For filings with the FCA include the annex |
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For filings with issuer exclude the annex |
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TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
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1. Identity of the issuer or the underlying issuer |
Petropavlovsk plc |
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2 Reason for the notification (please tick the appropriate box or boxes): |
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An acquisition or disposal of voting rights |
x |
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An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached |
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An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
x |
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An event changing the breakdown of voting rights |
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Other (please specify): |
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3. Full name of person(s) subject to the |
D. E. Shaw & Co., L.P. D. E. Shaw & Co. (London), LLP |
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4. Full name of shareholder(s) |
DBMMA015 (only with respect to shares listed in 8.A) |
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5. Date of the transaction and date on |
May 14, 2015 |
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6. Date on which issuer notified: |
May 18, 2015 |
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7. Threshold(s) that is/are crossed or |
12%[†] |
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8. Notified details: |
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A: Voting rights attached to shares viii, ix |
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Class/type of
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Situation previous |
Resulting situation after the triggering transaction |
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Number |
Number |
Number |
Number of voting |
% of voting rights x |
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Direct |
Direct xi |
Indirect xii |
Direct |
Indirect |
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Ordinary Shares |
117,609,333 |
117,609,333 |
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117,609,333 |
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3.59% |
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GB0031544546 |
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B: Qualifying Financial Instruments |
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Resulting situation after the triggering transaction |
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Type of financial |
Expiration |
Exercise/ |
Number of voting |
% of voting |
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C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi |
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Resulting situation after the triggering transaction |
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Type of financial |
Exercise price |
Expiration date xvii |
Exercise/ |
Number of voting rights instrument refers to
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% of voting rights xix, xx
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Contract for Differences |
n/a |
March 2, 2016 |
n/a |
14,000,000 |
Nominal |
Delta |
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0.43% |
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Contract for Differences
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n/a |
May 16, 2016 |
n/a |
125,000,000 |
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3.81% |
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Convertible Bonds |
n/a |
March 18, 2020 |
April 28, 2015 to six business days before maturity or call. |
157,971,028 |
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4.82% |
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Total (A+B+C) |
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Number of voting rights |
Percentage of voting rights |
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414,580,361 |
12.65% |
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9. Chain of controlled undertakings through which the voting rights and/or the |
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Each of D. E. Shaw & Co., L.P. ("DESCO LP") and D. E. Shaw & Co. (London), LLP ("DESCO London") is notifying solely in its capacity as a discretionary investment manager. As general partner of DESCO LP, D. E. Shaw & Co., Inc. ("DESCO Inc.") is a parent undertaking of DESCO LP and, indirectly, of DESCO London. By virtue of David E. Shaw's position as president and sole shareholder of DESCO Inc., which is the general partner of DESCO LP, David E. Shaw is a parent undertaking of DESCO LP and, indirectly, of DESCO London. |
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Proxy Voting: |
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10. Name of the proxy holder: |
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11. Number of voting rights proxy holder will cease |
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12. Date on which proxy holder will cease to hold |
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14. Contact name: |
Kevin Krist |
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15. Contact telephone number: |
+44 (0) 20 7409 4300 |
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[†] The aggregate percentage of voting rights reported on this TR-1 is 12.65%. The aggregate percentage of voting rights reported on our most recently filed TR-1, which was filed on April 27, 2015, was 12.82%. Although our total percentage of voting rights did not cross a reporting threshold, there was a change in the composition of voting rights since April 27, 2015. See Item 8 below for additional details.
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