Form Tr-1 - Standard Form For Notification Of Major Holdings (Page 4 of 5) in pdf

Notes

Please note that national forms may vary due to specific national legislation (Article 3(1a) of Directive 2004/109/EC)

as for instance the applicable thresholds or information regarding capital holdings.

Full name of the legal entity and further specification of the issuer or underlying issuer, provided it is reliable and

accurate (e.g. address, LEI, domestic number identity). Indicate in the relevant section whether the issuer is a non UK

issuer.

iii

Other reason for the notification could be voluntary notifications, changes of attribution of the nature of the holding

(e.g. expiring of financial instruments) or acting in concert.

This should be the full name of (a) the shareholder; (b) the natural person or legal entity acquiring, disposing of or

exercising voting rights in the cases provided for in DTR5.2.1 (b) to (h)/ Article 10 (b) to (h) of Directive 2004/109/EC;

(c) all parties to the agreement referred to in Article 10 (a) of Directive 2004/109/EC (DTR5.2.1 (a)) or (d) the holder of

financial instruments referred to in Article 13(1) of Directive 2004/109/EC (DTR5.3.1).

As the disclosure of cases of acting in concert may vary due to the specific circumstances (e.g. same or different total

positions of the parties, entering or exiting of acting in concert by a single party) the standard form does not provide

for a specific method how to notify cases of acting in concert.

In relation to the transactions referred to in points (b) to (h) of Article 10 of Directive 2004/109/EC (DTR5.2.1 (b) to

(h)), the following list is provided as indication of the persons who should be mentioned:

- in the circumstances foreseen in letter (b) of Article 10 of that Directive (DTR5.2.1 (b)), the natural person or le-

gal entity that acquires the voting rights and is entitled to exercise them under the agreement and the natural

person or legal entity who is transferring temporarily for consideration the voting rights;

- in the circumstances foreseen in letter (c) of Article 10 of that Directive (DTR5.2.1 (c)), the natural person or le-

gal entity holding the collateral, provided the person or entity controls the voting rights and declares its intention

of exercising them, and natural person or legal entity lodging the collateral under these conditions;

- in the circumstances foreseen in letter (d) of Article 10 of that Directive (DTR5.2.1 (d)), the natural person or le-

gal entity who has a life interest in shares if that person or entity is entitled to exercise the voting rights attached

to the shares and the natural person or legal entity who is disposing of the voting rights when the life interest is

created;

- in the circumstances foreseen in letter (e) of Article 10 of that Directive (DTR5.2.1 (e)), the controlling natural

person or legal entity and, provided it has a notification duty at an individual level under Article 9 (DTR 5.1), un-

der letters (a) to (d) of Article 10 of that Directive (DTR5.2.1 (a) to (d)) or under a combination of any of those sit-

uations, the controlled undertaking;

- in the circumstances foreseen in letter (f) of Article 10 of that Directive (DTR5.2.1 (f)), the deposit taker of the

shares, if he can exercise the voting rights attached to the shares deposited with him at his discretion, and the

depositor of the shares allowing the deposit taker to exercise the voting rights at his discretion;

- in the circumstances foreseen in letter (g) of Article 10 of that Directive (DTR5.2.1 (g)), the natural person or le-

gal entity that controls the voting rights;

- in the circumstances foreseen in letter (h) of Article 10 of that Directive (DTR5.2.1 (h)), the proxy holder, if he

can exercise the voting rights at his discretion, and the shareholder who has given his proxy to the proxy holder

allowing the latter to exercise the voting rights at his discretion (e.g. management companies).

Applicable in the cases provided for in Article 10 (b) to (h) of Directive 2004/109/EC (DTR5.2.1 (b) to (h). This should

be the full name of the shareholder who is the counterparty to the natural person or legal entity referred to in Article 10

of that Directive (DTR5.2) unless the percentage of voting rights held by the shareholder is lower than the lowest

notifiable threshold for the disclosure of voting rights holdings in accordance with national practices (e.g. identification

of funds managed by management companies).

The date on which threshold is crossed or reached should be the date on which the acquisition or disposal took

place or the other reason triggered the notification obligation. For passive crossings, the date when the corporate

event took effect.

Form Tr-1 - Standard Form For Notification Of Major Holdings Page 4

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