Brewin Dolphin Holdings PLC Holding(s) in Company (2620H)

TIDMBRW TIDMAV.

RNS Number : 2620H

Brewin Dolphin Holdings PLC

27 November 2015

 
 
 TR-1: Notification of a Major Interest in Shares 
---------------------------------------------------------------------------------------------------- 
 
 1. Identity of the issuer or the underlying               Brewin Dolphin plc 
  issuer 
  of existing shares to which voting rights 
  are 
  attached: (ii) 
--------------------------------------------------------  ------------------------------------------ 
 2 Reason for the notification (please tick the appropriate box or boxes): 
---------------------------------------------------------------------------------------------------- 
 An acquisition or disposal of voting rights 
------------------------------------------------------------------------------------------  -------- 
 An acquisition or disposal of qualifying financial instruments 
  which may result in the acquisition of shares already issued to 
  which voting rights are attached 
------------------------------------------------------------------------------------------  -------- 
 An acquisition or disposal of instruments with similar economic 
  effect to qualifying financial instruments 
------------------------------------------------------------------------------------------  -------- 
 An event changing the breakdown of voting rights 
------------------------------------------------------------------------------------------  -------- 
 Other (please specify):      NOTIFICATION PROMPTED BY THE REMOVAL OF STOCK 
                               LENDING EXEMPTION FOLLOWING IMPLEMENTATION OF 
                               THE EU TRANSPARENCY DIRECTIVE AMENDMENTS 
------------------------  ----------------------------------------------------------------  -------- 
 3. Full name of person(s) subject               Aviva plc & its subsidiaries 
  to the 
  notification obligation: (iii) 
----------------------------------------------  ---------------------------------------------------- 
 4. Full name of shareholder(s)                  Registered Holder: 
  (if different from 3.):(iv) 
                                                  BNY Norwich Union Nominees Limited 
                                                  876,894* 
 
                                                  Chase (GA Group) Nominees Limited 9,362,936* 
 
                                                  Chase Nominees Limited 100,735* 
 
                                                  State Street Nominees Limited 186,755* 
 
                                                  Available on Request 11,000* 
                                                  * denotes direct interest 
----------------------------------------------  ---------------------------------------------------- 
 5. Date of the transaction and date             25 November 2015 
  on 
  which the threshold is crossed or 
  reached: (v) 
----------------------------------------------  ---------------------------------------------------- 
 6. Date on which issuer notified:               27 November 2015 
----------------------------------------------  ---------------------------------------------------- 
 7. Threshold(s) that is/are crossed             4% to 3% Change at Direct Interest 
  or                                              Level 
  reached: (vi, vii) 
----------------------------------------------  ---------------------------------------------------- 
 
 
 
 8. Notified details: 
---------------------------------------------------------------------------------------------------------------------- 
 A: Voting rights attached to shares (viii, ix) 
---------------------------------------------------------------------------------------------------------------------- 
 Class/type       Situation previous              Resulting situation after the triggering 
  of               to the triggering               transaction 
  shares           transaction 
 
  if possible 
  using 
  the ISIN CODE 
---------------  ------------------------------  --------------------------------------------------------------------- 
                  Number           Number         Number       Number of voting               % of voting rights 
                   of               of             of shares    rights                         (x) 
                   Shares           Voting 
                                    Rights 
---------------  ---------------  -------------  -----------  -----------------------------  ------------------------- 
                                                  Direct       Direct         Indirect        Direct     Indirect 
                                                                (xi)           (xii) 
---------------  -----  --------  ------  -----  -----------  -------------  --------------  ---------  -------------- 
 
  Ordinary 
  Shares 
 
  GB0001765816    11,302,520       11,302,520 
                 ---------------  -------------  -----------  ------         --------------  ----       -------------- 
                                                                                   Not                        Not 
                                                  10,538,320   10,538,320      Disclosable     3.77%      Disclosable 
---------------  -----  --------  ------  -----  -----------  -------------  --------------  ---------  -------------- 
 
 B: Qualifying Financial Instruments 
---------------------------------------------------------------------------------------------------------------------- 
 Resulting situation after the triggering transaction 
---------------------------------------------------------------------------------------------------------------------- 
 Type of financial       Expiration        Exercise/                   Number of voting             % of voting 
  instrument              date (xiii)       Conversion Period           rights that may              rights 
                                            (xiv)                       be 
                                                                        acquired if the 
                                                                        instrument is 
                                                                        exercised/ converted. 
----------------------  ----------------  --------------------------  ---------------------------  ------------------- 
 
 
 
 
 C: Financial Instruments with similar economic effect to Qualifying Financial 
  Instruments (xv, xvi) 
----------------------------------------------------------------------------------------------------------- 
 Resulting situation after the triggering transaction 
----------------------------------------------------------------------------------------------------------- 
 Type of financial    Exercise    Expiration      Exercise/      Number of voting      % of voting rights 
  instrument           price       date (xvii)     Conversion     rights instrument     (xix, xx) 
                                                   period         refers to 
                                                   (xviii) 
-------------------  ----------  --------------  -------------  --------------------  --------------------- 
 RIGHT TO RECALL      N/A         N/A             N/A            1,011,134 *           Nominal      Delta 
  LOANED SHARES 
                                                                  * Direct Interest 
-------------------  ----------  --------------  -------------  --------------------  -----------  -------- 
                                                                                       0.36% 
    --------------------------------------------------------------------------------  -----------  -------- 
 
 
 Total (A+B+C) 
------------------------------------------------------ 
 Number of voting rights   Percentage of voting rights 
------------------------  ---------------------------- 
 11,549,454                4.13% 
------------------------  ---------------------------- 
 
 
 9. Chain of controlled undertakings through which the voting rights and/or 
  the 
  financial instruments are effectively held, if applicable: (xxi) 
------------------------------------------------------------------------------- 
      The voting rights are managed and controlled by Aviva Investors Global 
       Services Limited and Friends Provident International Limited, with the 
       following chain of controlled undertakings:- 
 
       Aviva Investors Global Services Limited: 
        *    Aviva plc (Parent Company) 
 
 
        *    Aviva Group Holdings Limited (wholly owned subsidiary 
             of Aviva plc) 
 
 
        *    Aviva Investors Holdings Limited (wholly owned 
             subsidiary of Aviva Group Holdings Limited) 
 
 
        *    Aviva Investors Global Services Limited (wholly owned 
             subsidiary of Aviva Investors Holdings Limited) 
 
 
 
       Friends Provident International Limited: 
        *    Aviva plc (Parent Company) 
 
 
        *    Aviva Group Holdings Limited (wholly owned subsidiary 
             of Aviva plc) 
 
 
        *    Aviva Life Holdings UK Limited (wholly owned 
             subsidiary of Aviva Group Holdings Limited) 
 
 
        *    Friends Life FPG Limited (wholly owned subsidiary of 
             Aviva Life Holdings UK Limited) 
 
 
        *    Friends Life FPL Limited (wholly owned subsidiary of 
             Friends Life FPG Limited) 
 
 
        *    Friends Life Limited (wholly owned subsidiary of 
             Friends Life FPL Limited) 
 
 
        *    Friends Life and Pensions Limited (wholly owned 
             subsidiary of Friends Life Limited) 
 
 
        *    Friends Provident International Limited (wholly owned 
             subsidiary of Friends Life and Pensions Limited) 
 
 Proxy Voting: 
------------------------------------------------------------------------------- 
 10. Name of the proxy holder:                                 See Section 4 
------------------------------------------------------------  ----------------- 
 11. Number of voting rights proxy holder will 

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November 27, 2015 11:31 ET (16:31 GMT)