REG - Rolls-Royce Holdings Goldman Sachs Group. - Holding(s) in Company
Rolls-Royce Holdings plc
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:
Rolls-Royce Holdings 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)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)
Plumtree Court, 25 Shoe Lane, London EC4A 4AU, UK
5. Date on which the threshold was crossed or reachedvi:
07/10/2020
6. Date on which issuer notified (DD/MM/YYYY):
09/10/2020
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
0.78%
6.32%
7.10%
1,930,995,313
Position of previous notification (if
applicable)
0.58%
6.07%
6.65%
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)
GB00B63H8491
14,991,523
0.78%
US7757812067
25,736
0.001%
SUBTOTAL 8. A
15,017,259
0.78%
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
58,559,434
3.03%
Future
16/04/2021
1,951,271
0.10%
SUBTOTAL 8. B 1
60,510,705
3.13%
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
61,495,384
3.18%
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
6.22%
6.76%
The Goldman Sachs Group, Inc.
IMD Holdings LLC
United Capital Financial Partners, Inc.
United Capital Financial Advisers, LLC
The Goldman Sachs Group, Inc.
Goldman Sachs & Co. LLC
The Goldman Sachs Group, Inc.
GSAM Holdings LLC
Goldman Sachs Asset Management, L.P.
The Goldman Sachs Group, Inc.
Goldman, Sachs & Co. Wertpapier GmbH
The Goldman Sachs Group, Inc.
Folio Financial, Inc.
Folio Investments Inc.
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, the total amount of voting rights has been rounded to 2 decimal places therefore there is a possibility of a rounding error.
General email contact:
gs-regops-emea-position-enquiries@gs.com
Place of completion
London
Date of completion
09/10/2020
Annexure
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
01/05/2025
Cash
8,600,666
0.45%
CFD
19/08/2030
Cash
5,023,143
0.26%
CFD
29/10/2021
Cash
3,846,714
0.20%
CFD
01/10/2030
Cash
2,850,036
0.15%
CFD
15/07/2025
Cash
2,347,959
0.12%
CFD
02/04/2024
Cash
2,254,859
0.12%
CFD
23/02/2023
Cash
1,779,221
0.09%
CFD
15/07/2025
Cash
1,770,418
0.09%
CFD
10/12/2029
Cash
1,729,538
0.09%
CFD
11/09/2030
Cash
1,499,703
0.08%
CFD
10/12/2029
Cash
1,382,384
0.07%
CFD
30/09/2030
Cash
1,350,026
0.07%
CFD
02/12/2022
Cash
1,117,762
0.06%
CFD
01/10/2030
Cash
1,103,585
0.06%
CFD
02/05/2023
Cash
1,084,910
0.06%
Swap
12/07/2021
Cash
1,028,241
0.05%
CFD
07/10/2030
Cash
1,026,995
0.05%
CFD
25/09/2023
Cash
868,681
0.04%
CFD
17/06/2030
Cash
778,056
0.04%
CFD
03/05/2022
Cash
765,475
0.04%
CFD
17/06/2030
Cash
719,158
0.04%
CFD
19/08/2030
Cash
676,707
0.04%
CFD
11/09/2023
Cash
668,656
0.03%
CFD
03/04/2030
Cash
634,436
0.03%
CFD
08/07/2030
Cash
551,848
0.03%
CFD
01/10/2030
Cash
548,681
0.03%
CFD
25/02/2030
Cash
467,464
0.02%
CFD
15/07/2030
Cash
453,873
0.02%
CFD
27/03/2025
Cash
441,570
0.02%
CFD
26/08/2025
Cash
430,995
0.02%
CFD
01/10/2030
Cash
400,254
0.02%
CFD
16/09/2030
Cash
382,006
0.02%
CFD
01/10/2030
Cash
380,069
0.02%
CFD
16/09/2030
Cash
374,113
0.02%
CFD
08/04/2024
Cash
363,422
0.02%
CFD
07/06/2021
Cash
362,655
0.02%
CFD
25/02/2030
Cash
351,364
0.02%
Swap
22/12/2020
