Exercise/ Physical or Number of % of voting
instrument date Conversion cash voting rights rights
Period settlement
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 17/06/2020 17/06/2020 Cash 7,762 0.01%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 03/12/2020 03/12/2020 Cash 22,705 0.02%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 04/12/2020 04/12/2020 Cash 674,926 0.51%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 06/01/2021 06/01/2021 Cash 5,480 0.00%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 17/02/2021 17/02/2021 Cash 39,413 0.03%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 24/02/2021 24/02/2021 Cash 406,533 0.31%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 26/02/2021 26/02/2021 Cash 207,300 0.16%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 02/03/2021 02/03/2021 Cash 6,845 0.01%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 30/04/2021 30/04/2021 Cash 156,379 0.12%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 27/05/2021 27/05/2021 Cash 34,797 0.03%
------------ ------------- ---------------- ---------------
Cash-settled
Equity Swap 03/12/2024 03/12/2024 Cash 55,448 0.04%
------------ ------------- ---------------- ---------------
SUBTOTAL 8.B.2 1,617,588 1.20%
--------------------------------------------------------------- ---------------
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 X
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity (please add additional
rows as necessary)
Name % of voting rights % of voting rights Total of both if
if it equals or through financial it equals or is
is higher than the instruments if it higher than the
notifiable threshold equals or is higher notifiable threshold
than the notifiable
threshold
---------------------- --------------------- ------------------------
JPMorgan Chase &
Co.
---------------------- --------------------- ------------------------
JPMorgan Chase Bank,
National Association
---------------------- --------------------- ------------------------
J.P. Morgan International
Finance Limited
---------------------- --------------------- ------------------------
J.P. Morgan Capital
Holdings Limited
---------------------- --------------------- ------------------------
J.P. Morgan Securities
plc 3.95% 5.15%
---------------------- --------------------- ------------------------
JPMorgan Chase &
Co.
---------------------- --------------------- ------------------------
JPMorgan Chase Holdings
LLC
---------------------- --------------------- ------------------------
J.P. Morgan Broker-Dealer
Holdings Inc.
---------------------- --------------------- ------------------------
J.P. Morgan Securities
LLC
---------------------- --------------------- ------------------------
JPMorgan Chase &
Co.
---------------------- --------------------- ------------------------
JPMorgan Chase Bank,
National Association
---------------------- --------------------- ------------------------
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
Table 8) Includes stock borrows of 6,941,617 (5.17%)
Chain of controlled undertakings:
JPMorgan Chase & Co.
JPMorgan Chase Bank, National Association (100%)
J.P. Morgan International Finance Limited (100%)
J.P. Morgan Capital Holdings Limited (100%)
J.P. Morgan Securities plc (100%)
JPMorgan Chase & Co. (100%)
JPMorgan Chase Holdings LLC (100%)
J.P. Morgan Broker-Dealer Holdings Inc. (100%)
J.P. Morgan Securities LLC (100%)
JPMorgan Chase & Co.
JPMorgan Chase Bank, National Association (100%)
Place of completion London, United Kingdom
Date of completion 30 January 2020
-----------------------
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END
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