REG - NB Glbl Fltg Rte Inc NB Global Fltg -NBLU - Holding(s) in Company

NB Global Monthly Income FundAnnouncement

22/01/2019 10:40

RNS Number : 7734N
NB Global Floating Rate Income Fund
22 January 2019
 


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)i










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


NB Global Floating Rate Income Fund Ltd




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)iii: Horizontal Aggregation Disclosure


X




3. Details of person subject to the notification obligationiv




Name


Brewin Dolphin Ltd




City and country of registered office (if applicable)


London, United Kingdom




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




Name








City and country of registered office (if applicable)








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


18 January 2019




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


21/01/2019




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 issuervii




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


4.6288%


N/A


4.6288%


1,207,249,864




Position of previous notification (if
applicable)


8.6220%


N/A


8.6220%
















 
 
 



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




A: Voting rights attached to shares




Class/type of

shares
ISIN code (if possible)


Number of voting rightsix


% 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)




RED ORD NPV GBP
GG00B3KX4Q34
 


N/A


55,245,820


N/A


4.8060%




RED ORD NPV USD
GG00B3P7S359
 


N/A


635,257


N/A


1.1003%




SUBTOTAL 8. A


55,881,077


4.6288%




 
 




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

datex


Exercise/

Conversion Periodxi


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 according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))




Type of financial instrument


Expiration

datex


Exercise/

Conversion Period xi


Physical or cash
settlementxii


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) issuerxiii








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 entityxiv (please add additional rows as necessary)


X




Namexv


% 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




RED ORD NPV GBP
















Indirect - Brewin Nominees (Channel Islands) Limited -


0.0886%


N/A


0.0886%




Indirect - Brewin Nominees Limited  A/c NOM


1.4930%


N/A


1.4930%




Indirect - Brewin Nominees Limited A/c ISA
 


1.8776%


N/A


1.8776%




Indirect - Brewin Nominees Limited  A/c GROSS


0.8081%


N/A


0.8081%




Indirect - Brewin Nominees Limited A/c CHARITY


0.5387%


N/A


0.5387%




TOTAL










4.8060%




RED ORD NPV USD
















Indirect - Brewin Nominees (Channel Islands) Limited -


0.2384%


N/A


0.2384%




Indirect - Brewin Nominees Limited  A/c NOM


0.2789%


N/A


0.2789%




Indirect - Brewin Nominees Limited A/c ISA


0.1543%


N/A


0.1543%




Indirect - Brewin Nominees Limited  A/c GROSS


0.1256%


N/A


0.1256%




Indirect - Brewin Nominees Limited A/c CHARITY


0.3031%


N/A


0.3031%




TOTAL










1.1003%










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 informationxvi




Figures based on voting rights in issue of 1,207,249,864 (1,149,513,619 Sterling shares & 57,736,245 US Dollar Shares).
Disclosure trigger due to vertical aggregation as well as individual horizontal aggregation on GG00B3KX4Q3.
Percentage on amalgamated holdings has decreased from 8.6220% to 4.6288% which is below the 5% reporting threshold on a discrentionary basis.
Percentage on GG00B3KX4Q3 has decreased from 5.8792% to 4.8060% which is also below the 5% reporting threshold on a discretionary basis.
 
The indirect voting rights under (9) relate to shares held in client portfolios, managed by those firms, under discretionary investment management agreements.   













 



Place of completion


Newcastle upon Tyne




Date of completion


21 January 2019



 




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