Cash
345,900
0.02%
Swap
03/02/2025
Cash
345,828
0.02%
CFD
30/09/2030
Cash
335,494
0.02%
CFD
30/09/2030
Cash
313,016
0.02%
CFD
17/06/2030
Cash
301,863
0.02%
CFD
23/09/2030
Cash
289,220
0.01%
CFD
09/09/2030
Cash
274,095
0.01%
CFD
07/10/2030
Cash
272,247
0.01%
Swap
04/03/2025
Cash
265,171
0.01%
Swap
05/07/2024
Cash
226,799
0.01%
Swap
05/07/2024
Cash
224,999
0.01%
CFD
29/01/2030
Cash
222,669
0.01%
CFD
07/10/2022
Cash
206,768
0.01%
CFD
24/09/2030
Cash
202,132
0.01%
CFD
09/10/2023
Cash
199,999
0.01%
CFD
15/07/2030
Cash
198,389
0.01%
CFD
07/06/2021
Cash
193,664
0.01%
CFD
25/09/2030
Cash
187,942
0.01%
CFD
29/01/2030
Cash
183,474
0.01%
CFD
19/08/2030
Cash
176,582
0.01%
CFD
14/05/2024
Cash
174,078
0.01%
Swap
31/12/2030
cash
173,486
0.01%
CFD
30/09/2030
Cash
173,202
0.01%
CFD
07/10/2030
Cash
171,647
0.01%
Swap
13/08/2024
Cash
151,252
0.01%
Call Warrant
31/12/2030
Cash
149,524
0.01%
CFD
23/09/2030
Cash
146,527
0.01%
Swap
02/08/2024
Cash
143,415
0.01%
CFD
19/08/2030
Cash
130,771
0.01%
Swap
03/06/2024
Cash
123,122
0.01%
CFD
03/05/2022
Cash
122,496
0.01%
CFD
07/10/2030
Cash
109,611
0.01%
CFD
06/10/2023
Cash
106,549
0.01%
CFD
07/10/2030
Cash
101,265
0.01%
CFD
10/08/2021
Cash
95,567
0.005%
CFD
08/07/2030
Cash
90,730
0.005%
Swap
31/12/2030
cash
89,918
0.005%
Swap
24/12/2020
Cash
89,423
0.005%
CFD
29/01/2030
Cash
87,262
0.005%
Swap
03/06/2024
Cash
85,439
0.004%
Swap
02/12/2024
Cash
81,148
0.004%
Swap
13/08/2024
Cash
80,747
0.004%
Call Warrant
31/12/2030
Cash
79,038
0.004%
Swap
03/06/2024
Cash
78,556
0.004%
CFD
28/07/2025
Cash
76,768
0.004%
CFD
21/08/2030
Cash
73,304
0.004%
CFD
29/01/2030
Cash
71,677
0.004%
CFD
07/10/2030
Cash
69,474
0.004%
CFD
09/08/2023
Cash
68,976
0.004%
CFD
02/10/2023
Cash
66,841
0.003%
Swap
31/12/2030
cash
66,000
0.003%
CFD
09/01/2025
Cash
61,192
0.003%
Swap
09/10/2020
cash
58,000
0.003%
Put Warrant
09/10/2020
cash
58,000
0.003%
CFD
07/10/2030
Cash
57,633
0.003%
Swap
15/07/2024
Cash
57,206
0.003%
Swap
18/11/2024
Cash
57,032
0.003%
Swap
15/07/2024
Cash
56,994
0.003%
CFD
29/01/2030
Cash
55,111
0.003%
CFD
15/07/2030
Cash
53,068
0.003%
Swap
04/03/2025
Cash
51,706
0.003%
Swap
30/09/2024
Cash
51,549
0.003%
Swap
10/10/2024
Cash
50,018
0.003%
Swap
23/08/2024
Cash
48,501
0.003%
CFD
06/10/2023
Cash
48,413
0.003%
Swap
30/09/2024
Cash
48,380
0.003%
CFD
29/01/2030
Cash
47,362
0.002%
CFD
02/10/2023
Cash
47,298
0.002%
CFD
02/08/2022
Cash
46,824
0.002%
CFD
29/01/2030
Cash
46,740
0.002%
Swap
31/12/2030
cash
44,369
0.002%
Put Warrant
31/12/2030
cash
44,369
0.002%
CFD
13/04/2028
Cash
44,070
0.002%
CFD
26/02/2030
Cash
43,628
0.002%
CFD
02/05/2023
Cash
42,894
0.002%
Swap
31/12/2030
cash
41,184
0.002%
Call Warrant
31/12/2030
Cash
41,073
0.002%
Swap
13/01/2025
Cash
41,054
0.002%
Swap
17/11/2020
Cash
40,642
0.002%
Call Warrant
31/12/2030
Cash
40,400
0.002%
Swap
03/01/2025
Cash
39,060
0.002%
CFD
18/08/2025
Cash
38,504
0.002%
Swap
11/11/2024
Cash
37,339
0.002%
CFD
02/10/2029
Cash
36,478
0.002%
CFD
16/09/2030
Cash
35,341
0.002%
CFD
07/10/2030
Cash
34,243
0.002%
CFD
26/02/2030
Cash
33,838
0.002%
CFD
25/02/2030
Cash
31,514
0.002%
Swap
13/10/2020
cash
30,177
0.002%
