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ANGLO AMERICAN PLC - TR-1: Standard form for notification of major holdings

Release Date: 07/05/2019 17:40
Code(s): AGL     PDF:  
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TR-1: Standard form for notification of major holdings

Anglo American plc (the “Company”)
Registered office: 20 Carlton House Terrace, London SW1Y 5AN
Registered number: 3564138 (incorporated in England and Wales)
Legal Entity Identifier: 549300S9XF92D1X8ME43
ISIN: GBOOB1XZS820
JSE Share Code: AGL
NSX Share Code: ANM

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
attached ii:                                                               ANGLO AMERICAN 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
An event changing the breakdown of voting rights
Other (please specify) iii:
3. Details of person subject to the notification obligation iv
Name                                                             PUBLIC INVESTMENT CORPORATION SOC LIMITED
City and country of registered office (if applicable)            PRETORIA, SOUTH AFRICA
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:                                                       03/05/2019
6. Date on which issuer notified (DD/MM/YYYY):                    07/05/2019
7. Total positions of person(s) subject to the notification obligation
                                                           % of voting rights
                              % of voting rights        through financial in-                            Total number of
                              attached to shares                    struments     Total of both in %    voting rights of
                                 (total of 8. A)     (total of 8.B 1 + 8.B 2)            (8.A + 8.B)          issuer vii
Resulting situation
on the date on which
threshold was
crossed or reached                     11.900%                                               11.900%       1 405 079 530
Position of previous
notification (if
applicable)                            12.942%                                               12.942%
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
                             Number of voting rights ix                                           % of voting rights
Class/type of                                                       Indirect                                                    Indirect
shares                                   Direct         (Art 10 of Directive                         Direct         (Art 10 of Directive
ISIN code (if possible)     (Art 9 of Directive                 2004/109/EC)            (Art 9 of Directive                 2004/109/EC)
GB00B1XZS820              2004/109/EC) (DTR5.1)                   (DTR5.2.1)           2004/109/EC) (DTR5.1)                  (DTR5.2.1)
                                    167 205 308                                                      11.900%
                                                                                            


SUBTOTAL 8. A                                  167 205 308                                                   11.900%
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
Type of financial       Expiration                Exercise/          Number of voting rights          % of voting rights
instrument              date x         Conversion Period xi          that may be acquired if
                                                                           the instrument is
                                                                         exercised/converted.                      



                                            SUBTOTAL 8. B 1                              NIL                        NIL
                                                                                                             

B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive
2004/109/EC (DTR5.3.1.1 (b))
                                                    Exercise/             Physical or
Type of financial         Expiration               Conversion                    cash             Number of
instrument                    date x                Period xi          settlement xii         voting rights        % of voting rights




                                                                             SUBTOTAL
                                                                                8.B.2                   NIL                       NIL
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 xiv
(please add additional rows as necessary)
                                                                         % of voting rights
                                    % of voting rights if it          through financial in-                Total of both if it
                                         equals or is higher         struments if it equals                equals or is higher
                                         than the notifiable          or is higher than the                than the notifiable
Name xv                                            threshold           notifiable threshold                          threshold
PUBLIC INVESTMENT
CORPORATION SOC
LIMITED                                              11.900%                                                           11.900%
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
Name: DEVILLIERS MAKONKO
E-Mail: Devilliers. Makonko @pic.gov.za
TEL: +27 12 742 3578


Place of completion       PRETORIA, SOUTH AFRICA
Date of completion        07 May 2019

Clare Davage
Deputy Company Secretary
Anglo American plc
7 May 2019

The Company has a primary listing on the Main Market of the London Stock Exchange and
secondary listings on the Johannesburg Stock Exchange, the Botswana Stock Exchange, the
Namibia Stock Exchange and the SIX Swiss Exchange.

