REG - Pearson PLC Goldman Sachs Group. - Holding(s) in Company
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:
Pearson 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)iii:
3. Details of person subject to the notification obligationiv
Name
The Goldman Sachs Group, Inc.
City and country of registered office (if applicable)
Corporation Trust Center, 1209 Orange Street,
Wilmington DE 19801, USA
4. Full name of shareholder(s) (if different from 3.)v
Name
Goldman Sachs International
City and country of registered office (if applicable)
Peterborough Court, 133 Fleet Street, London
EC4A 2BB, UK
5. Date on which the threshold was crossed or reachedvi:
12/11/2018
6. Date on which issuer notified (DD/MM/YYYY):
14/11/2018
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
0.54%
5.95%
6.50%
781,067,196
Position of previous notification (if
applicable)
0.59%
2.30%
2.89%
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
sharesISIN 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)
GB0006776081
3,890,511
0.50%
US7050151056
347,972
0.04%
SUBTOTAL 8. A
4,238,483
0.54%
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
datexExercise/
ConversionPeriodxi
Number of voting rights that may be acquired if the instrument is
exercised/converted.
% of voting rights
Securities Lending
Open
16,939,985
2.17%
Put Option
15-Feb-2019
1,000,000
0.13%
Call Option
21-Dec-2018
400,000
0.05%
SUBTOTAL 8. B 1
18,339,985
2.35%
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
datexExercise/
ConversionPeriod xi
Physical or cash
settlementxii
Number of voting rights
% of voting rights
Refer to the
Annexure
SUBTOTAL 8.B.2
28,168,529
3.61%
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
The Goldman Sachs Group, Inc.
Goldman Sachs (UK) L.L.C.
Goldman Sachs Group UK Limited
Goldman Sachs
International
3.72%
3.72%
The Goldman Sachs Group, Inc.
Goldman Sachs & Co. LLC
The Goldman Sachs Group, Inc.
GSAM Holdings LLC
Goldman Sachs Asset Management, L.P.
Goldman Sachs Asset Management International Holdings L.L.C.
Goldman Sachs Asset Management Co., Ltd.
The Goldman Sachs Group, Inc.
GSAM Holdings LLC
Goldman Sachs Asset Management, L.P.
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 informationxvi
Please note, total amount of voting rights have been rounded to 2 decimal places therefore there is a possibility of a rounding error.
General email contact:
Place of completion
London
Date of completion
14/11/2018
Natalie White
Deputy Company Secretary
Pearson plc
15 November 2018
Annexure
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
periodxi
Physical or cash
settlementxii
Number of voting rights
% of voting rights
CFD
10-Dec-2025
Cash
3,850,190
0.49%
CFD
23-Sep-2020
Cash
2,464,000
0.32%
CFD
10-Apr-2028
Cash
2,067,467
0.26%
Swap
7-May-2019
Cash
1,876,758
0.24%
CFD
20-Oct-2027
Cash
1,505,835
0.19%
CFD
15-Sep-2028
Cash
1,470,000
0.19%
Swap
28-Jul-2021
Cash
1,096,212
0.14%
Swap
28-Jul-2021
Cash
757,148
0.10%
CFD
9-Sep-2021
Cash
711,542
0.09%
Swap
21-May-2019
Cash
622,194
0.08%
Call Option
9-Jan-2019
Cash
435,693
0.06%
Swap
12-Oct-2023
Cash
397,330
0.05%
CFD
20-Oct-2027
Cash
384,473
0.05%
