REG - Pearson PLC Goldman Sachs Group. - Holding(s) in Company
RNS Number : 4165LPearson PLC24 December 2018TR-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:
Pearson 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
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
X
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
Goldman Sachs International
City and country of registered office (if applicable)
Peterborough Court, 133 Fleet Street, London
EC4A 2BB, UK
5. Date on which the threshold was crossed or reachedvi:
19/12/2018
6. Date on which issuer notified (DD/MM/YYYY):
21/12/2018
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
0.92%
5.81%
6.74%
781,072,200
Position of previous notification (if
applicable)
0.57%
5.91%
6.48%
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
sharesISIN 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)
GB0006776081
6,817,062
0.87%
US7050151056
397,124
0.05%
SUBTOTAL 8. A
7,214,186
0.92%
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
datexExercise/
Conversion PeriodxiNumber of voting rights that may be acquired if the instrument is
exercised/converted.
% of voting rights
Securities Lending
Open
15,478,343
1.98%
Put option
15-Mar-2019
1,000,000
0.13%
Put option
15-Mar-2019
1,000,000
0.13%
Put option
15-Feb-2019
1,000,000
0.13%
Put option
15-Mar-2019
1,000,000
0.13%
Call Option
21-Dec-2018
400,000
0.05%
SUBTOTAL 8. B 1
19,878,343
2.55%
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
datexExercise/
Conversion Period xiPhysical or cash
settlementxii
Number of voting rights
% of voting rights
Refer to Annexure
SUBTOTAL 8.B.2
25,531,638
3.27%
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 (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
The Goldman Sachs Group, Inc.
Goldman Sachs (UK) L.L.C.
Goldman Sachs Group UK Limited
Goldman Sachs
International
3.89%
3.91%
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.
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
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:
Place of completion
London
Date of completion
21/12/2018
Natalie White
Deputy Company Secretary
Pearson plc
24 December 2018
Annexure
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 datex
Exercise/ Conversion periodxi
Physical or cash settlementxii
Number of voting rights
% of voting rights
CFD
10-Dec-2025
Cash
3,100,153
0.40%
CFD
23-Sep-2020
Cash
2,464,000
0.32%
CFD
4-Dec-2023
Cash
1,651,890
0.21%
CFD
20-Oct-2027
Cash
1,207,888
0.15%
Swap
28-Jul-2021
Cash
1,096,212
0.14%
Swap
28-Jul-2021
Cash
757,148
0.10%
CFD
15-Sep-2028
