REG - Genus - Notification of Major Holdings
06/06/2022 09:15
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RNS Number : 8184N Genus PLC 06 June 2022
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 Genus Plc
which voting rights are attached:
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
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 Bank of New York (Nominees) Ltd
BBH ISL NOMINEES LTD
GOLDMAN SACHS INTERNATIONAL
HSBC Global Custody Nominee (UK) Limited
HSBC Global Custody Nominee Limited
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: 01/06/2022
6. Date on which issuer notified (DD/MM/YYYY): 02/06/2022
7. Total positions of person(s) subject to the notification obligation:
% of voting rights attached to shares % of voting rights through financial instruments Total of both in % Total number of voting rights of issuer
(total of 8.A) (total of 8.B.1 + 8.B.2) (8.A + 8.B)
Resulting situation on the date on which threshold was crossed or reached 5.10% 0.03% 5.13% 65,770,066
Position of previous notification (if applicable) 4.97% 0.03% 5.01%
City and country of registered office (if applicable)
5. Date on which the threshold was crossed or reached:
01/06/2022
6. Date on which issuer notified (DD/MM/YYYY):
02/06/2022
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
5.10%
0.03%
5.13%
65,770,066
Position of previous notification (if applicable)
4.97%
0.03%
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 Indirect Direct Indirect
(DTR5.1) (DTR5.2.1) (DTR5.1) (DTR5.2.1)
GB0002074580 Common Stock 3,351,632 5.10%
SUBTOTAL 8.A 3,351,632 5.10%
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 % of voting rights
exercised/converted
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 15/05/2023 01/11/2018 to 15/05/2023 Cash settlement 12,500 Equity Swap shares or 12,500 votes on a converted basis 0.02%
Equity Swap 22/05/2023 15/07/2019 to 22/05/2023 Cash settlement 1,881 Equity Swap shares or 1,881 votes on a converted basis 0.00%
Equity Swap 22/05/2023 05/10/2018 to 22/05/2023 Cash settlement 1,740 Equity Swap shares or 1,740 votes on a converted basis 0.00%
Equity Swap 22/05/2023 08/10/2018 to 22/05/2023 Cash settlement 1,102 Equity Swap shares or 1,102 votes on a converted basis 0.00%
Equity Swap 22/05/2023 06/01/2021 to 22/05/2023 Cash settlement 712 Equity Swap shares or 712 votes on a converted basis 0.00%
Equity Swap 22/05/2023 20/01/2020 to 22/05/2023 Cash settlement 450 Equity Swap shares or 450 votes on a converted basis 0.00%
Equity Swap 22/05/2023 03/03/2022 to 22/05/2023 Cash settlement 436 Equity Swap shares or 436 votes on a converted basis 0.00%
Equity Swap 22/05/2023 08/03/2022 to 22/05/2023 Cash settlement 400 Equity Swap shares or 400 votes on a converted basis 0.00%
Equity Swap 22/05/2023 01/03/2022 to 22/05/2023 Cash settlement 284 Equity Swap shares or 284 votes on a converted basis 0.00%
Equity Swap 22/05/2023 03/03/2022 to 22/05/2023 Cash settlement 265 Equity Swap shares or 265 votes on a converted basis 0.00%
Equity Swap 05/05/2023 30/07/2018 to 05/05/2023 Cash settlement 239 Equity Swap shares or 239 votes on a converted basis 0.00%
Equity Swap 22/05/2023 02/03/2022 to 22/05/2023 Cash settlement 204 Equity Swap shares or 204 votes on a converted basis 0.00%
Equity Swap 22/05/2023 07/03/2022 to 22/05/2023 Cash settlement 177 Equity Swap shares or 177 votes on a converted basis 0.00%
Equity Swap 22/05/2023 03/07/2018 to 22/05/2023 Cash settlement 159 Equity Swap shares or 159 votes on a converted basis 0.00%
Equity Swap 22/05/2023 11/03/2022 to 22/05/2023 Cash settlement 89 Equity Swap shares or 89 votes on a converted basis 0.00%
Equity Swap 22/05/2023 15/03/2022 to 22/05/2023 Cash settlement 81 Equity Swap shares or 81 votes on a converted basis 0.00%
Equity Swap 22/05/2023 09/03/2022 to 22/05/2023 Cash settlement 80 Equity Swap shares or 80 votes on a converted basis 0.00%
Equity Swap 22/05/2023 10/03/2022 to 22/05/2023 Cash settlement 54 Equity Swap shares or 54 votes on a converted basis 0.00%
Equity Swap 22/05/2023 15/03/2022 to 22/05/2023 Cash settlement 50 Equity Swap shares or 50 votes on a converted basis 0.00%
Equity Swap 22/05/2023 14/03/2022 to 22/05/2023 Cash settlement 46 Equity Swap shares or 46 votes on a converted basis 0.00%
Equity Swap 22/05/2023 04/03/2022 to 22/05/2023 Cash settlement 23 Equity Swap shares or 23 votes on a converted basis 0.00%
SUBTOTAL 8.B.2 20,972 0.03%
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 X
the financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity (please add additional rows as
necessary)
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 Total of both if it equals or is higher than the notifiable threshold
than the notifiable threshold
Wellington Management Company LLP 5.10% 5.13%
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 crossed above the 5% notification
threshold in its own right. Wellington Management Company is an investment
management entity that manages the assets of certain funds and/or managed
accounts.
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 Boston, USA
Date of completion 02/06/2022
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