REG - Rolls-Royce Holdings Goldman Sachs Group. - Holding(s) in Company

Rolls-Royce HoldingsAnnouncement

23/10/2020 08:40

RNS Number : 0435D
  
Rolls-Royce Holdings plc
  
23 October 2020
  
 

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








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:


20/10/2020




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


22/10/2020




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


0.10%


5.46%


5.56%


1,930,995,313




Position of previous notification (if 
applicable)


1.03%


4.87%


5.90%
















 
 
 
 



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)




GB00B63H8491






1,682,674






0.09%




US7757812067






172,715






0.01%


























SUBTOTAL 8. A


1,855,389


0.10%




 
 




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




Securities Lending


Open






47,798,506


2.48%




Future


16/04/2021






1,951,106


0.10%


































SUBTOTAL 8. B 1


49,749,612


2.58%




 
 




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




Refer to the annexure
























































































SUBTOTAL 8.B.2


55,670,582


2.88%





















 



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






5.36%


5.36%






















The Goldman Sachs Group, Inc.
















Goldman Sachs & Co. LLC


































The Goldman Sachs Group, Inc.
















Goldman, Sachs & Co. Wertpapier GmbH


































The Goldman Sachs Group, Inc.
















GSAM Holdings LLC
















Goldman Sachs Asset Management, L.P.


































The Goldman Sachs Group, Inc.
















IMD Holdings LLC
















United Capital Financial Partners, Inc.
















