Burford Capital Ltd 6-K, filed Jul 25, 2022
Burford Capital Ltd (BUR)
6-K
2022-07-25
For: 2022-07-25
View Original
Added on
April 12, 2026
About this 6-K
Burford Capital Ltd filed this 6-K on July 25, 2022.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of July 2022
Commission File Number: 001-39511
BURFORD CAPITAL LIMITED
(Translation
of registrant’s name into English)
Oak House
Hirzel Street
St. Peter Port
Guernsey GY1 2NP
(Address
of principal executive office)
Indicate by check
mark whether the registrant files or will file annual reports under
cover of Form 20-F or Form 40-F.
Form
20-F ☒ Form 40-F ☐
Indicate
by check mark if the registrant is submitting the Form 6-K in paper
as permitted by Regulation S-T Rule 101(b)(1): ☐
Note: Regulation S-T Rule 101(b)(1) only permits the
submission in paper of a Form 6-K if submitted solely to provide an
attached annual report to security holders.
Indicate
by check mark if the registrant is submitting the Form 6-K in paper
as permitted by Regulation S-T Rule 101(b)(7): ☐
Note: Regulation S-T Rule 101(b)(7) only permits the
submission in paper of a Form 6-K if submitted to furnish a report
or other document that the registrant foreign private issuer must
furnish and make public under the laws of the jurisdiction in which
the registrant is incorporated, domiciled or legally organized (the
registrant’s “home country”), or under the rules
of the home country exchange on which the registrant’s
securities are traded, as long as the report or other document is
not a press release, is not required to be and has not been
distributed to the registrant’s security holders, and, if
discussing a material event, has already been the subject of a Form
6-K submission or other Commission filing on EDGAR.
This
report includes materials as an exhibit that have been made
available in respect of Burford Capital Limited as of July 25 2022.
EXHIBIT INDEX
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Exhibit
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Description
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TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
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GG00BMGYLN96
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Issuer Name
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BURFORD CAPITAL LIMITED
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UK or Non-UK Issuer
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Non-UK
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2. Reason for Notification
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An acquisition or disposal of voting rights
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3. Details of person subject to the notification
obligation
Name
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Ameriprise Financial, Inc.
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City of registered office (if applicable)
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Minneapolis
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Country of registered office (if applicable)
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United States
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4. Details of the shareholder
Full name of shareholder(s) if different from the person(s) subject
to the notification obligation, above
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City of registered office (if applicable)
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Country of registered office (if applicable)
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5. Date on which the threshold was crossed or reached
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20-Jul-2022
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6. Date on which Issuer notified
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22-Jul-2022
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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 held in issuer
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Resulting
situation on the date on which threshold was crossed or
reached
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4.986000
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0.000000
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4.986000
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10921918
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Position
of previous notification (if applicable)
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5.031000
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0.000000
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5.031000
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11020999
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8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached
8A. Voting rights attached to shares
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Class/Type of shares ISIN code(if possible)
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Number of direct voting rights (DTR5.1)
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Number of indirect voting rights (DTR5.2.1)
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% of direct voting rights (DTR5.1)
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% of indirect voting rights (DTR5.2.1)
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GG00BMGYLN96
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0
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10921918
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0.000000
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4.986000
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Sub
Total 8.A
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10921918
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4.986000%
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8B1. Financial Instruments according to (DTR5.3.1R.(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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Sub
Total 8.B1
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8B2. Financial Instruments with similar economic effect according
to (DTR5.3.1R.(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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Sub
Total 8.B2
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9. Information in relation to the person subject to the
notification obligation
2. 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
entities (please add additional rows as necessary)
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Ultimate controlling person
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Name of controlled undertaking
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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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Ameriprise
Financial, Inc. (Chain 1)
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia Management
Investment Advisers, LLC
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc. (Chain 2)
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia
Threadneedle Investments UK International Limited
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia
Threadneedle (Europe) Limited
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia
Threadneedle AM (Holdings) Plc
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia
Threadneedle Group (Holdings) Limited
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia
Threadneedle Group (Management) Limited
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia
Threadneedle Holdings Limited
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0.000000
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0.000000
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0.000000%
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Ameriprise
Financial, Inc.
