|
NOTIFICATION OF MAJOR HOLDINGS (to
be sent to the relevant issuer and to the FCA in
Microsoft Word format if possible)
|
||||||
|
|
||||||
|
1a.
Identity of the issuer or the underlying issuer of existing shares
to which voting rights are attached:
|
Smith
& Nephew 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
|
|
|||||
|
An
event changing the breakdown of voting rights
|
|
|||||
|
Other
(please specify):
|
|
|||||
|
3. Details of person subject to the notification obligation
|
||||||
|
Name
|
WCM
Investment Management, LLC
|
|||||
|
City
and country of registered office (if applicable)
|
Wilmington,
Delaware USA
|
|||||
|
4. Full name of shareholder(s) (if different from 3)
|
||||||
|
Name
|
Discretionary
Clients
|
|||||
|
City
and country of registered office (if applicable)
|
|
|||||
|
5.
Date on which the threshold was crossed or reached:
|
03/03/2020
|
|||||
|
6.
Date on which issuer notified (DD/MM/YYYY):
|
05/03/2020
|
|||||
|
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 issuer
|
||
|
Resulting situation
on the date on which threshold was crossed or reached
|
5.12%
|
0
|
5.12%
|
874,616,025
|
||
|
Position of
previous notification (if applicable)
|
|
|
|
|
||
|
|
|
|
|
|
|
|
|
8.
Notified details of the resulting situation on the date on which
the threshold was crossed or reached
|
|||||||||
|
A:
Voting rights attached to shares
|
|||||||||
|
Class/type
of shares
ISIN
code (if possible)
|
Number
of voting rights
|
%
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)
|
||||||
|
Ordinary
Shares
(ISIN:
GB0009223206)
|
33,976,641
|
|
3.88%
|
|
|||||
|
ADRs
(ISIN:
US83175M205)
|
10,818,432
|
|
1.24%
|
|
|||||
|
|
|
|
|
|
|||||
|
SUBTOTAL
8. A
|
44,795,073
|
5.12%
|
|||||||
|
|
|||||||||
|
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 date
|
Exercise/
Conversion Period
|
Number
of voting rights that may be acquired if the instrument is
exercised/converted.
|
%
of voting rights
|
|||||
|
|
|
|
|
|
|||||
|
|
|
|
|
|
|||||
|
|
|
|
|
|
|||||
|
|
SUBTOTAL
8. B 1
|
|
|
||||||
|
|
|||||||||
|
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 date
|
Exercise/
Conversion Period
|
Physical
or cash settlement
|
Number
of voting rights
|
%
of voting rights
|
||||
|
|
|
|
|
|
|
||||
|
|
|
|
|
|
|
||||
|
|
|
|
|
|
|
||||
|
|
SUBTOTAL 8.B.2
|
|
|
||||||
|
|
|
|
|
|
|
|
|
|
|
|
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) issuer
|
X
|
|||
|
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)
|
|
|||
|
Name
|
% 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
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||
|
10.
In case of proxy voting, please identify:
|
||||
|
Name of
the proxy holder
|
|
|||
|
The
number and % of voting rights held
|
|
|||
|
The
date until which the voting rights will be held
|
|
|||
|
|
||||
|
11. Additional information
|
||||
|
|
||||
|
|
|
|
|
|
|
Place
of completion
|
Laguna
Beach, California, USA
|
|
Date
of completion
|
05/03/2020
|