Holding(s) in Company

RNS Number : 8977V
Smart Metering Systems PLC
11 April 2019
 

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 of existing shares to which voting rights are attachedii:

Smart Metering Systems 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)iii:


3. Details of person subject to the notification obligationiv

Name

JPMorgan Chase & Co.

City and country of registered office (if applicable)

Wilmington, Delaware, USA

4. Full name of shareholder(s) (if different from 3.)v

Name

J.P. Morgan Securities Plc

J.P. Morgan Securities LLC

 

City and country of registered office (if applicable)

 London, United Kingdom

5. Date on which the threshold was crossed or reachedvi:

08 April 2019

6. Date on which issuer notified (DD/MM/YYYY):

10 April 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 issuervii

Resulting situation on the date on which threshold was crossed or reached

3.29%

1.93%

5.22%

112,548,050

Position of previous notification (if

applicable)

N/A

N/A

N/A


                                                                                                                  



 

 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rightsix

% 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)

GB00B4X1RC86


3,699,037


3.29%











SUBTOTAL 8. A

3,699,037

3.29%

 

 

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
x

Exercise/
Conversion Period
xi

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights

Right to Recall

N/A

N/A

1,030,000

0.92%



SUBTOTAL 8. B 1

1,030,000

0.92%

 


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
x

Exercise/
Conversion Period
xi

Physical or cash

settlementxii

Number of voting rights

% of voting rights

Cash-settled Equity Swap

12/04/2019

12/04/2019

Cash

33,524

0.03%

Cash-settled Equity Swap

18/04/2019

18/04/2019

Cash

6,436

0.01%

Cash-settled Equity Swap

12/06/2019

12/06/2019

Cash

4,382

0.00%

Cash-settled Equity Swap

05/08/2019

05/08/2019

Cash

114,324

0.10%

Cash-settled Equity Swap

06/08/2019

06/08/2019

Cash

164,000

0.15%

Cash-settled Equity Swap

22/10/2019

22/10/2019

Cash

15,231

0.01%

Cash-settled Equity Swap

31/12/2019

31/12/2019

Cash

328,831

0.29%

Cash-settled Equity Swap

07/01/2020

07/01/2020

Cash

55,578

0.05%

Cash-settled Equity Swap

13/02/2020

13/02/2020

Cash

1,370

0.00%

Cash-settled Equity Swap

03/03/2020

03/03/2020

Cash

731

0.00%

Cash-settled Equity Swap

18/03/2020

18/03/2020

Cash

105,260

0.09%

Cash-settled Equity Swap

24/03/2020

24/03/2020

Cash

46

0.00%

Cash-settled Equity Swap

30/04/2020

30/04/2020

Cash

75,539

0.07%

Cash-settled Equity Swap

07/05/2020

07/05/2020

Cash

8,472

0.01%

Cash-settled Equity Swap

12/05/2020

12/05/2020

Cash

812

0.00%

Cash-settled Equity Swap

19/05/2020

19/05/2020

Cash

12,076

0.01%

Cash-settled Equity Swap

29/03/2021

29/03/2021

Cash

15,122

0.01%

Cash-settled Equity Swap

09/12/2022

09/12/2022

Cash

42,046

0.04%

Cash-settled Equity Swap

08/02/2023

08/02/2023

Cash

162,348

0.14%




SUBTOTAL 8.B.2

1,146,128

1.02%

 

           

 

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) issuerxiii


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
xiv (please add additional rows as necessary)

X

Namexv

% 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

JPMorgan Chase & Co.




JPMorgan Chase Bank, National Association




J.P. Morgan International Finance Limited




J.P. Morgan Capital Holdings Limited




J.P. Morgan Securities plc

3.08%


5.01%





JPMorgan Chase & Co.




JPMorgan Chase Holdings LLC




J.P. Morgan Broker-Dealer Holdings Inc.




J.P. Morgan Securities LLC









10. In case of proxy voting, please identify:

Name of the proxy holder

N/A

The number and % of voting rights held

N/A

The date until which the voting rights will be held

N/A

 

 

11. Additional informationxvi

 

Table 8A) Includes stock borrows of 1,372,144 (1.22%)

 

Chain of controlled undertakings:

 

JPMorgan Chase & Co.

JPMorgan Chase Bank, National Association (100%)

J.P. Morgan International Finance Limited (100%)

J.P. Morgan Capital Holdings Limited (100%)

J.P. Morgan Securities plc (100%)

 

JPMorgan Chase & Co. (100%)

JPMorgan Chase Holdings LLC (100%)

J.P. Morgan Broker-Dealer Holdings Inc. (100%)

J.P. Morgan Securities LLC (100%)

 

 

 

Place of completion

London, United Kingdom

Date of completion

10 April 2019

 


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