Cash
743,664
0.10%
CFD
9-Sep-2021
Cash
711,542
0.09%
CFD
17-Nov-2028
Cash
509,700
0.07%
Call Option
9-Jan-2019
Cash
495,621
0.06%
Swap
12-Oct-2023
Cash
397,330
0.05%
CFD
15-Nov-2028
Cash
368,890
0.05%
Call Option
15-Jan-2019
Cash
345,299
0.04%
CFD
15-Jul-2021
Cash
328,703
0.04%
CFD
16-Jun-2028
Cash
328,703
0.04%
CFD
20-Oct-2027
Cash
308,401
0.04%
CFD
20-Oct-2027
Cash
308,140
0.04%
Swap
30-Nov-2023
Cash
300,000
0.04%
CFD
4-Dec-2023
Cash
284,110
0.04%
Call Option
11-Jan-2019
Cash
274,566
0.04%
CFD
24-Mar-2028
Cash
259,000
0.03%
CFD
19-May-2027
Cash
256,115
0.03%
CFD
4-Dec-2023
Cash
254,475
0.03%
Swap
3-Feb-2023
Cash
250,801
0.03%
Swap
29-Nov-2023
Cash
250,000
0.03%
CFD
21-Jun-2028
Cash
234,316
0.03%
Swap
29-Nov-2023
Cash
225,000
0.03%
CFD
27-Sep-2028
Cash
217,594
0.03%
CFD
9-Sep-2021
Cash
208,879
0.03%
CFD
23-Aug-2028
Cash
204,000
0.03%
Swap
28-Jul-2021
Cash
203,317
0.03%
Swap
2-Feb-2023
Cash
198,606
0.03%
CFD
25-Apr-2019
Cash
177,353
0.02%
CFD
6-Dec-2028
Cash
176,900
0.02%
Swap
28-Jul-2021
Cash
170,231
0.02%
Swap
21-May-2019
Cash
164,211
0.02%
CFD
12-Jul-2023
Cash
158,153
0.02%
CFD
12-Jun-2028
Cash
156,757
0.02%
CFD
10-Mar-2028
Cash
148,214
0.02%
CFD
22-Nov-2028
Cash
134,667
0.02%
Swap
28-Jul-2021
Cash
131,070
0.02%
Call Option
12-Mar-2019
Cash
126,771
0.02%
CFD
17-Nov-2028
Cash
125,499
0.02%
Call Option
8-Feb-2019
Cash
124,413
0.02%
Swap
17-Sep-2020
Cash
122,290
0.02%
CFD
17-Nov-2028
Cash
121,696
0.02%
CFD
25-Feb-2027
Cash
120,007
0.02%
Swap
3-Feb-2023
Cash
117,797
0.02%
CFD
15-Nov-2028
Cash
116,110
0.01%
CFD
4-Dec-2023
Cash
114,713
0.01%
Swap
13-Oct-2023
Cash
113,548
0.01%
Swap
22-Mar-2019
Cash
113,300
0.01%
Call Option
19-Feb-2019
Cash
113,186
0.01%
CFD
20-Oct-2021
Cash
108,500
0.01%
CFD
24-Nov-2028
Cash
106,470
0.01%
Call Option
5-Mar-2019
Cash
96,162
0.01%
Swap
2-Feb-2023
Cash
93,281
0.01%
CFD
17-Jul-2028
Cash
92,500
0.01%
Swap
29-Nov-2023
Cash
91,988
0.01%
Swap
8-Dec-2023
Cash
91,426
0.01%
Swap
14-Jun-2023
Cash
86,565
0.01%
Swap
12-Jul-2023
Cash
84,590
0.01%
Call Option
8-Mar-2019
Cash
82,619
0.01%
CFD
26-Nov-2021
Cash
80,948
0.01%
Call Option
6-Mar-2019
Cash
78,486
0.01%
CFD
11-Aug-2023
Cash
77,077
0.01%
CFD
1-Mar-2028
Cash
76,610
0.01%
Swap
7-Jul-2023
Cash
73,094
0.01%
Swap
3-Feb-2023
Cash
68,758
0.01%
CFD
4-Dec-2023
Cash
68,531
0.01%
CFD
20-Nov-2028
Cash
68,454
0.01%
Swap
29-Nov-2023
Cash
65,026
0.01%
CFD
5-Nov-2027
Cash
64,825
0.01%
CFD
17-Nov-2028
Cash
64,651
0.01%
Swap
15-Jun-2023
Cash
57,709
0.01%
CFD
24-Nov-2028
Cash
57,059
0.01%
CFD
20-Nov-2028
Cash
57,045
0.01%
Swap
5-Sep-2019
Cash
55,700
0.01%
CFD
4-Dec-2023
Cash
