REG - Pearson PLC - Holding(s) in Company
TR-1: Standard form for notification of major holdings
1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached:
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
An event changing the breakdown of voting rights
X
Other (please specify)iii: i. Type 1 Disclosure as per the Transparency Directive II Regulation
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:
10/10/2018
6. Date on which issuer notified (DD/MM/YYYY):
12/10/2018
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
0.50%
6.19%
6.69%
781,064,746
Position of previous notification (if
applicable)
0.60%
5.47%
6.06%
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
3,591,794
0.46%
US7050151056
301,885
0.04%
SUBTOTAL 8. A
3,893,679
0.50%
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/
Conversion PeriodxiNumber of voting rights that may be acquired if the instrument is
exercised/converted.
% of voting rights
Securities Lending
Open
19,349,109
2.48%
Call Option
21-Dec-2018
400,000
0.05%
SUBTOTAL 8. B 1
19,749,109
2.53%
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/
Conversion Period xiPhysical or cash
settlementxii
Number of voting rights
% of voting rights
Refer to the
Annexure
SUBTOTAL 8.B.2
28,622,117
3.66%
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
3.64%
3.64%
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, UK
Date of completion
12/10/2018
Natalie White
Deputy Company Secretary
Pearson plc
15 October 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
2,116,003
0.27%
Swap
7-May-2019
Cash
1,896,936
0.24%
CFD
15-Sep-2028
Cash
1,745,000
0.22%
CFD
20-Oct-2027
Cash
1,505,835
0.19%
Swap
28-Jul-2021
Cash
1,096,212
0.14%
CFD
9-Sep-2021
Cash
820,388
0.11%
Swap
28-Jul-2021
Cash
757,148
0.10%
Swap
21-May-2019
Cash
622,194
0.08%
CFD
12-Oct-2028
Cash
593,776
0.08%
CFD
29-Oct-2027
Cash
525,035
0.07%
CFD
20-Oct-2027
Cash
384,473
0.05%
CFD
20-Oct-2027
Cash
384,147
0.05%
CFD
27-Oct-2027
Cash
373,164
0.05%
Swap
7-May-2019
Cash
344,973
0.04%
CFD
16-Jun-2028
Cash
328,703
0.04%
CFD
15-Jul-2021
Cash
328,703
0.04%
Swap
7-May-2019
Cash
262,835
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
249,676
0.03%
CFD
9-Sep-2021
Cash
241,924
0.03%
CFD
24-Mar-2028
Cash
219,000
0.03%
CFD
21-Jun-2028
Cash
218,357
0.03%
CFD
27-Sep-2028
Cash
217,594
0.03%
CFD
23-Aug-2028
Cash
204,000
0.03%
Swap
28-Jul-2021
Cash
203,317
0.03%
Swap
12-Oct-2023
Cash
200,000
0.03%
Swap
2-Feb-2023
Cash
198,606
0.03%
Swap
12-Oct-2023
Cash
197,330
0.03%
Swap
17-Sep-2020
Cash
189,942
0.02%
Swap
28-Jul-2021
Cash
170,231
0.02%
CFD
12-Jun-2028
Cash
156,757
0.02%
CFD
18-Sep-2028
Cash
133,410
0.02%
CFD
20-Sep-2028
Cash
132,450
0.02%
Swap
28-Jul-2021
