Smith & Nephew PLC 6-K, filed Mar 5, 2020
Smith & Nephew PLC (SNN)
About this 6-K
Smith & Nephew PLC filed this 6-K on March 5, 2020.
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
March 05, 2020
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
--- ---
[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
---
If "Yes" is marked, indicate below the file number assigned to the
registrant in connection with Rule 12g3-2 (b) : 82- n/a.
TR-1: Standard form for notification of major holdings
| NOTIFICATION OF MAJOR HOLDINGS (to<br>be sent to the relevant issuer and to the FCA in<br>Microsoft Word format if possible) | ||||||||
|---|---|---|---|---|---|---|---|---|
| 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 | ||||||||
| 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,<br>Delaware USA | |||||||
| 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 or reached: | 03/03/2020 | |||||||
| 6.<br>Date on which issuer notified (DD/MM/YYYY): | 05/03/2020 | |||||||
| 7.<br>Total positions of person(s) subject to the notification<br>obligation | ||||||||
| % of<br>voting rights attached to shares<br><br><br>(total<br>of 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 %<br><br><br>(8.A +<br>8.B) | Total<br>number of voting rights of issuer | |||||
| Resulting situation<br>on the date on which threshold was crossed or reached | 5.12% | 0 | 5.12% | 874,616,025 | ||||
| Position of<br>previous notification (if applicable) | ||||||||
| 8.<br>Notified details of the resulting situation on the date on which<br>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<br>of voting rights | %<br>of voting rights | ||||||
| Direct<br><br><br>(Art 9<br>of Directive 2004/109/EC) (DTR5.1) | Indirect<br><br><br>(Art 10<br>of Directive 2004/109/EC) (DTR5.2.1) | Direct<br><br><br>(Art 9<br>of Directive 2004/109/EC) (DTR5.1) | Indirect<br><br><br>(Art 10<br>of Directive 2004/109/EC) (DTR5.2.1) | |||||
| Ordinary<br>Shares<br><br><br>(ISIN:<br>GB0009223206) | 33,976,641 | 3.88% | ||||||
| ADRs<br><br><br>(ISIN:<br>US83175M205) | 10,818,432 | 1.24% | ||||||
| SUBTOTAL<br>8. A | 44,795,073 | 5.12% | ||||||
| B<br>1: Financial Instruments according to Art. 13(1)(a) of Directive<br>2004/109/EC (DTR5.3.1.1 (a)) | ||||||||
| Type<br>of financial instrument | Expiration 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<br>2: Financial Instruments with similar economic effect according to<br>Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1<br>(b)) | ||||||||
| Type<br>of financial instrument | Expiration 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<br>subject to the notification obligation (please mark the<br>applicable box with an "X") | ||||||||
| --- | --- | --- | --- | --- | ||||
| Person<br>subject to the notification obligation is not controlled by any<br>natural person or legal entity and does not control any other<br>undertaking(s) holding directly or indirectly an interest in the<br>(underlying) issuer | X | |||||||
| Full chain of<br>controlled undertakings through which the voting rights and/or the<br>financial instruments are effectively held starting with the<br>ultimate controlling natural person or legal entity (please add additional rows as<br>necessary) | ||||||||
| 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 is<br>higher than the notifiable threshold | Total<br>of both if it equals or is higher than the notifiable<br>threshold | |||||
| 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 | ||||||||
| 11. Additional information | ||||||||
| Place<br>of completion | Laguna<br>Beach, California, USA | |||||||
| --- | --- | |||||||
| Date<br>of completion | 05/03/2020 |
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: March 05, 2020
By: /s/ Susan Swabey
Susan Swabey
Company Secretary