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SOUTH32 LIMITED - S32 : TR-1: Standard form for notification of major holdings

2020/01/14 09:50:22

Stock report
                    
S32 : TR-1: Standard form for notification of major holdings: 
South32 Limited
(Incorporated in Australia under the Corporations Act 2001(Cth))
(ACN 093 732 597)
ASX / LSE / JSE Share Code: S32 ADR: SOUHY
ISIN: AU000000S320
south32.net



14 January 2020



TR-1: Standard form for notification of 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                                              South32 Limited
attachedii:
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 obligationiv
Name                                                                   BlackRock, Inc.

City and country of registered office (if applicable)                  Wilmington, DE, 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
                                                                       10/01/2020
reachedvi:

6. Date on which issuer notified (DD/MM/YYYY):                         13/01/2020

7. Total positions of person(s) subject to the notification obligation
                                                             % of voting rights
                             % of voting rights                                                              Total number of
                                                            through financial in-     Total of both in %
                             attached to shares                                                              voting rights of
                                                                 struments               (8.A + 8.B)
                                (total of 8. A)                                                              issuervii
                                                          (total of 8.B 1 + 8.B 2)
Resulting situation
on the date on which
threshold was
                            4.98%                        0.22%                       5.21%                   4,899,731,136
crossed or reached


                                                                                                                           1
Position of previous
notification (if           5.01%                      0.28%                         5.29%
applicable)


 8. Notified details of the resulting situation on the date on which the threshold was crossed or
 reachedviii
 A: Voting rights attached to shares
 Class/type of              Number of voting rightsix                             % of voting rights
 shares
 ISIN code (if possible)            Direct                    Indirect                      Direct                  Indirect
                                (Art 9 of Directive      (Art 10 of Directive          (Art 9 of Directive      (Art 10 of Directive
                             2004/109/EC) (DTR5.1)         2004/109/EC)             2004/109/EC) (DTR5.1)         2004/109/EC)
                                                             (DTR5.2.1)                                             (DTR5.2.1)

 AU000000S320                                         244,218,506                                            4.98%




 SUBTOTAL 8. A                                244,218,506                                               4.98%




 B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
                                                                                Number of voting rights
 Type of financial          Expiration       Exercise/                          that may be acquired if
                                                                                                             % of voting rights
 instrument                 datex            Conversion Periodxi                the instrument is
                                                                                exercised/converted.
 Securities Lending                                                             5,296,691                    0.10%




                                             SUBTOTAL 8. B 1                           5,296,691             0.10%



 B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive
 2004/109/EC (DTR5.3.1.1 (b))
                                             Exercise/              Physical or
 Type of financial     Expiration                                                           Number of
                                             Conversion             cash                                     % of voting rights
 instrument            datex                                                                voting rights
                                             Period xi              settlementxii
 CFD                                                                Cash                    5,913,663        0.12%




                                                                    SUBTOTAL
                                                                                              5,913,663      0.12%
                                                                    8.B.2




                                                                                                                              2
9. Information in relation to the person subject to the notification obligation (please mark the
applicable box with an 'X')
Person subject to the notification obligation is not controlled by any natural person or legal entity and does not
                                                                                                       xiii
control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer

Full chain of controlled undertakings through which the voting rights and/or the
                                                                                                                 xiv
financial instruments are effectively held starting with the ultimate controlling natural person or legal entity           X
(please add additional rows as necessary)
                                                                    % of voting rights
                                 % of voting rights if it                                            Total of both if it
                                                                  through financial in-
                                  equals or is higher                                               equals or is higher
          Namexv                                                  struments if it equals
                                  than the notifiable                                               than the notifiable
                                                                  or is higher than the
                                       threshold                                                        threshold
                                                                   notifiable threshold
See Attachment




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 informationxvi

BlackRock Regulatory Threshold Reporting Team

James Michael

020 7743 3650



Place of completion          12 Throgmorton Avenue, London, EC2N 2DL, U.K.

Date of completion           13 January, 2020




                                                                                                                       3
      Section 9 Attachment

                                                                 % of voting rights
                                                                                       Total of both if
                                         % of voting rights if    through financial
                                                                                        it equals or is
                                         it equals or is high-     instruments if it
                  Namexv                                                               higher than the
                                          er than the notifia-   equals or is higher
                                                                                           notifiable
                                             ble threshold       than the notifiable
                                                                                           threshold
                                                                      threshold
BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock Holdco 4, LLC

BlackRock Holdco 6, LLC

BlackRock Delaware Holdings Inc.

BlackRock Fund Advisors



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock Holdco 4, LLC

BlackRock Holdco 6, LLC

BlackRock Delaware Holdings Inc.
BlackRock Institutional Trust Company,
National Association


BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock Holdco 3, LLC

BlackRock Canada Holdings LP

BlackRock Canada Holdings ULC
BlackRock Asset Management Canada
Limited


BlackRock, Inc.


                                                                                                  4
BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock Holdco 3, LLC

BlackRock Cayman 1 LP
BlackRock Cayman West Bay Finco Lim-
ited
BlackRock Cayman West Bay IV Limited

BlackRock Group Limited

BlackRock Finance Europe Limited
BlackRock Investment Management (UK)
Limited


BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock Holdco 3, LLC

BlackRock Cayman 1 LP
BlackRock Cayman West Bay Finco Lim-
ited
BlackRock Cayman West Bay IV Limited

BlackRock Group Limited

BlackRock Finance Europe Limited

BlackRock Advisors (UK) Limited



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock Australia Holdco Pty. Ltd.




                                         5
BlackRock Investment Management (Aus-
tralia) Limited



BlackRock, Inc.

Trident Merger, LLC

BlackRock Investment Management, LLC



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock Capital Holdings, Inc.

BlackRock Advisors, LLC



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock (Singapore) Holdco Pte. Ltd.

BlackRock HK Holdco Limited

BlackRock Lux Finco S.a.r.l.

BlackRock Japan Holdings GK

BlackRock Japan Co., Ltd.



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.




                                         6
BR Jersey International Holdings L.P.

BlackRock (Singapore) Holdco Pte. Ltd.

BlackRock (Singapore) Limited



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock Holdco 3, LLC

BlackRock Cayman 1 LP
BlackRock Cayman West Bay Finco Lim-
ited
BlackRock Cayman West Bay IV Limited

BlackRock Group Limited

BlackRock International Limited



BlackRock, Inc.

BlackRock Holdco 2, Inc.

BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock Holdco 3, LLC

BlackRock Cayman 1 LP
BlackRock Cayman West Bay Finco Lim-
ited
BlackRock Cayman West Bay IV Limited

BlackRock Group Limited

BlackRock Finance Europe Limited

BlackRock (Netherlands) B.V.



BlackRock, Inc.

BlackRock Holdco 2, Inc.




                                         7
BlackRock Financial Management, Inc.

BlackRock International Holdings, Inc.

BR Jersey International Holdings L.P.

BlackRock (Singapore) Holdco Pte. Ltd.

BlackRock HK Holdco Limited
BlackRock Asset Management North Asia
Limited




                                         JSE Sponsor: UBS South Africa (Pty) Ltd
                                                              14 January 2020




                                                                              8

Date: 14-01-2020 09:50:00
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