Last checked at 7 Jun 2023 17:11
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 underlying issuer of existing shares to which voting rights are attached: | Genus plc | |||||||||||||||
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 | X | |||||||||||||||
An event changing the breakdown of voting rights | ||||||||||||||||
Other (please specify): | ||||||||||||||||
3. Details of person subject to the notification obligation | ||||||||||||||||
Name | Wellington Management Company LLP | |||||||||||||||
City and country of registered office (if applicable) | Boston, USA | |||||||||||||||
4. Full name of shareholder(s) (if different from 3.) | ||||||||||||||||
Name |
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City and country of registered office (if applicable) | ||||||||||||||||
5. Date on which the threshold was crossed or reached: | 06/06/2023 | |||||||||||||||
6. Date on which issuer notified (DD/MM/YYYY): | 07/06/2023 | |||||||||||||||
7. Total positions of person(s) subject to the notification obligation: | ||||||||||||||||
% of voting rights attached to shares (total of 8.A) | % of voting rights through financial instruments (total of 8.B.1 + 8.B.2) | Total of both in % (8.A + 8.B) | Total number of voting rights of issuer | |||||||||||||
Resulting situation on the date on which threshold was crossed or reached | 5.20% | 0.01% | 5.21% | 65,777,210 | ||||||||||||
Position of previous notification (if applicable) | 4.99% | 0.01% | 4.99% | |||||||||||||
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 shares ISIN code (if possible) | Number of voting rights | % of voting rights | ||||
Direct (DTR5.1) | Indirect (DTR5.2.1) | Direct (DTR5.1) | Indirect (DTR5.2.1) | |||
GB0002074580 Common Stock | 3,421,917 | 5.20% | ||||
SUBTOTAL 8.A | 3,421,917 | 5.20% | ||||
B 1: Financial Instruments DTR5.3.1R (1) (a) | ||||||
Type of financial instrument | Expiration date | Exercise/ Conversion Period | Number of voting rights that may be acquired if the instrument is exercised/converted | % of voting rights | ||
SUBTOTAL 8.B.1 | ||||||
B 2: Financial Instruments with similar economic effect DTR5.3.1R (1) (b) | ||||||
Type of financial instrument | Expiration date | Exercise/ Conversion Period | Physical or cash settlement | Number of voting rights | % of voting rights | |
Equity Swap | 15/05/2033 | 15/05/2033 | Cash settlement | 3,213 Equity Swap shares or 3,213 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2033 | 20/05/2033 | Cash settlement | 1,769 Equity Swap shares or 1,769 votes on a converted basis | 0.00% | |
Exchange Traded Fund | 06/06/2023 | 06/06/2023 | Cash settlement | 649,589 Exchange Traded Fund shares or 1,027 votes on a converted basis | 0.00% | |
Index Future | 06/06/2023 | 01/01/1900 to 06/06/2023 | Cash settlement | 38 Index Future shares or 5 votes on a converted basis | 0.00% | |
SUBTOTAL 8.B.2 | 6,014
| 0.01%
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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 and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entity (please add additional rows as necessary) | X | |||||
Name | % of voting rights if it equals or is higher than the notifiable threshold | % of voting rights through financial instruments if it equals or is higher than the notifiable threshold | Total of both if it equals or is higher than the notifiable threshold | |||
Wellington Management Company LLP | 5.20% | 5.21% | ||||
10. In case of proxy voting, please identify: | ||||||
Name of the proxy holder | ||||||
The number and % of voting rights held | ||||||
The date until which the voting rights will be held | ||||||
11. Additional information: |
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Wellington Management Company LLP has crossed above the 5% notification threshold for voting rights attached to shares in its own right. Wellington Management Company LLP is an investment management entity that manages the assets of certain funds and/or managed accounts.Wellington Management Company LLP is a direct controlled undertaking of Wellington Investment Advisors Holdings LLP, which, in turn, is a direct controlled undertaking of Wellington Group Holdings LLP, which, in turn, is a direct controlled undertaking of Wellington Management Group LLP. |
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Place of completion | Boston, MA USA | |||||
Date of completion | 07/06/2023 | |||||