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ICG : Notification of Major Holdings

Intermediate Capital Group plc
·5-min read

TR-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)

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

Intermediate Capital Group 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

X

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

Wellington Management Company LLP

City and country of registered office (if applicable)

Boston, USA

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

Name

BBH ISL NOMINEES LTD
BNY Mellon Nominees Limited
GOLDMAN SACHS INTERNATIONAL
JP Morgan Chase Nominees Limited
Mellon Nominees (UK) Ltd.
Nortrust Nominees Limited
ROY Nominees Limited
State Street Nominees Limited
VIDACOS NOMINEES LIMITED

City and country of registered office (if applicable)

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

18/02/2021

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

19/02/2021

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

5.15%

0.05%

5.20%

290,527,475

Position of previous notification (if applicable)

4.96%

0.05%

5.01%


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
(DTR5.1)

Indirect
(DTR5.2.1)

Direct
(DTR5.1)

Indirect
(DTR5.2.1)

GB00BYT1DJ19 Common Stock

14,972,722

5.15%

SUBTOTAL 8.A

14,972,722

5.15%

B 1: Financial Instruments DTR5.3.1R (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

SUBTOTAL 8.B.1

B 2: Financial Instruments with similar economic effect DTR5.3.1R (1) (b)

Type of financial instrument

Expiration date

Exercise/ Conversion Period

Physical or cash settlement

Number of voting rights

% of voting rights

Equity Swap

22/05/2023

10/06/2020 to 22/05/2023

Cash settlement

74,688 Equity Swap shares or 74,688 votes on a converted basis

0.03%

Equity Swap

22/05/2023

09/02/2021 to 22/05/2023

Cash settlement

21,454 Equity Swap shares or 21,454 votes on a converted basis

0.01%

Equity Swap

22/05/2023

19/02/2021 to 22/05/2023

Cash settlement

19,965 Equity Swap shares or 19,965 votes on a converted basis

0.01%

Index Future

18/02/2021

01/01/1900 to 18/02/2021

Cash settlement

1,077 Index Future shares or 11,398 votes on a converted basis

0.00%

Equity Swap

22/05/2023

18/02/2021 to 22/05/2023

Cash settlement

9,834 Equity Swap shares or 9,834 votes on a converted basis

0.00%

Equity Swap

22/05/2023

15/06/2020 to 22/05/2023

Cash settlement

6,208 Equity Swap shares or 6,208 votes on a converted basis

0.00%

Equity Swap

15/05/2023

15/02/2021 to 15/05/2023

Cash settlement

4,546 Equity Swap shares or 4,546 votes on a converted basis

0.00%

Equity Swap

22/05/2023

06/01/2021 to 22/05/2023

Cash settlement

2,915 Equity Swap shares or 2,915 votes on a converted basis

0.00%

Equity Swap

22/05/2023

24/08/2020 to 22/05/2023

Cash settlement

773 Equity Swap shares or 773 votes on a converted basis

0.00%

SUBTOTAL 8.B.2

151,781

0.05%


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

Wellington Management Company LLP

5.15%

5.20%

10. In case of proxy voting, please identify:

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:

Wellington Management Company LLP has now crossed above 5% notification threshold in its own right in respect to Type 1 instruments. Wellington Management Company LLP is an investment management entity that manages the assets of certain funds and/or managed accounts and Wellington Management Company LLP is a direct controlled undertaking of Wellington Investment Advisors Holdings LLP, which, in turn, is a direct controlled undertaking of Wellington Group Holdings LLP, which, in turn, is a direct controlled undertaking of Wellington Management Group LLP.

Place of completion

London

Date of completion

19/02/2021