United Capital Financial Advisers, LLC


































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


22/10/2020



 
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


                               9,601,569 


0.50%





CFD


01/10/2030






Cash


                               2,850,152 


0.15%





CFD


15/10/2030






Cash


                               2,814,974 


0.15%





CFD


08/11/2021






Cash


                               2,272,466 


0.12%





CFD


02/04/2024






Cash


                               2,189,306 


0.11%





CFD


23/02/2023






Cash


                               2,126,626 


0.11%





CFD


15/07/2025






Cash


                               1,770,417 


0.09%





CFD


10/12/2029






Cash


                               1,729,538 


0.09%





CFD


11/09/2030






Cash


                               1,496,690 


0.08%





CFD


29/10/2021






Cash


                               1,478,338 


0.08%





CFD


10/12/2029






Cash


                               1,382,384 


0.07%





CFD


08/07/2030






Cash


                               1,155,955 


0.06%





CFD


02/12/2022






Cash


                               1,117,761 


0.06%





CFD


01/10/2030






Cash


                               1,103,630 


0.06%





Swap


12/07/2021






Cash


                               1,028,241 


0.05%





CFD


07/10/2030






Cash


                               1,027,084 


0.05%





CFD


08/10/2030






Cash


                                  994,838 


0.05%





CFD


07/10/2030






Cash


                                  946,648 


0.05%





CFD


11/09/2023






Cash


                                  901,440 


0.05%





CFD


15/07/2025






Cash


                                  891,864 


0.05%





CFD


17/06/2030






Cash


                                  778,099 


0.04%





CFD


03/05/2022






Cash


                                  765,475 


0.04%





CFD


17/06/2030






Cash


                                  719,187 


0.04%





CFD


03/04/2030






Cash


                                  634,436 


0.03%





CFD


30/09/2030






Cash


                                  599,255 


0.03%





CFD


19/08/2030






Cash


                                  585,640 


0.03%





CFD


01/10/2030






Cash


                                  548,703 


0.03%





CFD


25/02/2030






Cash


                                  517,913 


0.03%





CFD


09/10/2030






Cash


                                  500,041 


0.03%





CFD


02/05/2023






Cash


                                  475,373 


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


                                  400,281 


0.02%





CFD


08/10/2030






Cash


                                  390,231 


0.02%





CFD


09/10/2023






Cash


                                  379,998 


0.02%





CFD


25/02/2030






Cash


                                  349,506 


0.02%





Swap


22/12/2020






Cash


                                  346,746 


0.02%





CFD


25/09/2023






Cash


                                  339,004 


0.02%





CFD


08/04/2024






Cash


                                  332,164 


0.02%





CFD


30/09/2030






Cash


                                  313,037 


0.02%





CFD


17/06/2030






Cash


                                  301,875 


0.02%





CFD


08/10/2030






Cash


                                  289,743 


0.02%





CFD


23/09/2030






Cash


                                  289,240 


0.01%





CFD


21/08/2030






Cash


                                  263,991 


0.01%





CFD


08/10/2030






Cash


                                  231,359 


0.01%





CFD


12/10/2023






Cash


                                  216,489 


0.01%





Swap


31/12/2030






Cash


                                  212,253 


0.01%





CFD


24/09/2030






Cash


                                  202,146 


0.01%





CFD


25/09/2030






Cash


                                  187,954 


0.01%





Call Warrant


31/12/2030






Cash


                                  179,752 


0.01%





CFD


19/08/2030






Cash


                                  176,604 


0.01%





CFD


14/05/2024






Cash


                                  174,749 


0.01%





CFD


30/09/2030






Cash


                                  173,213 


0.01%





Swap


31/12/2030






Cash


                                  172,897 


0.01%





Call Warrant


31/12/2030






Cash


                                  172,724 


0.01%





CFD


08/10/2030






Cash


                                  155,013 


0.01%





CFD


23/09/2030






Cash


                                  146,537 


0.01%





CFD


30/09/2030






Cash


                                  145,870 


0.01%





CFD


15/10/2030






Cash


                                  143,614 


0.01%





CFD


07/06/2021






Cash


                                  139,371 


0.01%





CFD


19/08/2030






Cash


                                  130,776 


0.01%





CFD


15/07/2030






Cash


                                  128,725 


0.01%





CFD


03/05/2022






Cash


                                  122,496 


0.01%





CFD


07/10/2030






Cash


                                  102,162 


0.01%





CFD


15/07/2025






Cash


                                  100,000 


0.01%





CFD


10/08/2021






Cash


                                    95,567 


0.005%





CFD


09/10/2023






Cash


                                    95,000 


0.005%





CFD


08/07/2030






Cash


                                    90,742 


0.005%





Swap


20/01/2021






Cash


                                    89,280 


0.005%





CFD


07/06/2021






Cash


                                    83,632 


0.004%





Swap


31/12/2030






Cash


                                    69,119 


0.004%





CFD


13/10/2025






Cash


                                    66,355 


0.003%





Swap


31/12/2030






Cash


                                    66,000 


0.003%





Call Warrant


31/12/2030






Cash


                                    65,663 


0.003%





Call Warrant


31/12/2030






Cash


                                    65,150 


0.003%





CFD


28/07/2025






Cash


                                    64,032 


0.003%





CFD


07/10/2030






Cash


                                    63,840 


0.003%





CFD


15/07/2030






Cash


                                    53,743 


0.003%





Swap


31/12/2030






Cash


                                    51,534 


0.003%





Call Warrant


31/12/2030






Cash


                                    51,395 


0.003%





CFD


09/01/2025






Cash


                                    50,726 


0.003%





CFD


09/10/2030






Cash


                                    47,254 


0.002%





CFD


02/08/2022






Cash


                                    46,824 


0.002%





CFD


08/10/2030






Cash


                                    45,004 


0.002%





CFD


26/02/2030






Cash


                                    44,131 


0.002%





CFD


13/04/2028






Cash


                                    44,073 


0.002%





CFD


02/05/2023






Cash


