TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer andto 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 at- | United Utilities Group PLC | |
tachedii: | ||
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: | ||
3. Details of person subject to the notification obligationiv | ||
Name | Lazard Asset Management LLC | |
City and country of registered office (if applicable) | New York, United States of America | |
4. Full name of shareholder(s) (if different from 3.)v | ||
Bank of New York, Inc. - Dir Personal | ||
Bank of New York, Inc. - Global Custody | ||
Chase Manhattan Bank, N.A. | ||
Citibank, N.A. Hong Kong - ETC | ||
J.P. Morgan Chase - SWIFT | ||
NOMURA | ||
Name | Norther Trust Co | |
RBC Dexia Investor Service Bank | ||
State Street Bank - Australia Limited | ||
State Street Bank - Custodian - ETC | ||
State Street Bank- Master Tr - ETC | ||
State Street Bank-Custody Master Trust | ||
Sumitomo Trust & Banking Co. | ||
City and country of registered office (if applicable) | ||
5. Date on which the threshold was crossed or | 29 August 2019 | |
reachedvi: | ||
6. Date on which issuer notified (DD/MM/YYYY): | 30/08/2019 | |
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7. Total positions of person(s) subject to the notification obligation
% of voting rights at- | % of voting rights | Total number of | ||
through financial instru- | Total of both in % | |||
tached to shares (to- | voting rights of is- | |||
ments | (8.A + 8.B) | |||
tal of 8. A) | suervii | |||
(total of 8.B 1 + 8.B 2) | ||||
Resulting situation | ||||
on the date on which | 10.033% | N/A | 10.033% | 681,888,000 |
threshold was | ||||
crossed or reached | ||||
Position of previous | 8.033% | N/A | 8.033% | |
notification (if | ||||
applicable) | ||||
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 | Number of voting rightsix | % of voting rights | ||
shares | ||||
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) (DTR5.1) | 2004/109/EC) | 2004/109/EC) (DTR5.1) | 2004/109/EC) | |
(DTR5.2.1) | (DTR5.2.1) | |||
GB00B39J2M42 | 68,415,325 | 10.033% | ||
SUBTOTAL 8. A | 68,415,325 | 10.033% |
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
Exercise/ | Number of voting rights | |||
Type of financial in- | Expiration | that may be acquired if | % of voting rights | |
strument | datex | Conversion Periodxi | 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))
2
Type of financial | Expiration | Exercise/ | Physical or | Number of | |
Conversion Pe- | cash | % of voting rights | |||
x | voting rights | ||||
instrument | date | riod xi | settlementxii | ||
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) issuerxiii
Fullchain 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 entityxiv X (please add additional rows as necessary)
% of voting rights if | % of voting rights | Total of both if it | |
through financial in- | |||
it equals or is higher | equals or is higher | ||
Namexv | struments if it equals | ||
than the notifiable | or is higher than the | than the notifiable | |
threshold | threshold | ||
notifiable threshold | |||
Lazard Asset Management | 8.033% | 10.033% | |
LLC | |||
10. In case of proxy voting, please identify:
Name of the proxy holder | N/A |
The number and % of voting rights held | |
The date until which the voting rights will be held | |
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11. Additional informationxvi
Contact name: Legal & Compliance Department
Contact telephone number: 0207 448 2069
Place of completion | Lazard Asset Management Limited |
Date of completion | 30/08/2019 |
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United Utilities Group plc published this content on 30 August 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 30 August 2019 16:21:02 UTC