Last checked at 15 Oct 2019 13:14
TR-1: Standard form for notification of major holdings | ||||||
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NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible) | ||||||
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1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: | SMITH & NEPHEW PLC | |||||
1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate) | ||||||
Non-UK issuer |
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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 |
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Other (please specify): |
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3. Details of person subject to the notification obligation | ||||||
Name | Wellington Management Group LLP | |||||
City and country of registered office (if applicable) | Boston, USA | |||||
4. Full name of shareholder(s) (if different from 3) | ||||||
Name | Bank of New York (Nominees) Ltd BBH ISL NOMINEES LTD BNY (OCS) Nominees Limited BNY Mellon Nominees Limited GOLDMAN SACHS INTERNATIONAL HSBC Global Custody Nominee (UK) Limited Japan Trustee Services Bank Ltd. JP Morgan Chase Nominees Limited Mellon Nominees (UK) Ltd. Nortrust Nominees Limited ROY Nominees Limited State Street Nominees Limited VIDACOS NOMINEES LIMITED | |||||
City and country of registered office (if applicable) |
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5. Date on which the threshold was crossed or reached: | 14/10/2019 | |||||
6. Date on which issuer notified (DD/MM/YYYY): | 15/10/2019 | |||||
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 | 4.92% | 0.05% | 4.97% | 874,636,897 | ||
Position of previous notification (if applicable) | 4.99% | 0.05% | 5.05% |
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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 (Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | |||
GB0009223206 Common Stock |
| 43,006,389 |
| 4.92% | ||
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SUBTOTAL 8.A | 43,006,389 | 4.92% | ||||
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (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 | ||
Depository Receipt |
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| 382 Depository Receipt shares or 764 votes on a converted basis | 0.00% | ||
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| SUBTOTAL 8.B.1 | 764 | 0.00% | ||
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B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) | ||||||
Type of financial instrument | Expiration date | Exercise/ Conversion Period | Physical or cash settlement | Number of voting rights | % of voting rights | |
Equity Swap | 15/05/2020 | 11/04/2019to15/05/2020 | Cash | 162,800 Equity Swap shares or 162,800 votes on a converted basis | 0.02% | |
Equity Swap | 15/05/2020 | 26/10/2018to15/05/2020 | Cash | 96,038 Equity Swap shares or 96,038 votes on a converted basis | 0.01% | |
Equity Swap | 20/05/2020 | 27/06/2019to20/05/2020 | Cash | 64,357 Equity Swap shares or 64,357 votes on a converted basis | 0.01% | |
Equity Swap | 20/05/2020 | 12/04/2017to20/05/2020 | Cash | 40,478 Equity Swap shares or 40,478 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 23/08/2019to20/05/2020 | Cash | 20,732 Equity Swap shares or 20,732 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 13/09/2019to20/05/2020 | Cash | 9,722 Equity Swap shares or 9,722 votes on a converted basis | 0.00% | |
Equity Swap | 05/05/2020 | 31/07/2019to05/05/2020 | Cash | 9,570 Equity Swap shares or 9,570 votes on a converted basis | 0.00% | |
Index Future | 14/10/2019 | 01/01/1900to14/10/2019 | Cash | 2,048 Index Future shares or 7,098 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 11/08/2017to20/05/2020 | Cash | 6,000 Equity Swap shares or 6,000 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 28/06/2019to20/05/2020 | Cash | 5,634 Equity Swap shares or 5,634 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 07/07/2017to20/05/2020 | Cash | 5,169 Equity Swap shares or 5,169 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 10/11/2017to20/05/2020 | Cash | 5,014 Equity Swap shares or 5,014 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 26/06/2018to20/05/2020 | Cash | 3,345 Equity Swap shares or 3,345 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 11/08/2017to20/05/2020 | Cash | 3,102 Equity Swap shares or 3,102 votes on a converted basis | 0.00% | |
Equity Swap | 15/05/2020 | 08/03/2019to15/05/2020 | Cash | 3,061 Equity Swap shares or 3,061 votes on a converted basis | 0.00% | |
Equity Swap | 15/05/2020 | 03/08/2018to15/05/2020 | Cash | 2,658 Equity Swap shares or 2,658 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 23/04/2019to20/05/2020 | Cash | 2,307 Equity Swap shares or 2,307 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 10/08/2017to20/05/2020 | Cash | 1,947 Equity Swap shares or 1,947 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 27/06/2018to20/05/2020 | Cash | 1,672 Equity Swap shares or 1,672 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 28/06/2018to20/05/2020 | Cash | 1,672 Equity Swap shares or 1,672 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 30/08/2019to20/05/2020 | Cash | 1,370 Equity Swap shares or 1,370 votes on a converted basis | 0.00% | |
Equity Swap | 15/05/2020 | 18/04/2019to15/05/2020 | Cash | 1,369 Equity Swap shares or 1,369 votes on a converted basis | 0.00% | |
Equity Swap | 15/05/2020 | 18/04/2019to15/05/2020 | Cash | 1,342 Equity Swap shares or 1,342 votes on a converted basis | 0.00% | |
Equity Swap | 15/05/2020 | 18/04/2019to15/05/2020 | Cash | 1,322 Equity Swap shares or 1,322 votes on a converted basis | 0.00% | |
Exchange Traded Fund | 14/10/2019 | 14/10/2019 | Cash | 378,510 Exchange Traded Fund shares or 1,303 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 26/04/2019to20/05/2020 | Cash | 1,240 Equity Swap shares or 1,240 votes on a converted basis | 0.00% | |
Equity Swap | 15/05/2020 | 18/04/2019to15/05/2020 | Cash | 1,219 Equity Swap shares or 1,219 votes on a converted basis | 0.00% | |
Equity Swap | 15/05/2020 | 02/05/2019to15/05/2020 | Cash | 1,212 Equity Swap shares or 1,212 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 28/07/2017to20/05/2020 | Cash | 1,131 Equity Swap shares or 1,131 votes on a converted basis | 0.00% | |
Equity Swap | 20/05/2020 | 04/08/2017to20/05/2020 | Cash | 1,000 Equity Swap shares or 1,000 votes on a converted basis | 0.00% | |
Index Future | 14/10/2019 | 01/01/1900to14/10/2019 | Cash | 96 Index Future shares or 334 votes on a converted basis | 0.00% | |
Equity Swap | 05/05/2020 | 13/09/2019to05/05/2020 | Cash | 298 Equity Swap shares or 298 votes on a converted basis | 0.00% | |
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| SUBTOTAL 8.B.2 | 465,516 | 0.05% | |
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. |
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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 Group LLP |
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Wellington Group Holdings LLP |
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Wellington Investment Advisors Holdings LLP |
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Wellington Management Company LLP |
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Wellington Management Group LLP |
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Wellington Group Holdings LLP |
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Wellington Investment Advisors Holdings LLP |
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Wellington Management Global Holdings, Ltd. |
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Wellington Management International Ltd |
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10. In case of proxy voting, please identify: | ||||||
Name of the proxy holder |
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The number and % of voting rights held |
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The date until which the voting rights will be held |
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11. Additional information: |
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Place of completion | London | |||||
Date of completion | 15/10/2019 | |||||
Vickie Reuben
Deputy Company Secretary
Smith & Nephew plc
Tel: +44 (0) 1923 477410