Smith & Nephew PLC 6-K, filed May 11, 2021
Smith & Nephew PLC (SNN)
About this 6-K
Smith & Nephew PLC filed this 6-K on May 11, 2021.
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Report of Foreign Private Issuer
Pursuant to Rule 13a-16 or 15d-16
of the Securities Exchange Act of
1934
May 11, 2021
Commission File Number 001-14978
SMITH & NEPHEW plc
(Registrant's name)
Building 5, Croxley Park,
Hatters Lane, Watford, Hertfordshire, WD18 8YE,
England
(Address of registrant's principal executive offices)
[Indicate by check mark whether the registrant files or will file annual
reports under cover Form 20-F or Form 40-F.]
Form 20-F X Form 40-F
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[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).]
Yes No X
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[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).]
Yes No X
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[Indicate by check mark whether by furnishing the information contained
in this Form, the registrant is also thereby furnishing information to the
Commission pursuant to Rule 12g3-2 (b) under the Securities Exchange Act of
1934.]
Yes No X
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If "Yes" is marked, indicate below the file number assigned to the
registrant in connection with Rule 12g3-2 (b) : 82- n/a.
Smith & Nephew plc, announces that on 10 May 2021, it became aware of an administrative error that led to the below announcement not being made by 18 March 2021, in line with the UK Disclosure Guidance and Transparency Rules.
TR-1: Standard form for notification of major holdings
| 1a.<br>Identity of the issuer or the underlying issuer of existing shares<br>to which voting rights are attached: | Smith<br>& Nephew PLC | |||||||
|---|---|---|---|---|---|---|---|---|
| 1b. Please indicate if the issuer is a non-UK<br>issuer (please mark with an "X" if<br>appropriate) | ||||||||
| Non-UK<br>issuer | ||||||||
| 2. Reason for the<br>notification (please mark the appropriate box or boxes<br>with an "X") | ||||||||
| An<br>acquisition or disposal of voting rights | X | |||||||
| An<br>acquisition or disposal of financial instruments | X | |||||||
| An<br>event changing the breakdown of voting rights | ||||||||
| Other<br>(please specify): | ||||||||
| 3. Details of person subject to the notification obligation | ||||||||
| Name | WCM<br>Investment Management, LLC | |||||||
| City<br>and country of registered office (if applicable) | Wilmington, United<br>States | |||||||
| 4. Full name of shareholder(s) (if different from 3) | ||||||||
| Name | Discretionary<br>Clients | |||||||
| City<br>and country of registered office (if applicable) | ||||||||
| 5.<br>Date on which the threshold was crossed<br>or reached: | March<br>16, 2021 | |||||||
| 6.<br>Date on which issuer notified: | March<br>17, 2021 | |||||||
| 7.<br>Total positions of person(s) subject to the notification<br>obligation | ||||||||
| % of<br>voting rights attached to shares (total of<br>8.A) | % of<br>voting rights through financial instruments<br><br><br>(total<br>of 8.B.1 + 8.B.2) | Total<br>of both in % (8.A + 8.B) | Total<br>number of voting rights held in issuer | |||||
| Resulting situation<br>on the date on which threshold was crossed or reached | 4.83% | 0 | 4.83% | 884,921,853 | ||||
| Position of<br>previous notification (if applicable) | 5.12% | 0 | 5.12% | |||||
| 8. Notified details of the resulting situation on the date on which the threshold was crossed or reached | ||||||||
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| A:<br>Voting rights attached to shares | ||||||||
| Class/type<br>of shares<br><br><br>ISIN<br>code (if possible) | Number of voting rights | %<br>of voting rights | ||||||
| Direct<br><br><br>(DTR5.1) | Indirect<br><br><br>(DTR5.2.1) | Direct<br><br><br>(DTR5.1) | Indirect<br><br><br>(DTR5.2.1) | |||||
| Ordinary<br>Shares<br><br><br>(ISIN:<br>GB0009223206) | 27,168,133 | 3.07% | ||||||
| ADRs<br><br><br>(ISIN:<br>US83175M2052) | 15,620,700 | 1.76% | ||||||
| SUBTOTAL<br>8.A | 42,788,833 | 4.83% | ||||||
| B.1:<br>Financial Instruments according to DTR5.3.1R (1) (a) | ||||||||
| Type<br>of financial instrument | Expiration<br>date | Exercise/<br>Conversion Period | Number<br>of voting rights that may be acquired if the instrument is<br>exercised/converted. | %<br>of voting rights | ||||
| SUBTOTAL<br>8.B.1 | ||||||||
| B.2:<br>Financial Instruments with similar economic effect according to<br>DTR5.3.1R (1) (b) | ||||||||
| Type<br>of financial instrument | Expiration<br>date | Exercise/<br>Conversion Period | Physical<br>or cash settlement | Number<br>of voting rights | %<br>of voting rights | |||
| SUBTOTAL 8.B.2 | ||||||||
| 9. Information in relation to the person subject to the notification obligation (please mark the<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<br>control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer | ||||||||
| Full chain of<br>controlled undertakings through which the voting rights and/or<br>the<br><br><br>financial<br>instruments are effectively held starting with the ultimate<br>controlling natural person or legal entity (please add additional rows as<br>necessary) | X | |||||||
| Name | % of voting rights if it equals or is higher than the notifiable<br>threshold | %<br>of voting rights through financial instruments if it equals or<br>is higher than the notifiable threshold | Total<br>of both if it equals or is higher than the notifiable<br>threshold | |||||
| WCM<br>Investment Management, LLC | ||||||||
| 10.<br>In case of proxy voting, please identify: | ||||||||
| --- | ||||||||
| Name of<br>the proxy holder | ||||||||
| The<br>number and % of voting rights held | ||||||||
| The<br>date until which the voting rights will be held | ||||||||
| Place<br>of completion | Laguna<br>Beach, California, USA | |||||||
| --- | --- | |||||||
| Date<br>of completion | March<br>17, 2021 |
Vickie Reuben
Deputy Company Secretary
Smith & Nephew plc
Tel: +44 (0) 1923 477410
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.
Smith & Nephew Plc
(Registrant)
Date: May 11, 2021
By: /s/ Susan Swabey
Susan Swabey
Company Secretary