                                    42,894 


0.002%





Swap


17/11/2020






Cash


                                    40,742 


0.002%





CFD


18/08/2025






Cash


                                    38,504 


0.002%





CFD


09/08/2023






Cash


                                    37,403 


0.002%





Put Warrant


31/12/2030






Cash


                                    36,000 


0.002%





Swap


31/12/2030






Cash


                                    36,000 


0.002%





CFD


16/09/2030






Cash


                                    35,341 


0.002%





CFD


25/02/2030






Cash


                                    34,803 


0.002%





CFD


26/02/2030






Cash


                                    33,975 


0.002%





CFD


16/09/2030






Cash


                                    30,200 


0.002%





CFD


20/10/2022






Cash


                                    30,000 


0.002%





CFD


10/12/2024






Cash


                                    29,750 


0.002%





CFD


02/10/2029






Cash


                                    28,987 


0.002%





Swap


31/12/2030






Cash


                                    28,744 


0.001%





CFD


14/10/2030






Cash


                                    28,293 


0.001%





Call Warrant


31/12/2030






Cash


                                    25,151 


0.001%





Put Warrant


31/12/2030






Cash


                                    25,000 


0.001%





Swap


31/12/2030






Cash


                                    25,000 


0.001%





CFD


09/10/2030






Cash


                                    22,557 


0.001%





CFD


14/10/2030






Cash


                                    21,688 


0.001%





CFD


09/10/2030






Cash


                                    19,348 


0.001%





CFD


14/10/2030






Cash


                                    17,273 


0.001%





CFD


23/09/2030






Cash


                                    16,682 


0.001%





Call Option


11/11/2020






Cash


                                    15,562 


0.001%





CFD


29/10/2029






Cash


                                    15,162 


0.001%





CFD


23/09/2030






Cash


                                    14,966 


0.001%





CFD


07/10/2030






Cash


                                    14,573 


0.001%





Swap


31/12/2030






Cash


                                    14,000 


0.001%





CFD


29/08/2023






Cash


                                    13,272 


0.001%





CFD


07/10/2030






Cash


                                    13,114 


0.001%





Swap


31/12/2030






Cash


                                    13,000 


0.001%





CFD


14/10/2030






Cash


                                    11,429 


0.001%





Put Warrant


31/12/2030






Cash


                                    10,796 


0.001%





Swap


31/12/2030






Cash


                                    10,796 


0.001%





CFD


28/07/2025






Cash


                                    10,708 


0.001%





CFD


17/06/2030






Cash


                                    10,490 


0.001%





CFD


03/05/2022






Cash


                                    10,352 


0.001%





Call Warrant


31/12/2030






Cash


                                    10,035 


0.001%





Call Warrant


31/12/2030






Cash


                                      9,500 


0.0005%





Swap


31/12/2030






Cash


                                      9,487 


0.0005%





CFD


07/10/2030






Cash


                                      9,220 


0.0005%





Put Warrant


31/12/2030






Cash


                                      9,156 


0.0005%





Swap


31/12/2030






Cash


                                      9,156 


0.0005%





CFD


28/07/2025






Cash


                                      9,012 


0.0005%





CFD


25/09/2030






Cash


                                      7,939 


0.0004%





CFD


03/05/2022






Cash


                                      6,533 


0.0003%





Put Warrant


31/12/2030






Cash


                                      6,000 


0.0003%





Swap


31/12/2030






Cash


                                      6,000 


0.0003%





CFD


29/10/2029






Cash


                                      5,818 


0.0003%





CFD


07/10/2030






Cash


                                      5,492 


0.0003%





CFD


03/06/2030






Cash


                                      5,360 


0.0003%





CFD


24/09/2030






Cash


                                      4,902 


0.0003%





CFD


03/05/2022






Cash


                                      4,854 


0.0003%





CFD


20/03/2029






Cash


                                      4,697 


0.0002%





CFD


29/10/2029






Cash


                                      4,439 


0.0002%





Swap


31/12/2030






Cash


                                      4,000 


0.0002%





Call Option


04/11/2020






Cash


                                      3,906 


0.0002%





Call Warrant


31/12/2030






Cash


                                      3,330 


0.0002%





Swap


31/12/2030






Cash


                                      3,000 


0.0002%





Swap


31/12/2030






Cash


                                      3,000 


0.0002%





CFD


04/03/2030






Cash


                                      2,958 


0.0002%





CFD


07/10/2030






Cash


                                      2,623 


0.0001%





Put Warrant


31/12/2030






Cash


                                      2,355 


0.0001%





CFD


14/10/2030






Cash


                                      2,001 


0.0001%





Call Warrant


31/12/2030






Cash


                                      2,000 


0.0001%





Swap


31/12/2030






Cash


                                      2,000 


0.0001%





Swap


31/12/2030






Cash


                                      2,000 


0.0001%





Swap


31/12/2030






Cash


                                      2,000 


0.0001%





Call Warrant


31/12/2030






Cash


                                      1,580 


0.0001%





Call Warrant


31/12/2030






Cash


                                      1,167 


0.0001%





CFD


07/10/2030






Cash


                                      1,133 


0.0001%





Swap


31/12/2030






Cash


                                      1,000 


0.0001%





Swap


31/12/2030






Cash


                                      1,000 


0.0001%





Call Warrant


31/12/2030






Cash


                                         990 


0.0001%





Call Warrant


31/12/2030






Cash


                                         800 


0.00004%





Call Warrant


31/12/2030






Cash


                                         600 


0.00003%





Call Warrant


31/12/2030






Cash


                                         408 


0.00002%





Call Warrant


31/12/2030






Cash


                                         389 


0.00002%





CFD


19/07/2027






Cash


                                             1 


0.0000001%





Call Option


21/10/2020






Cash


                                             1 


0.00000003%





Total Number of voting rights and percentage of voting rights


55,670,582


2.88%





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: 23 October 2020
LEI: 213800EC7997ZBLZJH69
 



 
 

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