Burford Capital Ltd 6-K, filed Dec 27, 2021
Burford Capital Ltd (BUR)
About this 6-K
Burford Capital Ltd filed this 6-K on December 27, 2021.
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 December 2021
Commission File Number: 001-39511
BURFORD CAPITAL LIMITED
(Translation of registrant’s name into English)
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-F x 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 made available in respect of Burford Capital Limited (the “Company”) as of December 27, 2021.
EXHIBIT INDEX
| Exhibit | Description | |
| Exhibit 99.1 | Notification of Holdings of Ameriprise Financial, Inc. | |
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: December 27, 2021
Exhibit 99.1
TR-1: Standard form for notification of major holdings
1. Issuer Details
ISIN
| GG00BMGYLN96 |
Issuer Name
| BURFORD CAPITAL LIMITED |
UK or Non-UK Issuer
| Non-UK |
2. Reason for Notification
| An acquisition or disposal of voting rights |
3. Details of person subject to the notification obligation
Name
| Ameriprise Financial, Inc. |
City of registered office (if applicable)
| Minneapolis |
Country of registered office (if applicable)
| United States |
4. Details of the shareholder
Full name of shareholder(s) if different from the person(s) subject to the notification obligation, above
City of registered office (if applicable)
Country of registered office (if applicable)
5. Date on which the threshold was crossed or reached
| 17-Dec-2021 |
6. Date on which Issuer notified
| 20-Dec-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 (total of 8.B 1 + 8.B 2) |
Total
of both in % (8.A + 8.B) |
Total
number of voting rights held in issuer | |
| Resulting situation on the date on which threshold was crossed or reached | 5.031000 | 0.000000 | 5.031000 | 11020999 |
| Position of previous notification (if applicable) |
8. Notified details of the resulting situation on the date on which the threshold was crossed or reached
8A. Voting rights attached to shares
| Class/Type
of shares ISIN code(if possible) |
Number
of direct voting rights (DTR5.1) |
Number
of indirect voting rights (DTR5.2.1) |
%
of direct voting rights (DTR5.1) |
%
of indirect voting rights (DTR5.2.1) |
| GG00BMGYLN96 | 0 | 11020999 | 0.000000 | 5.031000 |
| Sub Total 8.A | 11020999 | 5.031000% | ||
8B1. Financial Instruments according to (DTR5.3.1R.(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 |
| Sub Total 8.B1 | ||||
8B2. Financial Instruments with similar economic effect according to (DTR5.3.1R.(1) (b))
| Type
of financial instrument |
Expiration
date |
Exercise/conversion period |
Physical
or cash settlement |
Number
of voting rights |
%
of voting rights |
| Sub Total 8.B2 | |||||
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)
| Ultimate
controlling person |
Name
of controlled undertaking |
%
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 |
| Ameriprise Financial, Inc. (Chain 1) | 0.000000 | 0.000000 | 0.000000% | |
| Ameriprise Financial, Inc. | Columbia Management Investment Advisers, LLC | 0.000000 | 0.000000 | 0.000000% |
| Ameriprise Financial, Inc. (Chain 2) | 0.000000 | 0.000000 | 0.000000% | |
| Ameriprise Financial, Inc. | Columbia Threadneedle Investments UK International Limited | 0.000000 | 0.000000 | 0.000000% |
| Ameriprise Financial, Inc. | BMO Global Asset Management (Europe) Limited | 0.000000 | 0.000000 | 0.000000% |
| Ameriprise Financial, Inc. | BMO Asset Management (Holdings) Plc | 0.000000 | 0.000000 | 0.000000% |
| Ameriprise Financial, Inc. | BMO AM Group (Holdings) Limited | 0.000000 | 0.000000 | 0.000000% |
| Ameriprise Financial, Inc. | BMO AM Group (Management) Limited | 0.000000 | 0.000000 | 0.000000% |
| Ameriprise Financial, Inc. | BMO AM Holdings Limited | 0.000000 | 0.000000 | 0.000000% |
| Ameriprise Financial, Inc. | BMO Asset Management Limited | 0.000000 | 0.000000 | 0.000000% |
10. In case of proxy voting
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
| Columbia Management Investment Advisers, LLC is wholly
owned by Ameriprise Financial, Inc. BMO Asset Management Limited is wholly owned by BMO AM Holdings Limited, which is wholly owned by BMO AM Group (Management) Limited, which is wholly owned by BMO AM Group (Holdings) Limited, which is wholly owned by BMO Asset Management (Holdings) Plc, which is wholly owned by BMO Global Asset Management (Europe) Limited, which is wholly owned by Columbia Threadneedle Investments UK International Limited, which is wholly owned by Ameriprise Financial, Inc. |
12. Date of Completion
| 20/12/2021 |
13. Place Of Completion
| Swindon, UK |