Schroders plc : TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
January 07, 2013 at 09:15 am EST
By
Share
?
For filings with the FSA include the annex
For filings with issuer exclude the annex
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached:ii
Cape Plc
2 Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights
ü
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
An event changing the breakdown of voting rights
Other (please specify):
3. Full name of person(s) subject to the
notification obligation:iii
Schroders plc
4. Full name of shareholder(s)
(if different from 3.):iv
5. Date of the transaction and date on
which the threshold is crossed or
reached:v
04.01.13
6. Date on which issuer notified:
07.01.13
7. Threshold(s) that is/are crossed or
reached: vi, vii
Above 5%
8. Notified details:
A: Voting rights attached to sharesviii, ix
Class/type of
shares
if possible using
the ISIN CODE
Situation previous
to the triggering
transaction
Resulting situation after the triggering transaction
Number
of
Shares
Number
of
Voting
Rights
Number
of shares
Number of voting
rights
% of voting rights x
Direct
Direct xi
Indirect xii
Direct
Indirect
Ordinary
5,787,576
5,787,576
6,077,557
N/A
6,056,063
N/A
5.002%
JE00B5SJJD95
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial
instrument
Expiration
date xiii
Exercise/
Conversion Period xiv
Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted.
% of voting
rights
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
Resulting situation after the triggering transaction
Type of financial
instrument
Exercise price
Expiration date xvii
Exercise/
Conversion period xviii
Number of voting rights instrument refers to
% of voting rights xix, xx
Nominal
Delta
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
Schroder Investment Management North America Limited 263,753 0.218%
Proxy Voting:
10. Name of the proxy holder:
11. Number of voting rights proxy holder will cease
to hold:
12. Date on which proxy holder will cease to hold
voting rights:
13. Additional information:
The shares referred to in section 9 are held in portfolios managed by those firms on a discretionary basis for clients under investment management agreements.
14. Contact name:
Liz Friedman
15. Contact telephone number:
020 7658 6000
This information is provided by RNS
The company news service from the London Stock Exchange
Schroders plc is a United Kingdom-based investment management company. The Company offers investment, advisory and platform services to individuals, family offices and charities. It operates through two segments: Asset Management and Wealth Management. The Asset Management segment principally comprises investment management, including advisory services in respect of equity, fixed income, multi-asset and private assets and alternative products. The Wealth Management segment principally comprises investment management, wealth planning and financial advice, platform services and banking services. Its clients include individuals who invest directly and those who invest through businesses or financial advisers. The Company also serves the investment needs of institutions like insurance companies, pension funds, charities, sovereign wealth funds and fund platforms. It has operations in 38 locations across Europe, the Americas, Asia, the Middle East, and Africa.