Brewin Dolphin Holdings PLC Holding(s) in Company (6101A)

TIDMBRW TIDM80GT

RNS Number : 6101A

Brewin Dolphin Holdings PLC

26 September 2022

TR-1: Standard form for notification of major holdings

1. Issuer Details

ISIN

GB0001765816

Issuer Name

BREWIN DOLPHIN HOLDINGS PLC

UK or Non-UK Issuer

UK

2. Reason for Notification

An acquisition or disposal of voting rights

3. Details of person subject to the notification obligation

Name

JPMorgan Chase & Co.

City of registered office (if applicable)

Country of registered office (if applicable)

US

4. Details of the shareholder

 
  Name                           City of registered office    Country of registered office 
   J.P. Morgan Securities plc 
                               ===========================  ============================== 
 

5. Date on which the threshold was crossed or reached

21-Sep-2022

6. Date on which Issuer notified

23-Sep-2022

7. Total positions of person(s) subject to the notification obligation

 
                          % of voting rights      % of voting rights      Total of both in %      Total number of 
                          attached to shares      through financial       (8.A + 8.B)             voting rights held 
                          (total of 8.A)          instruments (total                              in issuer 
                                                  of 8.B 1 + 8.B 2) 
   Resulting situation 
    on the date on 
    which threshold 
    was crossed or 
    reached                3.696771                2.763284                6.460055                19621171 
                        ======================  ======================  ======================  ====================== 
   Position of 
    previous 
    notification (if 
    applicable)            2.242909                3.920109                6.163018 
                        ======================  ======================  ======================  ====================== 
 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reached

8A. Voting rights attached to shares

 
Class/Type of shares    Number of direct        Number of indirect      % of direct voting      % of indirect voting 
ISIN code(if possible)  voting rights (DTR5.1)  voting rights           rights (DTR5.1)         rights (DTR5.2.1) 
                                                (DTR5.2.1) 
GB0001765816                                       11228158                                        3.696771 
                        ======================  ======================  ======================  ====================== 
Sub Total 8.A              11228158                                        3.696771% 
                        ==============================================  ============================================== 
 

8B1. Financial Instruments according to (DTR5.3.1R.(1) (a))

 
Type of financial           Expiration date  Exercise/conversion period  Number of voting rights    % of voting rights 
instrument                                                               that may be acquired if 
                                                                         the instrument is 
                                                                         exercised/converted 
 
Sub Total 8.B1 
                            ===========================================  =========================  ================== 
 

8B2. Financial Instruments with similar economic effect according to (DTR5.3.1R.(1) (b))

 
Type of financial   Expiration date   Exercise/conversion   Physical or cash    Number of voting    % of voting rights 
instrument                            period                settlement          rights 
 Cash-settled 
  Equity Swap        10/10/2022        10/10/2022            Cash                1561000             0.513945 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        24/10/2022        24/10/2022            Cash                499000              0.164291 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        07/02/2023        07/02/2023            Cash                844231              0.277955 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        01/03/2023        01/03/2023            Cash                25815               0.008494 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        06/04/2023        06/04/2023            Cash                4441440             1.462305 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        13/04/2023        13/04/2023            Cash                21488               0.007066 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        26/04/2023        26/04/2023            Cash                18959               0.006241 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        03/05/2023        03/05/2023            Cash                335989              0.110607 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        04/09/2023        04/09/2023            Cash                41                  0.000013 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        20/09/2023        20/09/2023            Cash                4920                0.001614 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        03/10/2023        03/10/2023            Cash                15920               0.005239 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        16/10/2023        16/10/2023            Cash                85583               0.028176 
                    ================  ====================  ==================  ==================  ================== 
 Cash-settled 
  Equity Swap        27/01/2027        27/01/2027            Cash                538627              0.177338 
                    ================  ====================  ==================  ==================  ================== 
Sub Total 8.B2                                                                   8393013             2.763284% 
                                                                                ==================  ================== 
 

9. Information in relation to the person subject to the notification obligation

2. 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 entities (please add additional rows as necessary)

 
Ultimate controlling     Name of controlled       % of voting rights if  % of voting rights     Total of both if it 
person                   undertaking              it equals or is        through financial      equals or is higher 
                                                  higher than the        instruments if it      than the notifiable 
                                                  notifiable threshold   equals or is higher    threshold 
                                                                         than the notifiable 
                                                                         threshold 
                            J.P. Morgan 
   JPMorgan Chase & Co.      Securities plc          3.696771                                      6.460055% 
                         =======================  =====================  =====================  ====================== 
 

10. In case of proxy voting

Name of the proxy holder

The number and % of voting rights held

The date until which the voting rights will be held

11. Additional Information

Chain of controlled undertakings:

JPMorgan Chase & Co.

JPMorgan Chase Bank, National Association (100%)

J.P. Morgan International Finance Limited (100%)

J.P. Morgan Capital Holdings Limited (100%)

J.P. Morgan Securities plc (100%)

12. Date of Completion

23-Sep-2022

13. Place Of Completion

London

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September 26, 2022 04:40 ET (08:40 GMT)