Cash
131,070
0.02%
CFD
22-Sep-2028
Cash
128,710
0.02%
CFD
25-Apr-2019
Cash
124,313
0.02%
CFD
25-Feb-2027
Cash
122,707
0.02%
Swap
7-May-2019
Cash
121,966
0.02%
Swap
5-Sep-2019
Cash
120,300
0.02%
Swap
3-Feb-2023
Cash
117,797
0.02%
CFD
25-Feb-2027
Cash
117,407
0.02%
Swap
22-Mar-2019
Cash
113,300
0.01%
CFD
5-Nov-2027
Cash
111,297
0.01%
CFD
12-Jul-2023
Cash
105,663
0.01%
CFD
17-Jul-2028
Cash
103,200
0.01%
CFD
11-Aug-2028
Cash
100,000
0.01%
Swap
2-Feb-2023
Cash
93,281
0.01%
CFD
1-Mar-2028
Cash
92,133
0.01%
Swap
14-Jun-2023
Cash
86,565
0.01%
Swap
12-Jul-2023
Cash
84,590
0.01%
CFD
11-Aug-2023
Cash
79,619
0.01%
CFD
10-Mar-2028
Cash
78,808
0.01%
CFD
15-Sep-2028
Cash
73,785
0.01%
Swap
7-Jul-2023
Cash
73,094
0.01%
Swap
5-Sep-2019
Cash
72,000
0.01%
Swap
7-May-2019
Cash
71,570
0.01%
CFD
25-Apr-2019
Cash
69,385
0.01%
Swap
3-Feb-2023
Cash
68,758
0.01%
CFD
10-Jul-2019
Cash
63,409
0.01%
CFD
27-Sep-2028
Cash
62,740
0.01%
Swap
15-Jun-2023
Cash
57,709
0.01%
Swap
7-May-2019
Cash
57,156
0.01%
Swap
5-Sep-2019
Cash
55,700
0.01%
CFD
14-Jan-2021
Cash
55,648
0.01%
CFD
17-Jul-2028
Cash
55,000
0.01%
Swap
2-Feb-2023
Cash
54,448
0.01%
CFD
21-Sep-2028
Cash
50,000
0.01%
CFD
1-Sep-2028
Cash
50,000
0.01%
CFD
25-Apr-2019
Cash
50,000
0.01%
CFD
18-Sep-2028
Cash
48,590
0.01%
CFD
20-Sep-2028
Cash
48,250
0.01%
CFD
14-Jan-2021
Cash
47,488
0.01%
CFD
22-Sep-2028
Cash
46,890
0.01%
CFD
25-Feb-2027
Cash
46,703
0.01%
CFD
18-Sep-2019
Cash
43,473
0.01%
Swap
1-Feb-2023
Cash
43,214
0.01%
Swap
21-Nov-2018
Cash
42,200
0.01%
CFD
25-Apr-2019
Cash
41,002
0.01%
CFD
17-Jul-2023
Cash
40,500
0.01%
CFD
1-Mar-2028
Cash
40,474
0.01%
CFD
14-Sep-2028
Cash
40,055
0.01%
Swap
14-Jun-2023
Cash
40,052
0.01%
Swap
12-Jul-2023
Cash
37,897
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
10-Mar-2028
Cash
29,574
0.004%
CFD
27-Feb-2023
Cash
29,498
0.004%
CFD
25-Apr-2019
Cash
29,469
0.004%
CFD
22-Sep-2028
Cash
27,275
0.003%
CFD
15-Sep-2028
Cash
26,877
0.003%
Swap
15-Jun-2023
Cash
26,702
0.003%
CFD
13-Sep-2028
Cash
26,000
0.003%
CFD
6-Jul-2023
Cash
25,488
0.003%
CFD
25-Apr-2019
Cash
24,541
0.003%
CFD
17-Jul-2023
Cash
23,600
0.003%
Swap
14-Jun-2023
Cash
23,383
0.003%
CFD
27-Sep-2028
Cash
22,860
0.003%
CFD
27-Feb-2023
Cash
22,803
0.003%
Swap
17-Sep-2020
Cash
22,452
0.003%
Swap
12-Jul-2023
Cash
22,173
0.003%
CFD
25-Sep-2028
Cash
20,756
0.003%
CFD
25-Sep-2028
Cash
20,406
0.003%
Swap
1-Feb-2023
Cash
20,297
0.003%
Swap
7-Jul-2023
Cash
19,160
0.002%
Swap
5-Sep-2019
Cash
18,900
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%
CFD
27-Feb-2023
Cash
15,624
0.002%
Swap
15-Jun-2023
Cash
15,589
0.002%
Swap
7-May-2019
Cash
15,465
0.002%
CFD
21-Jul-2028
Cash
15,000
0.002%
CFD
14-Sep-2028
Cash
14,583
0.002%
Swap
28-Nov-2018
