Pendragon PLC Holding(s) in Company (9931L)
16 Septiembre 2021 - 3:29AM
UK Regulatory
TIDMPDG
RNS Number : 9931L
Pendragon PLC
16 September 2021
TR-1: S tandard 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 Pendragon PLC
underlying issuer of existing shares
to which voting rights are attached
(ii) :
--------------------------------------------
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
----
An event changing the breakdown of voting rights
----
Other (please specify)(iii) :
termination of an investment management agreement with a controlled
undertaking
----
3. Details of person subject to the notification obligation (iv)
Name Briarwood Chase Management LLC
City and country of registered office New York, USA
(if applicable)
4. Full name of shareholder(s) (if different from 3.) (v)
Name Morgan Stanley & Co., LLC
--------------------------------------------
City and country of registered office Delaware, USA
(if applicable)
--------------------------------------------
5. Date on which the threshold was 14/09/2021
crossed or reached (vi) :
--------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 15/09/2021
--------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting rights % of voting rights Total of both Total number
attached to shares through financial in % (8.A + of voting rights
(total of 8. instruments 8.B) of issuer (vii)
A) (total of 8.B
1 + 8.B 2)
-------------------- --------------------- -------------- --------------------
Resulting situation
on the date
on which threshold
was crossed
or reached 10.043900% 0.174700% 10.218600% 142,748,170
-------------------- --------------------- -------------- --------------------
Position of
previous notification
(if
applicable) 5.890000% 0.170000% 6.060000%
-------------------- --------------------- -------------- --------------------
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 % of voting rights
shares (ix)
ISIN code (if
possible)
Direct Indirect Direct Indirect
(Art 9 of Directive (Art 10 of Directive (Art 9 of Directive (Art 10 of Directive
2004/109/EC) 2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.2.1)
-----------------------------
Ordinary
GB00B1JQBT10 140,307,967 10.043900%
------------------------- ----------------------------- ------------------------- ---------------------
SUBTOTAL 8. A 140,307,967 10.043900%
-------------------------------------------------------- ------------------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of Expiration Exercise/ Number of voting % of voting
financial date Conversion Period rights that may rights
instrument (x) (xi) be acquired if
the instrument
is
exercised/converted.
----------- ------------------------------------ -------------------------------- ---------------------
SUBTOTAL 8. B 1
------------------------------------ -------------------------------- ---------------------
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 Expiration Exercise/ Physical or Number of % of voting
financial date (x) Conversion cash voting rights rights
instrument Period (xi) settlement
(xii)
---------------- ------------------------- --------------------- --------------------
Equity Swap 20/08/2026 19/02/2021-20/08/2026 Cash 2440203 0.174700%
---------------- ------------------------- --------------------- --------------------
SUBTOTAL 8.B.2 2440203 0.174700%
--------------------- --------------------
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)
Full chain of controlled undertakings through which the voting rights X
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity (xiv) (please add additional
rows as necessary)
Name (xv) % of voting % of voting rights Total of both if
rights if it through financial it equals or is
equals or is instruments if it higher than the
higher than equals or is higher notifiable threshold
the notifiable than the notifiable
threshold threshold
---------------- --------------------- ------------------------
Aalap Mahadevia 10.043900 0.174700 10.218600%
---------------- --------------------- ------------------------
Briarwood Chase Management
LLC 10.043900 0.174700 10.218600%
---------------- --------------------- ------------------------
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)
Place of completion New York, NY USA
Date of completion 15/09/2021
-----------------
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END
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