CFD
20-Oct-2027
Cash
384,147
0.05%
CFD
15-Nov-2028
Cash
368,890
0.05%
Swap
7-May-2019
Cash
360,243
0.05%
CFD
21-Jun-2028
Cash
337,751
0.04%
CFD
15-Jul-2021
Cash
328,703
0.04%
CFD
16-Jun-2028
Cash
328,703
0.04%
Call Option
15-Jan-2019
Cash
310,801
0.04%
CFD
27-Oct-2027
Cash
297,682
0.04%
Swap
7-May-2019
Cash
274,507
0.04%
CFD
17-Jul-2020
Cash
272,685
0.03%
CFD
24-Mar-2028
Cash
259,000
0.03%
CFD
19-May-2027
Cash
253,415
0.03%
Swap
3-Feb-2023
Cash
250,801
0.03%
CFD
10-Apr-2028
Cash
246,251
0.03%
Call Option
11-Jan-2019
Cash
235,766
0.03%
CFD
27-Sep-2028
Cash
217,594
0.03%
CFD
9-Sep-2021
Cash
208,879
0.03%
CFD
23-Aug-2028
Cash
204,000
0.03%
Swap
28-Jul-2021
Cash
203,317
0.03%
Swap
2-Feb-2023
Cash
198,606
0.03%
Swap
28-Jul-2021
Cash
170,231
0.02%
CFD
12-Jul-2023
Cash
158,153
0.02%
CFD
12-Jun-2028
Cash
156,757
0.02%
Swap
28-Jul-2021
Cash
131,070
0.02%
Swap
7-May-2019
Cash
128,958
0.02%
CFD
25-Apr-2019
Cash
124,313
0.02%
CFD
25-Feb-2027
Cash
122,707
0.02%
Swap
17-Sep-2020
Cash
120,551
0.02%
Swap
5-Sep-2019
Cash
120,300
0.02%
Swap
3-Feb-2023
Cash
117,797
0.02%
CFD
15-Nov-2028
Cash
116,110
0.01%
Swap
13-Oct-2023
Cash
113,548
0.01%
Swap
22-Mar-2019
Cash
113,300
0.01%
CFD
17-Jul-2028
Cash
103,200
0.01%
CFD
20-Oct-2021
Cash
99,750
0.01%
Swap
2-Feb-2023
Cash
93,281
0.01%
CFD
1-Mar-2028
Cash
92,210
0.01%
CFD
10-Mar-2028
Cash
89,945
0.01%
Swap
14-Jun-2023
Cash
86,565
0.01%
Swap
12-Jul-2023
Cash
84,590
0.01%
CFD
26-Nov-2021
Cash
80,948
0.01%
CFD
11-Aug-2023
Cash
77,077
0.01%
Swap
7-May-2019
Cash
74,747
0.01%
Swap
7-Jul-2023
Cash
73,094
0.01%
Swap
5-Sep-2019
Cash
72,000
0.01%
CFD
25-Apr-2019
Cash
69,385
0.01%
Swap
3-Feb-2023
Cash
68,758
0.01%
CFD
5-Nov-2027
Cash
64,825
0.01%
CFD
10-Jul-2019
Cash
63,409
0.01%
Swap
7-May-2019
Cash
59,699
0.01%
Swap
15-Jun-2023
Cash
57,709
0.01%
CFD
1-Mar-2028
Cash
56,462
0.01%
Swap
5-Sep-2019
Cash
55,700
0.01%
CFD
17-Jul-2028
Cash
55,000
0.01%
Swap
2-Feb-2023
Cash
54,448
0.01%
CFD
14-Jan-2021
Cash
51,561
0.01%
CFD
27-Feb-2023
Cash
50,572
0.01%
CFD
25-Apr-2019
Cash
50,000
0.01%
CFD
27-Feb-2023
Cash
45,370
0.01%
Swap
1-Feb-2023
Cash
43,214
0.01%
CFD
14-Jan-2021
Cash
42,705
0.01%
Swap
21-Nov-2018
Cash
42,200
0.01%
CFD
25-Apr-2019
Cash
41,002
0.01%
Swap
14-Jun-2023
Cash
40,052
0.01%
CFD
17-Jul-2023
Cash
39,200
0.01%
Call Option
19-Nov-2018
Cash
38,255
0.005%
Swap
12-Jul-2023
Cash
37,897
0.005%
CFD
27-Feb-2023
Cash
37,815
0.005%
CFD
10-Mar-2028
Cash
35,611
0.005%
CFD
21-Jul-2028
Cash
34,000
0.004%
Swap
7-Jul-2023
Cash
32,746
0.004%
CFD
14-Jul-2023
Cash
30,500
0.004%
Swap
12-Jun-2023
Cash
30,225
0.004%
CFD
25-Feb-2027
Cash
29,702
0.004%
CFD
25-Apr-2019
Cash
29,469
0.004%
CFD
30-Oct-2028
Cash
28,773
0.004%
Swap
15-Jun-2023
Cash
26,702
0.003%
CFD
1-Nov-2028
Cash
26,197
0.003%
CFD
13-Sep-2028
Cash
26,000
0.003%
CFD
6-Jul-2023
Cash
25,488
0.003%
CFD
1-Nov-2028
Cash
25,474
0.003%
CFD
25-Apr-2019
Cash
24,541
0.003%
CFD
26-Nov-2021
Cash
24,179
0.003%
Swap
14-Jun-2023
Cash
23,383
0.003%
Swap
12-Jul-2023
Cash
22,173
0.003%
CFD
21-Jan-2028
Cash
22,165
0.003%
CFD
25-Sep-2028
Cash
21,600
0.003%
CFD
17-Jul-2023
Cash
20,900
0.003%
Swap
1-Feb-2023
Cash
20,297
0.003%
CFD
27-Feb-2023