Cash
14,300
0.002%
Swap
12-Jun-2023
Cash
13,985
0.002%
CFD
25-Sep-2028
Cash
13,930
0.002%
CFD
21-Jan-2028
Cash
12,793
0.002%
Swap
3-Nov-2021
Cash
12,609
0.002%
Swap
22-May-2020
Cash
12,597
0.002%
CFD
11-Oct-2028
Cash
12,078
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%
Swap
5-Sep-2019
Cash
10,800
0.001%
Swap
6-Feb-2019
Cash
10,500
0.001%
CFD
31-Aug-2028
Cash
10,187
0.001%
CFD
2-Oct-2019
Cash
9,971
0.001%
CFD
27-Jan-2028
Cash
9,649
0.001%
Swap
12-Oct-2023
Cash
8,622
0.001%
Swap
12-Jun-2023
Cash
8,165
0.001%
CFD
12-Jul-2028
Cash
8,100
0.001%
CFD
5-Oct-2028
Cash
7,978
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
27-Sep-2028
Cash
6,200
0.001%
Swap
22-May-2020
Cash
6,153
0.001%
CFD
27-Sep-2028
Cash
5,104
0.001%
CFD
15-Dec-2027
Cash
5,000
0.001%
CFD
12-May-2028
Cash
5,000
0.001%
CFD
8-Mar-2028
Cash
5,000
0.001%
Call Option
2-Nov-2018
Cash
4,920
0.001%
Call Option
31-Oct-2018
Cash
4,779
0.001%
Swap
22-May-2020
Cash
4,774
0.001%
CFD
6-Sep-2028
Cash
4,764
0.001%
Call Option
20-Nov-2018
Cash
4,049
0.001%
Swap
22-May-2020
Cash
3,941
0.001%
Swap
5-Sep-2019
Cash
3,900
0.0005%
CFD
11-Oct-2028
Cash
3,757
0.0005%
Swap
3-Nov-2021
Cash
3,634
0.0005%
Call Option
21-Nov-2018
Cash
3,602
0.0005%
CFD
25-Apr-2019
Cash
3,060
0.0004%
Swap
22-May-2020
Cash
3,050
0.0004%
Swap
22-May-2020
Cash
2,857
0.0004%
CFD
27-Sep-2028
Cash
2,723
0.0003%
Swap
3-Nov-2021
Cash
2,556
0.0003%
CFD
29-Sep-2028
Cash
2,500
0.0003%
CFD
27-Jan-2028
Cash
2,248
0.0003%
CFD
27-Jan-2028
Cash
2,247
0.0003%
Swap
3-Nov-2021
Cash
2,214
0.0003%
CFD
27-Sep-2028
Cash
2,000
0.0003%
CFD
27-Sep-2028
Cash
1,900
0.0002%
Swap
22-May-2020
Cash
1,768
0.0002%
CFD
6-Sep-2028
Cash
1,700
0.0002%
CFD
11-Aug-2023
Cash
1,574
0.0002%
CFD
18-Sep-2028
Cash
1,049
0.0001%
CFD
27-Jan-2028
Cash
961
0.0001%
CFD
7-Sep-2028
Cash
800
0.0001%
CFD
21-Sep-2028
Cash
600
0.0001%
CFD
14-Sep-2028
Cash
579
0.0001%
CFD
31-Aug-2028
Cash
545
0.0001%
Swap
22-May-2020
Cash
461
0.0001%
CFD
8-Sep-2028
Cash
437
0.0001%
Swap
22-May-2020
Cash
419
0.0001%
CFD
11-Oct-2028
Cash
400
0.0001%
CFD
28-Sep-2028
Cash
396
0.0001%
Swap
22-May-2020
Cash
329
0.00004%
Swap
22-May-2020
Cash
323
0.00004%
CFD
29-Sep-2028
Cash
196
0.00003%
CFD
8-Sep-2028
Cash
128
0.00002%
CFD
27-Sep-2028
Cash
123
0.00002%
CFD
5-Oct-2028
Cash
122
0.00002%
CFD
4-Oct-2028
Cash
100
0.00001%
CFD
2-Oct-2028
Cash
100
0.00001%
CFD
14-Sep-2028
Cash
100
0.00001%
CFD
13-Sep-2028
Cash
100
0.00001%
CFD
27-Sep-2028
Cash
90
0.00001%
CFD
6-Oct-2028
Cash
82
0.00001%
CFD
2-Oct-2028
Cash
61
0.00001%
Total Number of voting rights and percentage of voting rights
28,622,117
3.66%
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.
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