RE: Easter Share Count4 Apr 2026 07:21
Ask AI — will also show you how to do it. >>
“In the UK, you, as the beneficial owner, are primarily responsible for filing the TR-1 notification if your holding crosses the 3% threshold. [1, 2, 3]
While the nominee’s name appears on the official share register, the Disclosure Guidance and Transparency Rules (DTR 5) specifically place the "onus" on the shareholder who controls the voting rights or the underlying beneficial interest. [1, 4, 5]
## Key Responsibilities
* Your Role (Beneficial Owner): You must track your own position. If it reaches, exceeds, or falls below 3% (and every 1% whole number thereafter, e.g., 4%, 5%), you must submit the [standard TR-1 form](https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/shareholding-notification-disclosure) to both the issuer (the company you invested in) and the FCA.
* The Nominee's Role: Most standard nominee providers (like retail stockbrokers) do not automatically file these for you. They act as the "legal owner" for administrative ease but generally only exercise voting rights under your specific instruction.
* The Issuer's Role: Once they receive your TR-1, the company is responsible for making that information public to the market. [1, 2, 3, 6, 7, 8, 9, 10]
## Deadlines and Submission
* Timing: You must notify the company "as soon as possible" and no later than two trading days after the date you reached the threshold.
* FCA Portal: Since March 2021, TR-1 notifications for UK-regulated markets must be submitted electronically via the FCA Electronic Submission System (ESS).
* Thresholds:
* Initial Notification: 3%.
* Subsequent Notifications: Every 1% change (up or down) after 3%. [4, 8, 11, 12, 13, 14, 15]
Would you like help finding the specific TR-1 form or more details on registering for the FCA's electronic portal? “
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