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 | PEARSON PLC | |||||||||
attachedii: | ||||||||||
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 | The Goldman Sachs Group, Inc. | |||||||||
City and country of registered office (if applicable) | Corporation Trust Center, 1209 Orange Street, | |||||||||
Wilmington DE 19801, 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 | 03/10/2019 | |||||||||
reachedvi: | ||||||||||
6. Date on which issuer notified (DD/MM/YYYY): | 07/10/2019 | |||||||||
7. Total positions of person(s) subject to the notification obligation | ||||||||||
% of voting rights | % of voting rights | Total number of | ||||||||
through financial in- | Total of both in % | |||||||||
attached to shares | voting rights of | |||||||||
struments | (8.A + 8.B) | |||||||||
(total of 8. A) | issuervii | |||||||||
(total of 8.B 1 + 8.B 2) | ||||||||||
Resulting situation | ||||||||||
on the date on which | 0.19% | 0.68% | 0.87% | 782,054,530 | ||||||
threshold was | ||||||||||
crossed or reached | ||||||||||
Position of previous | ||||||||||
notification (if | 0.47% | 5.51% | 5.98% | |||||||
applicable) | ||||||||||
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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) | 2004/109/EC) | 2004/109/EC) (DTR5.1) | 2004/109/EC) | |||
(DTR5.1) | (DTR5.2.1) | (DTR5.2.1) | ||||
GB0006776081 | 996,239 | 0.13% | ||||
US7050151056 | 489,800 | 0.06% | ||||
SUBTOTAL 8. A | 1,486,039 | 0.19% | ||||
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 | |
Conversion Peri- | ||||
strument | x | the instrument is | ||
date | odxi | |||
exercised/converted. | ||||
Securities Lending | Open | 5,159,061 | 0.66% | |
SUBTOTAL 8. B.1 | 5,159,061 | 0.66% | ||
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 | Number of | ||||
Type of financial | Expiration | Conver- | ||||
cash | % of voting rights | |||||
instrument | datex | sion | xii | voting rights | ||
Period xi | settlement | |||||
Swap | 20/05/2020 | Cash | 159,411 | 0.02% | ||
CFD | 01/10/2029 | Cash | 13,454 | 0.002% | ||
SUBTOTAL | 172,865 | 0.02% | ||||
8.B.2 | ||||||
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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 it | % of voting rights | Total of both if it | |
through financial in- | |||
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 | |||
The Goldman Sachs | |||
Group, Inc. | |||
Goldman Sachs & Co. LLC | |||
The Goldman Sachs | |||
Group, Inc. | |||
GSAM Holdings LLC | |||
Goldman Sachs Asset | |||
Management, L.P. | |||
Goldman Sachs Asset | |||
Management International | |||
Holdings L.L.C. | |||
Goldman Sachs Asset | |||
Management Co., Ltd. | |||
The Goldman Sachs | |||
Group, Inc. | |||
IMD Holdings LLC | |||
United Capital Financial | |||
Partners, Inc. | |||
United Capital Financial | |||
Advisers, LLC | |||
The Goldman Sachs | |||
Group, Inc. | |||
GSAM Holdings LLC | |||
Goldman Sachs Asset | |||
Management, L.P. |
10. In case of proxy voting, please identify:
Name of the proxy holder | N/A |
The number and % of voting rights held | N/A |
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The date until which the voting rights will be held | N/A |
11. Additional informationxvi
Please note, total amount of voting rights have been rounded to 2 decimal places therefore there is a possibility of a rounding error.
General email contact: gs-regops-emea-position-enquiries@gs.com
Place of completion | London |
Date of completion | 07/10/2019 |
Natalie White
Deputy Company Secretary
Pearson plc
08 October 2019
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