Burford Capital Ltd 6-K, filed Jun 7, 2021
Burford Capital Ltd (BUR)
About this 6-K
Burford Capital Ltd filed this 6-K on June 7, 2021.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TORULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of June 2021
Commission File Number: 001-39511
BURFORD CAPITAL LIMITED
(Translation of registrant’s name intoEnglish)
Oak House, Hirzel Street
St. Peter Port GY1 2NP, Guernsey
(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-Fx 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): ¨
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): ¨
This report includes materials as an exhibit that have been published and made available by Burford Capital Limited as of June 7, 2021.
EXHIBIT INDEX
| Exhibit | Description |
|---|---|
| Exhibit 99.1 | TR-1 notification of major holdings of Conifer Management, L.L.C. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Burford Capital Limited | |
|---|---|
| By: | /s/ Mark Klein |
| Name: | Mark Klein |
| Title: | Chief Administrative Officer and General Counsel |
Date: June 7, 2021
Exhibit 99.1
TR-1: Standard form for notificationof 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 attached^ii^: | Burford Capital Limited | ||||||||
| 1b. Please indicate if the issuer is a non-UK issuer(please mark with an “X” if appropriate) | |||||||||
| Non-UK issuer | x | ||||||||
| 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)^iii^: | |||||||||
| 3. Details of person subject to the notification obligation^iv^ | |||||||||
| Name | Conifer Management, LLC | ||||||||
| City and country of registered office (if applicable) | New York, USA | ||||||||
| 4. Full name of shareholder(s) (if different from 3.)^v^ | |||||||||
| Name | |||||||||
| City and country of registered office (if applicable) | |||||||||
| 5. Date on which the threshold was crossed or reached^vi^: | 28-May-2021 | ||||||||
| 6. Date on which issuer notified (DD/MM/YYYY): | 03-Jun-2021 | ||||||||
| 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 <br><br>(total of 8.B 1 + 8.B 2) | Total of both in % (8.A + 8.B) | Total number of voting rights of issuer^vii^ | ||||||
| Resulting situation on the date on which threshold was crossed or reached | 4.97% | 4.97% | 219,049,877 | ||||||
| Position<br>of previous notification (if applicable) | 6.40% | 6.40% | 218,649,877 | ||||||
| 8.Notified details of the resulting situation on the date on which the threshold was crossed or reached^viii^ | |||||||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| A: Voting rights attached to shares | |||||||||
| Class/type of shares<br><br> <br>ISIN code (if possible) | Number of voting rights^ix^ | % of voting rights | |||||||
| Direct<br><br> <br>(Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect<br><br> <br>(Art 10 of Directive 2004/109/EC) (DTR5.2.1) | Direct<br><br> <br>(Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect<br><br> <br>(Art 10 of Directive 2004/109/EC) (DTR5.2.1) | ||||||
| GG00B4L84979 | 10881381 | 0 | 4.97% | 0 | |||||
| SUBTOTAL 8. A | 10881381 | 4.97% | |||||||
| B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a)) | |||||||||
| Type of financial instrument | Expirationdate^x^ | Exercise/ Conversion Period^xi^ | Number of voting rights that may be acquired if the instrument is<br><br> <br>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 | Expirationdate^x^ | Exercise/ Conversion Period ^xi^ | Physical or cash<br><br> <br>settlement^xii^ | 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<br><br> <br>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^xiii^ | |||||||||
| Full chain of controlled undertakings through which the voting rights and/or the<br><br>financial instruments are effectively held starting with the ultimate controlling natural person or legal entity^xiv^(please add additional rows as necessary) | x | ||||||||
| Name^xv^ | % 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 | ||||||
| Gregory Alexander | |||||||||
| Conifer Management, LLC | 4.97% | 4.97% | |||||||
| 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^xvi^ | |||||||||
| Shares are held in private funds managed by Conifer Management, LLC. | |||||||||
| Place of completion | New York, USA | ||||||||
| --- | --- | ||||||||
| Date of completion | 03-Jun-2021 |