| Tue 8 Mar 2022, 14:53 | | GLENCORE PLC - GLN: Holding(s) in Company |
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GLN: Holding(s) in Company
GLENCORE PLC
(Incorporated in Jersey under the Companies (Jersey) Law 1991)
(Registration number 107710)
JSE Share Code: GLN
LSE Share Code: GLEN
HKSE Share Code: 805HK
ISIN: JE00B4T3BW64
LEI: 2138002658CPO9NBH955
Holding(s) in Company
Glencore plc received confirmation from its shareholder, Mr Aristotelis Mistakidis, on 7 March 2022
of the information contained below:
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)(i)
1a. Identity of the issuer or the underlying issuer
Glencore plc, GLEN
of existing shares to which voting rights are
LEI: 2138002658CPO9NBH955
attached(ii):
1b. Please indicate if the issuer is a non-UK issuer (please mark with an “X” if appropriate)
Non-UK issuer X
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
An event changing the breakdown of voting rights
Other (please specify)(iii):
3. Details of person subject to the notification obligation(iv)
Name Mr Aristotelis Mistakidis
City and country of registered office (if applicable) N/A
4. Full name of shareholder(s) (if different from 3.)(v)
Name
City and country of registered office (if applicable)
5. Date on which the threshold was crossed or reached(vi): 07 March 2022
6. Date on which issuer notified (DD/MM/YYYY): 07/03/2022
7. Total positions of person(s) subject to the notification obligation
% of voting rights % of voting rights Total number of
attached to shares through financial Total of both in % voting rights held
(total of 8. A) instruments
(total of 8.B 1 + 8.B 2) (8.A + 8.B) in issuer (8.A +
8.B)(vii)
Resulting situation
on the date on which
threshold was
crossed or reached Below 3% Below 3% 13,181,839,290
Position of previous
notification (if 3.13% 3.13%
applicable)
8. Notified details of the resulting situation on the date on which the threshold was crossed or
reached(viii)
A: Voting rights attached to shares
Class/type of Number of voting rights(ix) % of voting rights
shares
ISIN code (if possible) Direct Indirect Direct Indirect
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
JE00B4T3BW64 Below 3% Below 3%
SUBTOTAL 8. A Below 3% Below 3%
B 1: Financial Instruments according to DTR5.3.1R (1) (a)
Number of voting rights % of voting rights
Type of financial in- Expiration Exercise/ that may be acquired if
strument date(x) Conversion Period (xi ) the instrument is
exercised/converted.
SUBTOTAL 8. B 1
B 2: Financial Instruments with similar economic effect according to DTR5.3.1R (1) (b)
Exercise/ Physical or Number of % of voting rights
Type of financial Expiration Conversion cash Settlement(xii) voting rights
instrument date(x) Period(xi)
SUBTOTAL
8.B.2
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(xiii) X
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) xiv
% of voting rights if it % of voting rights Total of both if it
equals or is higher through financial in- equals or is higher
than the notifiable struments if it equals than the notifiable threshold
Name xv threshold or is higher than the
notifiable
threshold
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 (xvi)
Glencore plc, Company Secretarial Team
John Burton, +41 41 709 26 19
Lionel Mateo, +41 41 709 28 47
Place of completion Baar, Switzerland
Date of completion 8 March 2022
Notes
i-Please note this form should be read jointly with the applicable Disclosure Guidance and Transparency Rules Chap-
ter 5 (DTR5) available on the following link: https://www.handbook.fca.org.uk/handbook/DTR/5/?view=chapter
ii-Full name of the legal entity and further specification of the issuer or underlying issuer, provided it is reliable and ac-
curate (e.g. address, LEI, domestic number identity). Indicate in the relevant section whether the issuer is a non UK
issuer.
iii-
Other reason for the notification could be voluntary notifications, changes of attribution of the nature of the holding
(e.g. expiring of financial instruments) or acting in concert.
iv-
This should be the full name of (a) the shareholder; (b) the natural person or legal entity acquiring, disposing of or
exercising voting rights in the cases provided for in DTR5.2.1 (b) to (h); (c) all parties to the agreement referred to in
DTR5.2.1 (a) or (d) the holder of financial instruments referred to in DTR5.3.1.
As the disclosure of cases of acting in concert may vary due to the specific circumstances (e.g. same or different total
positions of the parties, entering or exiting of acting in concert by a single party) the standard form does not provide
for a specific method how to notify cases of acting in concert.
