Last checked at 11 Oct 2016 11:38
TR-1: Notification of Major Interests in Shares | ||
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: | Smiths Group | |
2. Reason for the notification (yes/no) | ||
An acquisition or disposal of voting rights | Yes | |
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached | No | |
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments | No | |
An event changing the breakdown of voting rights | No | |
Other (please specify): ______________ | No | |
3. Full name of person(s) subject to notification obligation: | Harris Associates L.P. | |
4. Full name of shareholder(s) (if different from 3): | BNY Mellon Brown Brothers Harriman JPMorgan Chase Mizuho Trust and Banking Luxem Northern Trust Company State Street Bank Sumitomo Trust & Banking Co US | |
5. Date of transaction (and date on which the threshold is crossed or reached if different): | 07 October 2016 | |
6. Date on which issuer notified: | 10 October 2016 | |
7. Threshold(s) that is/are crossed or reached: | 5% | |
8. Notified Details | ||||||||||||
A: Voting rights attached to shares | ||||||||||||
Class/type of shares If possible use 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 | Percentage of voting rights | ||||||||
Direct | Indirect | Direct | Indirect | |||||||||
GB00B1WY2338 Common Stock | 20,169,763 | 20,169,763 | 19,112,517 | 19,112,517 | 4.83% | |||||||
B: Qualifying Financial Instruments | ||||||||||||
Resulting situation after the triggering transaction | ||||||||||||
Type of financial instrument | Expiration date | Exercise/ conversion period | No. of voting rights that may be acquired (if the instrument is exercised/converted) | Percentage of voting rights | ||||||||
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments | ||||||||||||
Resulting situation after the triggering transaction | ||||||||||||
Type of financial instrument | Exercise Price | Expiration date | Exercise/ conversion period | No. of voting rights instrument refers to | Percentage of voting rights | |||||||
Nominal | Delta | |||||||||||
Total (A+B+C) | ||||||||||||
Number of voting rights | Percentage of voting rights | |||||||||||
19,112,517 | 4.83% | |||||||||||
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: | |
BNY Mellon - 116,235 Common Stock shares Brown Brothers Harriman - 1,492,943 Common Stock shares JPMorgan Chase - 254,400 Common Stock shares Northern Trust Company - 359,960 Common Stock shares State Street Bank - 16,802,279 Common Stock shares Sumitomo Trust & Banking Co US - 27,800 Common Stock shares Mizuho Trust and Banking Luxem - 58,900 Common Stock shares
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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: | |
14. Contact name: | Kim Colwell |
15. Contact telephone number: | 312-646-3489 |