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

Release Date: 13/01/2020 12:30
Code(s): QLT     PDF:  
 
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TR-1: Standard form for notification of major holdings

QUILTER PLC
(previously, Old Mutual Wealth Management Limited)
Incorporated under the Companies Act 1985 with registered number
06404270 and re-registered as a public limited company under the
Companies Act 2006)
ISIN CODE: GB00BDCXV269
JSE SHARE CODE: QLT
Quilter plc (the "Company")



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 at-                          Quilter 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

 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                                                     York Capital Management Global Advisors, LLC
 City and country of registered office (if applicable)    New York, USA

 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
                                                          08/01/2020
 reachedvi:

 6. Date on which issuer notified (DD/MM/YYYY):           10/01/2020


                                                                                                   1

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7. Total positions of person(s) subject to the notification obligation
                                                           % of voting rights
                          % of voting rights at-                                                             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                                                                                         1,902,251,098
threshold was
                          0                            3.05                          3.05
crossed or reached
Position of previous                                   n/a                           n/a
notification (if          n/a
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)




SUBTOTAL 8. A




B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
                                                                                Number of voting rights
Type of financial in-     Expiration          Exercise/                         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

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                                         Exercise/             Physical or
Type of financial      Expiration                                                    Number of
                                         Conversion Pe-        cash                                     % of voting rights
instrument             datex                                                         voting rights
                                         riod xi               settlementxii
Swap                   20 May 2020       -                     Cash settled          243,429            0.01

Swap                   8 August 2021     -                     Cash settled          375,889            0.02

Swap                   22 November       -                     Cash settled
                       2021                                                          2,211,629          0.12
Swap                   11 February       -                     Cash settled
                       2021                                                          1,871,928          0.10
Swap                   11 February       -                     Cash settled
                       2021                                                          9,464,222          0.50
Swap                   13 January        -                     Cash settled
                       2021                                                          7,400,430          0.39
Swap                   11 February       -                     Cash settled
                       2021                                                          3,659,974          0.19
Swap                   11 February       -                     Cash settled
                       2021                                                          1,143,730          0.06
Swap                   11 February       -                     Cash settled
                       2021                                                          23,304,805         1.23
Swap                   11 February       -                     Cash settled
                       2021                                                          5,702,803          0.30
Swap                   11 February       -                     Cash settled
                       2021                                                          2,434,693          0.13
Swap                   13 May 2020       -                     Cash settled
                                                                                     243,656            0.01
                                                               SUBTOTAL
                                                               8.B.2
                                                                                     58,057,188         3.05




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 entityxiv       X
(please add additional rows as necessary)
                                                                   % of voting rights
                                 % of voting rights if it                                           Total of both if it
                                                                 through financial in-
                                  equals or is higher                                              equals or is higher
          Namexv                                                 struments if it equals
                                  than the notifiable                                              than the notifiable
                                                                 or is higher than the
                                       threshold                                                       threshold
                                                                  notifiable threshold
York Capital Manage-
ment Global Advisors,           n/a                             3.05                            3.05
LLC




                                                                                                                      3

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York Registered Hold-           n/a    n/a
                          n/a
ings, L.P.


York Capital Manage-
ment Global Advisors,     n/a   3.05   3.05
LLC
YCM Master Holdings II          n/a    n/a
                          n/a
L.P.
York UCITS Holdings,            n/a    n/a
                          n/a
LLC
DB Platinum IV UBS              n/a    n/a
Multi Strategy Alterna-   n/a
tives


York Capital Manage-
ment Global Advisors,     n/a   3.05   3.05
LLC
YCM Master Holdings I           n/a    n/a
                          n/a
L.P.
York Offshore Holdings          n/a    n/a
                          n/a
II, LLC


York Capital Manage-
ment Global Advisors,     n/a   3.05   3.05
LLC
YCM Master Holdings I
                          n/a   n/a    n/a
L.P.
Dinan Management,
                          n/a   n/a    n/a
LLC
York Capital Manage-
                          n/a   n/a    n/a
ment, L.P.


York Capital Manage-
ment Global Advisors,     n/a   3.05   3.05
LLC
YCM Master Holdings I
                          n/a   n/a    n/a
L.P.
York European Focus
                          n/a   n/a    n/a
Domestic Holdings, LLC
York European Focus
                          n/a   n/a    n/a
Master Fund, L.P.


York Capital Manage-
ment Global Advisors,     n/a   3.05   3.05
LLC



                                              4

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YCM Master Holdings I
                           n/a   n/a    n/a
L.P.
York Asian Strategic
                           n/a   n/a    n/a
Holdings, LLC
York European Strategic
                           n/a   n/a    n/a
Metric Master, LP


York Capital Manage-
ment Global Advisors,      n/a   3.05   3.05
LLC
YCM Master Holdings I
                           n/a   n/a    n/a
L.P.
Exuma Management,
                           n/a   n/a    n/a
LLC
Exuma Capital, L.P.        n/a   n/a    n/a


York Capital Manage-
ment Global Advisors,      n/a   3.05   3.05
LLC
YCM Master Holdings I
                           n/a   n/a    n/a
L.P.
Dinan Management,          n/a   n/a    n/a
LLC
Jorvik Multi-Strategy      n/a   n/a    n/a
Master Fund, L.P.


York Capital Manage-
ment Global Advisors,      n/a   3.05   3.05
LLC
YCM Master Holdings I
                           n/a   n/a    n/a
L.P.
York European Opportu-     n/a   n/a    n/a
nities Domestic Holding,
LLC
York European Opportu-     n/a   n/a    n/a
nities Investments Mas-
ter Fund, L.P.


York Capital Manage-
ment Global Advisors,      n/a   3.05   3.05
LLC
YCM Master Holdings I
                           n/a   n/a    n/a
L.P.
York Offshore Holdings,    n/a   n/a    n/a
LLC



                                               5

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York European Strategic n/a                           n/a    n/a
Investors Holdings Fund,
L.P.


York Capital Manage-
ment Global Advisors,        n/a                      3.05   3.05
LLC
YCM Master Holdings I
                             n/a                      n/a    n/a
L.P.
Dinan Management,            n/a                      n/a    n/a
LLC
York Multi-Strategy Mas-     n/a                      n/a    n/a
ter Fund, L.P.


York Capital Manage-
ment Global Advisors,        n/a                      3.05   3.05
LLC
YCM Master Holdings II
                             n/a                      n/a    n/a
L.P.
York UCITS Holdings,         n/a                      n/a    n/a
LLC
York Event Driven            n/a                      n/a    n/a
UCITS Fund



10. In case of proxy voting, please identify:
Name of the proxy holder                              n/a
                                                      n/a
The number and % of voting rights held
                                                      n/a
The date until which the voting rights will be held



11. Additional informationxvi




Place of completion       London, UK

Date of completion        10/01/2020




                                                                    6

     US 167285873v1



13 January 2020

Sponsor:
J.P. Morgan Equities South Africa Proprietary Limited




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US 167285873v1

Date: 13-01-2020 12:30:00
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