RE: By the balls17 Apr 2024 10:38
UK-incorporated issuer: 3% of total voting rights and each whole percentage (4%, 5%, etc) point after that OR non UK-incorporated issuer: 5%, 10%, 15%, 20%, 25%, 30%, 50% and 75% of total voting rights. From holding: (i) shares; (ii) financial instruments referenced to shares (entitlements to acquire and financial instruments with similar economic effect); or (iii) aggregate of (i) & (ii).
Change in nature
Disclosure required where a holder of a previously notified financial instrument acquires the underlying shares and a shares and/or financial instruments threshold is tripped but overall % held is unchanged.
Issuers in scope
UK or non-UK incorporated issuers whose shares are admitted to trading on a UK regulated market and UK incorporated issuers whose shares are admitted to trading on a UK prescribed market (e.g. AIM).
Interests
Direct and indirect holdings of: (i) issued voting shares; (ii) financial instruments which give the right to acquire or the discretion to acquire issued voting shares; and (iii) financial instruments with similar economic effect to (i) or (ii), whether or not physically settled.
Red Equity shares
Red Depositary receipts e.g. ADRs, GDRs
Red Secondary listing
Red Suspended shares
Green Convertible preference shares
Green Convertible debt securities
Green Warrants referenced to unissued shares
Red Covered warrants
Red Exchangeables
Green Subscription rights (nil paid and open offer)
Red Single stock future (physically settled)
Red Writer/seller of put option (physically settled)
Red Buyer of call option (physically settled)
Red Cash settled (e.g. CfDs/single name equity swaps)
Yellow Equity index/share basket instruments (cash settled)
Green ETFs (exempt shares)
Red Stock loan
Red Stock borrow
Key exemptions
Trading book Exclude holdings not exceeding 5% in trading book of a credit institution or investment firm.
Custodian Exclude if custodian can only exercise voting rights under specific written/electronic instructions.
Market maker Exclude if holding