TR-1: Standard form for notification of major holdings
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NOTIFICATION OF MAJOR
HOLDINGS (to be sent to
the relevant issuer and to
the FCA in Microsoft Word format if possible)
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1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached:
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SMITH
& NEPHEW PLC
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1b. Please indicate if the
issuer is a non-UK issuer (please mark with an "X" if
appropriate)
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Non-UK
issuer
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2. Reason for the
notification (please mark
the appropriate box or boxes with an "X")
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An
acquisition or disposal of voting rights
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X
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An
acquisition or disposal of financial instruments
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An
event changing the breakdown of voting rights
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Other
(please specify):
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3. Details of person subject to the notification
obligation
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Name
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Wellington
Management Group LLP
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City
and country of registered office (if applicable)
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Boston,
USA
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4. Full name of
shareholder(s) (if
different from 3)
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Name
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Bank
of New York (Nominees) Ltd
BBH
ISL NOMINEES LTD
BNY
(OCS) Nominees Limited
BNY
Mellon Nominees Limited
GOLDMAN
SACHS INTERNATIONAL
HSBC
Global Custody Nominee (UK) Limited
Japan
Trustee Services Bank Ltd.
JP
Morgan Chase Nominees Limited
Mellon
Nominees (UK) Ltd.
Nortrust
Nominees Limited
ROY
Nominees Limited
State
Street Nominees Limited
VIDACOS
NOMINEES LIMITED
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City
and country of registered office (if applicable)
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5. Date on which the threshold was crossed or reached:
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01/10/2019
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6. Date on which issuer notified (DD/MM/YYYY):
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02/10/2019
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7. Total positions of person(s) subject to the notification
obligation:
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% of voting rights attached to shares
(total of 8.A)
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% of voting rights through financial instruments
(total of 8.B.1 + 8.B.2)
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Total of both in %
(8.A + 8.B)
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Total number of voting rights of issuer
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Resulting
situation on the date on which threshold was crossed or
reached
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5.16%
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0.05%
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5.22%
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874,636,897
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Position
of previous notification (if applicable)
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8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached:
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A: Voting rights attached to shares
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Class/type of
shares ISIN code (if
possible)
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Number of voting rights
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% of voting rights
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Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
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Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
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GB0009223206 Common Stock
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45,163,346
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5.16%
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SUBTOTAL 8.A
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45,163,346
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5.16%
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))
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Type of financial instrument
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Expiration date
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Exercise/ Conversion Period
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Number of voting rights that may be acquired if the instrument is
exercised/converted
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% of voting rights
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Depository
Receipt
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382
Depository Receipt shares or 764 votes on a converted
basis
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0.00%
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SUBTOTAL 8.B.1
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764
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0.00%
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B 2: Financial Instruments with similar economic effect according
to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b))
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Type of financial instrument
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Expiration date
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Exercise/ Conversion Period
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Physical or cash settlement
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Number of voting rights
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% of voting rights
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Equity
Swap
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15/05/2020
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11/04/2019to15/05/2020
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Cash
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162,800
Equity Swap shares or 162,800 votes on a converted
basis
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0.02%
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Equity
Swap
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15/05/2020
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26/10/2018to15/05/2020
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Cash
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96,038
Equity Swap shares or 96,038 votes on a converted
basis
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0.01%
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Equity
Swap
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20/05/2020
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27/06/2019to20/05/2020
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Cash
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64,357
Equity Swap shares or 64,357 votes on a converted
basis
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0.01%
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Equity
Swap
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20/05/2020
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12/04/2017to20/05/2020
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Cash
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40,478
Equity Swap shares or 40,478 votes on a converted
basis
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0.00%
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Equity
Swap
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20/05/2020
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23/08/2019to20/05/2020
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Cash
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20,732
Equity Swap shares or 20,732 votes on a converted
basis
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0.00%
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Equity
Swap
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20/05/2020
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13/09/2019to20/05/2020
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Cash
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9,722
Equity Swap shares or 9,722 votes on a converted basis
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0.00%
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Equity
Swap
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05/05/2020
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31/07/2019to05/05/2020
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Cash
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9,570
Equity Swap shares or 9,570 votes on a converted basis
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0.00%
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Index
Future
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01/10/2019
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01/01/1900to01/10/2019
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Cash
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2,089
Index Future shares or 7,241 votes on a converted
basis
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0.00%
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Equity
Swap
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20/05/2020
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11/08/2017to20/05/2020
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Cash
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6,000
Equity Swap shares or 6,000 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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28/06/2019to20/05/2020
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Cash