Cash
19,800
0.003%
Swap
7-Jul-2023
Cash
19,160
0.002%
Swap
5-Sep-2019
Cash
18,900
0.002%
CFD
11-Oct-2028
Cash
17,441
0.002%
Swap
7-May-2019
Cash
16,302
0.002%
Swap
28-Mar-2019
Cash
16,200
0.002%
Swap
22-May-2020
Cash
16,129
0.002%
Swap
30-Apr-2019
Cash
15,800
0.002%
Swap
22-May-2020
Cash
15,796
0.002%
Swap
15-Jun-2023
Cash
15,589
0.002%
CFD
11-Nov-2020
Cash
15,090
0.002%
CFD
21-Jul-2028
Cash
15,000
0.002%
CFD
18-Sep-2019
Cash
15,000
0.002%
CFD
19-Oct-2028
Cash
15,000
0.002%
Swap
28-Nov-2018
Cash
14,300
0.002%
Swap
17-Sep-2020
Cash
14,153
0.002%
Swap
12-Jun-2023
Cash
13,985
0.002%
Swap
3-Nov-2021
Cash
12,609
0.002%
Swap
22-May-2020
Cash
12,597
0.002%
Swap
1-Feb-2023
Cash
11,847
0.002%
CFD
26-Jun-2019
Cash
11,475
0.001%
Swap
29-Nov-2018
Cash
10,900
0.001%
CFD
28-Oct-2020
Cash
10,812
0.001%
Swap
5-Sep-2019
Cash
10,800
0.001%
Swap
6-Feb-2019
Cash
10,500
0.001%
CFD
21-Oct-2021
Cash
9,890
0.001%
Call Option
20-Nov-2018
Cash
9,345
0.001%
Swap
12-Oct-2023
Cash
8,622
0.001%
Swap
12-Jun-2023
Cash
8,165
0.001%
Call Option
21-Nov-2018
Cash
7,938
0.001%
Swap
22-May-2020
Cash
7,925
0.001%
CFD
25-Apr-2019
Cash
7,650
0.001%
Swap
22-May-2020
Cash
7,437
0.001%
Swap
22-May-2020
Cash
6,834
0.001%
CFD
25-Oct-2028
Cash
6,257
0.001%
Swap
22-May-2020
Cash
6,153
0.001%
CFD
27-Jan-2028
Cash
5,788
0.001%
CFD
15-Dec-2027
Cash
5,000
0.001%
CFD
8-Mar-2028
Cash
5,000
0.001%
CFD
12-May-2028
Cash
5,000
0.001%
CFD
3-Nov-2028
Cash
4,984
0.001%
CFD
10-Nov-2028
Cash
4,944
0.001%
Swap
22-May-2020
Cash
4,774
0.001%
CFD
27-Oct-2028
Cash
4,511
0.001%
Swap
22-May-2020
Cash
3,941
0.001%
Swap
5-Sep-2019
Cash
3,900
0.0005%
Swap
3-Nov-2021
Cash
3,634
0.0005%
CFD
25-Apr-2019
Cash
3,060
0.0004%
Swap
22-May-2020
Cash
3,050
0.0004%
CFD
2-Nov-2028
Cash
2,900
0.0004%
Swap
22-May-2020
Cash
2,857
0.0004%
Swap
3-Nov-2021
Cash
2,556
0.0003%
CFD
29-Sep-2028
Cash
2,500
0.0003%
CFD
28-Oct-2020
Cash
2,350
0.0003%
CFD
28-Oct-2020
Cash
2,350
0.0003%
Swap
3-Nov-2021
Cash
2,214
0.0003%
Swap
22-May-2020
Cash
1,768
0.0002%
CFD
13-Nov-2028
Cash
1,600
0.0002%
CFD
26-Oct-2028
Cash
1,547
0.0002%
CFD
27-Jan-2028
Cash
1,438
0.0002%
CFD
27-Jan-2028
Cash
1,351
0.0002%
CFD
15-Nov-2028
Cash
1,100
0.0001%
CFD
18-Sep-2028
Cash
907
0.0001%
CFD
13-Nov-2019
Cash
830
0.0001%
CFD
27-Jan-2028
Cash
598
0.0001%
Swap
22-May-2020
Cash
461
0.0001%
Swap
22-May-2020
Cash
419
0.0001%
CFD
8-Nov-2028
Cash
400
0.0001%
Swap
22-May-2020
Cash
329
0.00004%
Swap
22-May-2020
Cash
323
0.00004%
CFD
27-Oct-2028
Cash
300
0.00004%
CFD
9-Nov-2028
Cash
300
0.00004%
CFD
10-Nov-2028
Cash
300
0.00004%
CFD
27-Sep-2028
Cash
200
0.00003%
CFD
27-Sep-2028
Cash
123
0.00002%
CFD
5-Oct-2028
Cash
122
0.00002%
CFD
27-Sep-2028
Cash
90
0.00001%
CFD
6-Oct-2028
Cash
82
0.00001%
CFD
2-Oct-2028
Cash
61
0.00001%
CFD
23-Oct-2028
Cash
19
0.000002%
Total Number of voting rights and percentage of voting rights
28,168,529
3.61%
Additional information: Please note, total amount of voting rights have been rounded to 2 decimal places therefore there is a possibility of a rounding error.
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.ENDHOLFKPDPQBDDDDD
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