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Columbia
Threadneedle Management Limited
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0.000000
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0.000000
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0.000000%
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10. In case of proxy voting
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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Columbia Management Investment Advisers, LLC is wholly owned by
Ameriprise Financial, Inc.
Columbia Threadneedle Management Limited is wholly owned by
Columbia Threadneedle Holdings Limited, which is wholly owned by
Columbia Threadneedle Group (Management) Limited, which is wholly
owned by Columbia Threadneedle Group (Holdings) Limited, which is
wholly owned by Columbia Threadneedle AM (Holdings) Plc, which is
wholly owned by Columbia Threadneedle (Europe) Limited, which is
wholly owned by Columbia Threadneedle Investments UK International
Limited, which is wholly owned by Ameriprise Financial,
Inc.
Effective from 4th July 2022, some entities within Ameriprise
Financial, Inc. have had their Legal names updated.
These name changes represent the further branding integration of
(formerly) BMO Asset Management into Ameriprise Financial,
Inc.
Whilst BMO Asset Management legal entity names are changing, the
legal status, office address and contact details will remain
unchanged. The Company's business remains fundamentally unaffected
by this change and all contracts with existing customers will
remain unaltered, with corresponding obligations and rights assumed
under the new name.
The change is reflected in the chain of control.
● BMO
Global Asset Management (Europe) Ltd changed name to Columbia
Threadneedle (Europe) Limited
● BMO
Asset Management (Holdings) plc changed name to Columbia
Threadneedle AM (Holdings) Plc
● BMO
AM Group (Holdings) Limited changed name to Columbia Threadneedle
Group (Holdings) Limited
● BMO
AM Group (Management) Limited changed name to Columbia Threadneedle
Group (Management) Limited
● BMO
AM Holdings Limited changed name to Columbia Threadneedle Holdings
Limited
● BMO
Asset Management Limited changed name to Columbia Threadneedle
Management Limited
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12. Date of Completion
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22/07/2022
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13. Place Of Completion
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Swindon, UK
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SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as
amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned, thereunto duly
authorized.
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BURFORD CAPITAL LIMITED
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By:
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/s/ Mark Klein
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Name:
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Mark Klein
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Title:
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Chief Administrative Officer and General Counsel
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Date:
July 25,2022
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of July 2022
Commission File Number: 001-39511
BURFORD CAPITAL LIMITED
(Translation
of registrant’s name into English)
Oak House
Hirzel Street
St. Peter Port
Guernsey GY1 2NP
(Address
of principal executive office)
Indicate by check
mark whether the registrant files or will file annual reports under
cover of Form 20-F or Form 40-F.
Form
20-F ☒ Form 40-F ☐
Indicate
by check mark if the registrant is submitting the Form 6-K in paper
as permitted by Regulation S-T Rule 101(b)(1): ☐
Note: Regulation S-T Rule 101(b)(1) only permits the
submission in paper of a Form 6-K if submitted solely to provide an
attached annual report to security holders.
Indicate
by check mark if the registrant is submitting the Form 6-K in paper
as permitted by Regulation S-T Rule 101(b)(7): ☐
Note: Regulation S-T Rule 101(b)(7) only permits the
submission in paper of a Form 6-K if submitted to furnish a report
or other document that the registrant foreign private issuer must
furnish and make public under the laws of the jurisdiction in which
the registrant is incorporated, domiciled or legally organized (the
registrant’s “home country”), or under the rules
of the home country exchange on which the registrant’s
securities are traded, as long as the report or other document is
not a press release, is not required to be and has not been
distributed to the registrant’s security holders, and, if
discussing a material event, has already been the subject of a Form
6-K submission or other Commission filing on EDGAR.
This
report includes materials as an exhibit that have been made
available in respect of Burford Capital Limited as of June 27,
2022.
EXHIBIT INDEX
|
|
|
|
|
Exhibit
|
|
Description
|
|
|
|
|
|
|
|
|
|
|
|
|
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as
amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned, thereunto duly
authorized.
|
|
|
|
|
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BURFORD CAPITAL LIMITED
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By:
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/s/ Mark Klein
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Name:
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Mark Klein
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Title:
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Chief Administrative Officer and General Counsel
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Date:
July 25, 2022
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