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5,634
Equity Swap shares or 5,634 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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07/07/2017to20/05/2020
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Cash
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5,169
Equity Swap shares or 5,169 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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10/11/2017to20/05/2020
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Cash
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5,014
Equity Swap shares or 5,014 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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26/06/2018to20/05/2020
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Cash
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3,345
Equity Swap shares or 3,345 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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11/08/2017to20/05/2020
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Cash
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3,102
Equity Swap shares or 3,102 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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08/03/2019to15/05/2020
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Cash
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3,061
Equity Swap shares or 3,061 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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03/08/2018to15/05/2020
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Cash
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2,658
Equity Swap shares or 2,658 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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23/04/2019to20/05/2020
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Cash
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2,307
Equity Swap shares or 2,307 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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10/08/2017to20/05/2020
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Cash
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1,947
Equity Swap shares or 1,947 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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27/06/2018to20/05/2020
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Cash
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1,672
Equity Swap shares or 1,672 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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28/06/2018to20/05/2020
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Cash
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1,672
Equity Swap shares or 1,672 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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30/08/2019to20/05/2020
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Cash
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1,370
Equity Swap shares or 1,370 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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18/04/2019to15/05/2020
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Cash
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1,369
Equity Swap shares or 1,369 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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18/04/2019to15/05/2020
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Cash
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1,342
Equity Swap shares or 1,342 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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18/04/2019to15/05/2020
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Cash
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1,322
Equity Swap shares or 1,322 votes on a converted basis
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0.00%
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Exchange
Traded Fund
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01/10/2019
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01/10/2019
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Cash
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378,510
Exchange Traded Fund shares or 1,299 votes on a converted
basis
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0.00%
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Equity
Swap
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20/05/2020
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26/04/2019to20/05/2020
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Cash
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1,240
Equity Swap shares or 1,240 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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18/04/2019to15/05/2020
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Cash
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1,219
Equity Swap shares or 1,219 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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02/05/2019to15/05/2020
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Cash
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1,212
Equity Swap shares or 1,212 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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28/07/2017to20/05/2020
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Cash
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1,131
Equity Swap shares or 1,131 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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04/08/2017to20/05/2020
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Cash
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1,000
Equity Swap shares or 1,000 votes on a converted basis
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0.00%
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Index
Future
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01/10/2019
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01/01/1900to01/10/2019
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Cash
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96
Index Future shares or 334 votes on a converted basis
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0.00%
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Equity
Swap
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05/05/2020
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13/09/2019to05/05/2020
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Cash
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298
Equity Swap shares or 298 votes on a converted basis
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0.00%
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SUBTOTAL 8.B.2
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465,655
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0.05%
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9. Information in relation to
the person subject to the notification
obligation (please mark
the applicable box with an "X")
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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) issuer.
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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 entity (please add additional rows as
necessary)
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X
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Name
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% of voting rights if it equals or is higher than the notifiable
threshold
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% of voting rights through financial instruments if it equals or is
higher than the notifiable threshold
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Total of both if it equals or is higher than the notifiable
threshold
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Wellington Management Group LLP
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5.16%
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5.22%
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Wellington Group Holdings LLP
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5.16%
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5.22%
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Wellington Investment Advisors Holdings LLP
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5.16%
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5.22%
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Wellington Management Company LLP
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Wellington Management Group LLP
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5.16%
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5.22%
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Wellington Group Holdings LLP
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5.16%
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5.22%
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Wellington Investment Advisors Holdings LLP
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5.16%
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5.22%
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Wellington Management Global Holdings, Ltd.
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Wellington Management International Ltd
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10. In case of proxy voting, please identify:
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Name
of the proxy holder
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The
number and % of voting rights held
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The
date until which the voting rights will be held
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11. Additional information:
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Place of completion
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London
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Date of completion
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02/10/2019
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