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The Diverse Income Trust Plc - Holding(s) in Company

·4-min read

TR-1: Standard form for notification of major holdings

NOTIFICATION OF MAJOR HOLDINGS

1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached:

The Diverse Income Trust 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

X

An event changing the breakdown of voting rights

Other (please specify):

3. Details of person subject to the notification obligation

Name

M&G Plc

City and country of registered office (if applicable)

London, United Kingdom

4. Full name of shareholder(s) (if different from 3.)

Name

City and country of registered office (if applicable)

5. Date on which the threshold was crossed or reached:

15/07/2020

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

16/07/2020

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 issuer

Resulting situation on the date on which threshold was crossed or reached

11.99%

0.01%

12.00%

358,045,105

Position of previous notification (if
applicable)

12.00%

0.00%

12.00%

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

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rights

% 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)

ORD GBP0.001
GB00B65TLW28


42,934,172

11.99%

SUBTOTAL 8. A

42,934,172

11.99%

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
date

Exercise/
Conversion Period

Number of voting rights that may be acquired if the instrument is
exercised/converted.

% of voting rights

ORD GBP0.001
GB00B65TLW28 (Right of Recall)

50,000

0.01%

SUBTOTAL 8. B 1

50,000

0.01%

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
date

Exercise/
Conversion Period

Physical or cash
settlement

Number of voting rights

% of voting rights

SUBTOTAL 8.B.2







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) issuer

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 entity (please add additional rows as necessary)

X

Name

% 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

M&G Plc (Parent Company)

11.99%

0.01%

12.00%

M&G Group Limited
(wholly owned subsidiary of M&G Plc)

11.99%

0.01%

12.00%

M&G FA Limited
(wholly owned subsidiary of M&G Group Limited)

11.99%

0.01%

12.00%

M&G Investment
Management Limited
(wholly owned subsidiary of M&G FA Limited)

11.99%

0.01%

12.00%

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 information

Place of completion

London, United Kingdom

Date of completion

16 July 2020