Source - RNS
RNS Number : 6202A
Henderson Alternative Strat Tst PLC
22 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 attachedii:

Henderson Alternative Strategies Trust plc

1b. Please indicate if the issuer is a non-UK issuer  (please mark with an "X" if appropriate)

Non-UK issuer


2. Reason for the notification (please mark the appropriate box or boxes with an "X")

An acquisition or disposal of voting rights

yes

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

City and country of registered office (if applicable)

Richmond, VA United States

4. Full name of shareholder(s) (if different from 3.)v

Name

Northern Trust

           5,997,290

Bny Mellon

           4,306,520

State Street

           1,239,581

City and country of registered office (if applicable)


5. Date on which the threshold was crossed or reachedvi:

January 16, 2020

January 21, 2020


% 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 of issuervii

Resulting situation on the date on which threshold was crossed or reached

29.84%


29.84%

38,678,638

Position of previous notification (if

applicable)

27.03%


27.03%


 

8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii

ISIN code (if possible)

Number of voting rightsix

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

Direct

(Art 9 of Directive 2004/109/EC) (DTR5.1)

Indirect

(Art 10 of Directive 2004/109/EC) (DTR5.2.1)

GB0001216000


11,543,391


29.84%











11,543,391

29.84%

 

 

Expiration
date
x

Exercise/
Conversion Period
xi




















 

 

Expiration
date
x

Exercise/
Conversion Period
xi

settlementxii























 

 

 

 

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 control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuerxiii

X

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 entity
xiv (please add additional rows as necessary)


Namexv

% 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





















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

Bryan Huntley, CCO

804-525-1741

 

Richmond, VA

1/17/2020

 


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