55,037
0.01%
CFD
17-Jul-2028
Cash
55,000
0.01%
Call Option
22-Feb-2019
Cash
54,802
0.01%
Swap
2-Feb-2023
Cash
54,448
0.01%
Call Option
15-Jan-2019
Cash
53,719
0.01%
Swap
5-Sep-2019
Cash
53,400
0.01%
CFD
10-Mar-2028
Cash
52,566
0.01%
CFD
1-Mar-2028
Cash
50,720
0.01%
Swap
1-Feb-2023
Cash
43,214
0.01%
CFD
25-Apr-2019
Cash
41,002
0.01%
Swap
14-Jun-2023
Cash
40,052
0.01%
CFD
17-Nov-2028
Cash
39,501
0.01%
CFD
17-Nov-2028
Cash
38,304
0.005%
CFD
22-Nov-2028
Cash
38,030
0.005%
Swap
12-Jul-2023
Cash
37,897
0.005%
CFD
17-Nov-2028
Cash
36,622
0.005%
CFD
17-Jul-2023
Cash
34,800
0.004%
CFD
21-Jul-2028
Cash
34,000
0.004%
CFD
24-Nov-2028
Cash
33,512
0.004%
CFD
25-Apr-2019
Cash
33,191
0.004%
Swap
7-Jul-2023
Cash
32,746
0.004%
CFD
14-Jul-2023
Cash
30,500
0.004%
Swap
12-Jun-2023
Cash
30,225
0.004%
CFD
25-Feb-2027
Cash
29,702
0.004%
CFD
25-Apr-2019
Cash
29,469
0.004%
Swap
15-Jun-2023
Cash
26,702
0.003%
CFD
1-Nov-2028
Cash
26,197
0.003%
CFD
13-Sep-2028
Cash
26,000
0.003%
CFD
6-Jul-2023
Cash
25,488
0.003%
CFD
1-Nov-2028
Cash
25,474
0.003%
CFD
25-Apr-2019
Cash
24,541
0.003%
CFD
26-Nov-2021
Cash
24,179
0.003%
Swap
14-Jun-2023
Cash
23,383
0.003%
Swap
12-Jul-2023
Cash
22,173
0.003%
CFD
20-Nov-2028
Cash
21,546
0.003%
CFD
13-Dec-2028
Cash
20,400
0.003%
CFD
17-Nov-2028
Cash
20,349
0.003%
Swap
1-Feb-2023
Cash
20,297
0.003%
CFD
27-Feb-2023
Cash
19,731
0.003%
CFD
25-Apr-2019
Cash
19,385
0.002%
Swap
7-Jul-2023
Cash
19,160
0.002%
CFD
17-Jul-2023
Cash
18,700
0.002%
CFD
24-Nov-2028
Cash
17,959
0.002%
CFD
20-Nov-2028
Cash
17,955
0.002%
CFD
23-Nov-2028
Cash
17,711
0.002%
CFD
4-Dec-2023
Cash
16,369
0.002%
Swap
28-Mar-2019
Cash
16,200
0.002%
Swap
22-May-2020
Cash
16,129
0.002%
Swap
30-Apr-2019
Cash
15,800
0.002%
Swap
15-Jun-2023
Cash
15,589
0.002%
Call Option
7-Jan-2019
Cash
15,184
0.002%
Swap
17-Sep-2020
Cash
15,102
0.002%
CFD
11-Nov-2020
Cash
15,090
0.002%
CFD
21-Jul-2028
Cash
15,000
0.002%
CFD
18-Sep-2019
Cash
15,000
0.002%
CFD
22-Nov-2028
Cash
14,532
0.002%
Swap
31-Dec-2019
Cash
14,300
0.002%
Swap
12-Jun-2023
Cash
13,985
0.002%
Swap
3-Nov-2021
Cash
12,609
0.002%
Swap
22-May-2020
Cash
12,597
0.002%
Swap
22-May-2020
Cash
12,577
0.002%
CFD
20-Nov-2028
Cash
12,400
0.002%
CFD
22-Nov-2028
Cash
11,970
0.002%
Swap
1-Feb-2023
Cash
11,847
0.002%
CFD
26-Jun-2019
Cash
11,475
0.001%
Swap
31-Dec-2019
Cash
10,900
0.001%
CFD
28-Oct-2020
Cash
10,812
0.001%
Swap
6-Feb-2019
Cash
10,500
0.001%
CFD
27-Nov-2019
Cash
10,110
0.001%
CFD
27-Dec-2019
Cash
10,110
0.001%
CFD
14-Jan-2021
Cash
9,422
0.001%
CFD
30-Oct-2028
Cash
9,347
0.001%
CFD
14-Jan-2021
Cash
9,303
0.001%
Swap
12-Oct-2023
Cash