Put Warrant
13/10/2020
cash
30,177
0.002%
Swap
13/01/2025
Cash
30,046
0.002%
CFD
10/12/2024
Cash
29,750
0.002%
Swap
18/11/2024
Cash
28,968
0.002%
Swap
01/11/2024
Cash
28,911
0.001%
Swap
11/11/2024
Cash
28,828
0.001%
CFD
29/10/2029
Cash
28,801
0.001%
Swap
03/01/2025
Cash
28,402
0.001%
Swap
30/09/2024
Cash
27,351
0.001%
Swap
08/10/2020
cash
27,000
0.001%
Put Warrant
08/10/2020
cash
27,000
0.001%
Swap
10/10/2024
Cash
25,982
0.001%
Swap
23/08/2024
Cash
25,899
0.001%
Swap
30/09/2024
Cash
25,620
0.001%
Swap
31/12/2030
cash
25,000
0.001%
Put Warrant
31/12/2030
cash
25,000
0.001%
Swap
30/09/2024
Cash
23,923
0.001%
Swap
31/12/2030
cash
22,971
0.001%
Call Warrant
31/12/2030
Cash
22,971
0.001%
Swap
03/02/2025
Cash
22,870
0.001%
CFD
24/09/2030
Cash
21,702
0.001%
Swap
13/09/2024
Cash
20,976
0.001%
Swap
01/07/2024
Cash
20,608
0.001%
CFD
07/10/2030
Cash
20,601
0.001%
CFD
16/09/2030
Cash
20,200
0.001%
Swap
31/12/2030
cash
20,000
0.001%
Call Warrant
31/12/2030
Cash
20,000
0.001%
Swap
11/11/2024
Cash
18,961
0.001%
CFD
23/09/2030
Cash
16,681
0.001%
CFD
29/08/2023
Cash
16,382
0.001%
CFD
16/09/2030
Cash
14,971
0.001%
CFD
23/09/2030
Cash
14,965
0.001%
CFD
07/10/2030
Cash
14,954
0.001%
Swap
11/11/2024
Cash
14,672
0.001%
Swap
02/12/2024
Cash
14,671
0.001%
CFD
07/10/2030
Cash
14,571
0.001%
Swap
01/11/2024
Cash
14,556
0.001%
Swap
31/12/2030
cash
14,000
0.001%
CFD
28/07/2025
Cash
12,820
0.001%
Swap
30/09/2024
Cash
12,677
0.001%
Swap
13/09/2024
Cash
10,524
0.001%
CFD
17/06/2030
Cash
10,489
0.001%
CFD
03/05/2022
Cash
10,352
0.001%
CFD
29/10/2029
Cash
9,288
0.0005%
CFD
07/10/2030
Cash
9,220
0.0005%
CFD
28/07/2025
Cash
9,012
0.0005%
CFD
20/03/2029
Cash
8,715
0.0005%
CFD
25/09/2030
Cash
7,938
0.0004%
CFD
29/10/2029
Cash
7,051
0.0004%
Swap
03/10/2024
Cash
7,043
0.0004%
CFD
03/05/2022
Cash
6,533
0.0003%
Swap
13/10/2020
cash
6,415
0.0003%
Put Warrant
13/10/2020
cash
6,415
0.0003%
CFD
07/10/2030
Cash
5,491
0.0003%
CFD
03/06/2030
Cash
5,359
0.0003%
CFD
03/05/2022
Cash
4,854
0.0003%
Swap
01/11/2024
Cash
4,477
0.0002%
Swap
31/12/2030
cash
4,000
0.0002%
CFD
04/03/2030
Cash
3,411
0.0002%
Call Warrant
31/12/2030
Cash
3,380
0.0002%
Swap
02/12/2024
Cash
3,194
0.0002%
Swap
01/11/2024
Cash
3,063
0.0002%
Swap
08/10/2020
cash
3,000
0.0002%
Put Warrant
08/10/2020
cash
3,000
0.0002%
CFD
02/10/2023
Cash
2,979
0.0002%
Call Warrant
31/12/2030
Cash
2,960
0.0002%
CFD
07/10/2030
Cash
2,623
0.0001%
Call Option
11/11/2020
Cash
2,264
0.0001%
Swap
23/08/2024
Cash
1,373
0.0001%
Swap
23/08/2024
Cash
1,205
0.0001%
CFD
07/10/2030
Cash
1,133
0.0001%
Swap
31/12/2030
cash
1,000
0.0001%
Call Option
04/11/2020
Cash
926
0.00005%
Call Warrant
31/12/2030
Cash
800
0.00004%
Call Option
14/10/2020
Cash
542
0.00003%
Call Option
21/10/2020
Cash
12
0.000001%
CFD
19/07/2027
Cash
1
0.0000001%
Total Number of voting rights and percentage of voting rights
61,495,384
3.18%
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.
Name of authorised officer of issuer responsible for making notification: Nicola Carroll FCG
Date of notification: 12 October 2020
LEI: 213800EC7997ZBLZJH69
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