Sponsor
RAND MERCHANT BANK (A division of FirstRand Bank Limited)

Annex: Notification of major holdings (to be filed with the FCA only)
A: Identity of the person subject to the notification obligation
Full name (including legal form for legal entities)            PUBLIC INVESTMENT CORPORATION SOC LIMITED
                                                               PUBLIC INVESTMENT CORPORATION SOC LTD
                                                               REPUBLIC OF SOUTH AFRICA
                                                               PRIVATE BAG X187
                                                               PRETORIA
Contact address (registered office for legal entities)         0001
E-Mail                                                         Devilliers.makonko@pic.gov.za
Phone number / Fax number                                      +27 12 742 3578
Other useful information                                       Name: DEVILLIERS MAKONKO
(at least legal representative for legal persons)              E-Mail: Devilliers.Makonko@pic.gov.za 
                                                               TEL: +27 12 742 3578
B: Identity of the notifier, if applicable
Full name                                                      DEVILLIERS MAKONKO
                                                               PUBLIC INVESTMENT CORPORATION SOC LTD
                                                               REPUBLIC OF SOUTH AFRICA
                                                               PRIVATE BAG X187
                                                               PRETORIA
Contact address                                                0001
E-Mail                                                         Devilliers.makonko@pic.gov.za
Phone number / Fax number                                      +27 12 742 3578
Other useful information (e.g. functional relationship with
the person or legal entity subject to the notification obli-
gation)                                                        COMPLIANCE OFFICER
C: Additional information
NONE


Please send the completed form together with this annex to the FCA at the following email
address: Majorshareholdings@fca.org.uk. Please send in Microsoft Word format if possible.

Notes
i Please note that national forms may vary due to specific national legislation (Article 3(1a) of Directive 2004/109/EC)
as for instance the applicable thresholds or information regarding capital holdings.
ii Full name of the legal entity and further specification of the issuer or underlying issuer, provided it is reliable and
accurate (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)/ Article 10 (b) to (h) of Directive 2004/109/EC;
(c) all parties to the agreement referred to in Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or (d) the holder of
financial instruments referred to in Article 13(1) of Directive 2004/109/EC (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 points (b) to (h) of Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to
(h)), the following list is provided as indication of the persons who should be mentioned:
- in the circumstances foreseen in letter (b) of Article 10 of that Directive (DTR5.2.1 (b)), the natural person or le-
gal 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 letter (c) of Article 10 of that Directive (DTR5.2.1 (c)), the natural person or le-
gal 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 letter (d) of Article 10 of that Directive (DTR5.2.1 (d)), the natural person or le-
gal 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 person or legal entity who is disposing of the voting rights when the life interest is
created;
- in the circumstances foreseen in letter (e) of Article 10 of that Directive (DTR5.2.1 (e)), the controlling natural
person or legal entity and, provided it has a notification duty at an individual level under Article 9 (DTR 5.1), un-
der letters (a) to (d) of Article 10 of that Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those sit-
uations, the controlled undertaking;
- in the circumstances foreseen in letter (f) of Article 10 of that Directive (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 letter (g) of Article 10 of that Directive (DTR5.2.1 (g)), the natural person or le-
gal entity that controls the voting rights;
- in the circumstances foreseen in letter (h) of Article 10 of that Directive (DTR5.2.1 (h)), the proxy holder, if he
can exercise the voting rights at his discretion, 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 Article 10 (b) to (h) of Directive 2004/109/EC (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 in Article 10
of that Directive (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 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 in accordance with national law, please note that it
might not be necessary in accordance with national law 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-
adjusted basis (Article 13(1a) of Directive 2004/109/EC) (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 thus the markets get always the full picture of the group holdings. 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 leaving a row free between different chains (e.g.: A, B, C, free row, A, B, D, free
row, A, E, F etc.).
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.

Date: 07/05/2019 05:40:00 Produced by the JSE SENS Department. The SENS service is an information dissemination service administered by the JSE Limited ('JSE'). 
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