8,622
0.001%
Swap
12-Jun-2023
Cash
8,165
0.001%
Swap
22-May-2020
Cash
7,925
0.001%
CFD
25-Apr-2019
Cash
7,650
0.001%
Call Option
12-Mar-2019
Cash
7,615
0.001%
CFD
27-Nov-2019
Cash
6,740
0.001%
Swap
22-May-2020
Cash
6,153
0.001%
Swap
8-Dec-2023
Cash
6,074
0.001%
CFD
9-Dec-2020
Cash
5,970
0.001%
CFD
15-Dec-2028
Cash
5,553
0.001%
CFD
21-Oct-2021
Cash
5,098
0.001%
CFD
15-Dec-2027
Cash
5,000
0.001%
CFD
8-Mar-2028
Cash
5,000
0.001%
CFD
12-May-2028
Cash
5,000
0.001%
CFD
3-Nov-2028
Cash
4,984
0.001%
Swap
22-May-2020
Cash
4,774
0.001%
CFD
20-Dec-2028
Cash
4,700
0.001%
Swap
22-May-2020
Cash
3,941
0.001%
Swap
3-Nov-2021
Cash
3,634
0.0005%
CFD
25-Apr-2019
Cash
3,060
0.0004%
Swap
22-May-2020
Cash
3,050
0.0004%
CFD
2-Nov-2028
Cash
2,900
0.0004%
CFD
21-Dec-2028
Cash
2,880
0.0004%
Swap
22-May-2020
Cash
2,857
0.0004%
Call Option
22-Feb-2019
Cash
2,586
0.0003%
Swap
3-Nov-2021
Cash
2,556
0.0003%
CFD
28-Oct-2020
Cash
2,350
0.0003%
CFD
28-Oct-2020
Cash
2,350
0.0003%
Swap
3-Nov-2021
Cash
2,214
0.0003%
CFD
6-Dec-2023
Cash
2,080
0.0003%
CFD
29-Nov-2028
Cash
1,900
0.0002%
Swap
22-May-2020
Cash
1,768
0.0002%
CFD
27-Feb-2023
Cash
1,765
0.0002%
CFD
16-Nov-2028
Cash
1,259
0.0002%
CFD
15-Nov-2028
Cash
1,100
0.0001%
CFD
15-Dec-2028
Cash
1,000
0.0001%
Call Option
22-Feb-2019
Cash
698
0.0001%
CFD
16-Dec-2020
Cash
662
0.0001%
CFD
18-Sep-2028
Cash
602
0.0001%
CFD
20-Nov-2028
Cash
532
0.0001%
Swap
22-May-2020
Cash
461
0.0001%
CFD
6-Dec-2028
Cash
433
0.0001%
Swap
22-May-2020
Cash
419
0.0001%
CFD
29-Nov-2028
Cash
406
0.0001%
CFD
8-Nov-2028
Cash
400
0.0001%
CFD
22-Nov-2028
Cash
400
0.0001%
Swap
22-May-2020
Cash
329
0.00004%
Swap
22-May-2020
Cash
323
0.00004%
CFD
9-Nov-2028
Cash
300
0.00004%
CFD
10-Nov-2028
Cash
300
0.00004%
CFD
15-Nov-2028
Cash
300
0.00004%
CFD
6-Dec-2028
Cash
200
0.00003%
CFD
18-Dec-2028
Cash
200
0.00003%
CFD
20-Dec-2028
Cash
200
0.00003%
CFD
27-Sep-2028
Cash
123
0.00002%
CFD
5-Oct-2028
Cash
122
0.00002%
CFD
22-Nov-2028
Cash
100
0.00001%
CFD
29-Nov-2028
Cash
100
0.00001%
CFD
30-Nov-2028
Cash
100
0.00001%
CFD
13-Dec-2028
Cash
100
0.00001%
CFD
15-Dec-2028
Cash
100
0.00001%
CFD
27-Sep-2028
Cash
90
0.00001%
CFD
6-Oct-2028
Cash
82
0.00001%
CFD
21-Dec-2028
Cash
69
0.00001%
CFD
23-Nov-2028
Cash
63
0.00001%
CFD
2-Oct-2028
Cash
61
0.00001%
CFD
23-Oct-2028
Cash
19
0.000002%
Total Number of voting rights and percentage of voting rights
25,531,638
3.27%
Additional information: Please note, total amount of voting rights have been rounded to 2 decimal places therefore there is a possibility of a rounding error.
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