In relation to the transactions referred to in DTR5.2.1 (b) to (h), the following list is provided as indication of the per-
sons who should be mentioned:
- in the circumstances foreseen in DTR5.2.1 (b), the natural person or legal entity that acquires the voting rights
and is entitled to exercise them under the agreement and the natural person or legal entity who is transferring
temporarily for consideration the voting rights;
- in the circumstances foreseen in DTR5.2.1 (c), the natural person or legal entity holding the collateral, provided
the person or entity controls the voting rights and declares its intention of exercising them, and natural person or
legal entity lodging the collateral under these conditions;
- in the circumstances foreseen in DTR5.2.1 (d), the natural person or legal entity who has a life interest in
shares if that person or entity is entitled to exercise the voting rights attached to the shares and the natural per-
son or legal entity who is disposing of the voting rights when the life interest is created;
- in the circumstances foreseen in DTR5.2.1 (e), the controlling natural person or legal entity and, provided it has
a notification duty at an individual level under DTR 5.1, under DTR5.2.1 (a) to (d) or under a combination of any
of those situations, the controlled undertaking;
- in the circumstances foreseen in DTR5.2.1 (f), the deposit taker of the shares, if he can exercise the voting
rights attached to the shares deposited with him at his discretion, and the depositor of the shares allowing the
deposit taker to exercise the voting rights at his discretion;
- in the circumstances foreseen in DTR5.2.1 (g), the natural person or legal entity that controls the voting rights;
- in the circumstances foreseen in DTR5.2.1 (h), the proxy holder, if he can exercise the voting rights at his dis-
cretion, and the shareholder who has given his proxy to the proxy holder allowing the latter to exercise the voting
rights at his discretion (e.g. management companies).
v- Applicable in the cases provided for in DTR5.2.1 (b) to (h). This should be the full name of the shareholder who is
the counterparty to the natural person or legal entity referred to DTR5.2 unless the percentage of voting rights held by
the shareholder is lower than the lowest notifiable threshold for the disclosure of voting rights holdings in accordance
with national practices (e.g. identification of funds managed by management companies).
vi-The date on which threshold is crossed or reached should be the date on which the acquisition or disposal took
place or the other reason triggered the notification obligation. For passive crossings, the date when the corporate
event took effect.
vii
The total number of voting rights held in the issuer shall be composed of all the shares, including depository receipts
representing shares, to which voting rights are attached even if the exercise thereof is suspended.
viii-
If the holding has fallen below the lowest applicable threshold, please note that it might not be necessary to disclose
the extent of the holding, only that the new holding is below that threshold.
ix-In case of combined holdings of shares with voting rights attached "direct holding" and voting rights "indirect hold-
ing", please split the voting rights number and percentage into the direct and indirect columns – if there is no com-
bined holdings, please leave the relevant box blank.
x- Date of maturity/expiration of the financial instrument i.e. the date when right to acquire shares ends.
xi-
If the financial instrument has such a period – please specify this period – for example once every 3 months starting
from [date].
xii
In case of cash settled instruments the number and percentages of voting rights is to be presented on a delta-ad-
justed basis (DTR 5.3.3.A).
xiii-
If the person subject to the notification obligation is either controlled and/or does control another undertaking then
the second option applies.
xiv-The full chain of controlled undertakings starting with the ultimate controlling natural person or legal entity has to be
presented also in the cases, in which only on subsidiary level a threshold is crossed or reached and the subsidiary
undertaking discloses the notification as only in this way will the markets get always the full picture of the group hold-
ings. In case of multiple chains through which the voting rights and/or financial instruments are effectively held the
chains have to be presented chain by chain by numbering each chain accordingly. Please see the below example:
Name of ultimate controlling person A (chain 1)
Name of controlled undertaking B
Name of controlled undertaking C
Name of ultimate controlling person A (chain 2)
Name of controlled undertaking B
Name of controlled undertaking D
Name of ultimate controlling person A (chain3)
Name of controlled undertaking E
Name of controlled undertaking F
xv-The names of controlled undertakings through which the voting rights and/or financial instruments are effectively
held have to be presented irrespectively whether the controlled undertakings cross or reach the lowest applicable
threshold themselves.
xvi- Example: Correction of a previous notification.
SPONSOR
Absa Bank Limited (acting through its Corporate and Investment Banking Division)
Date: 08-03-2022 02:53:00
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