Source - RNS
RNS Number : 5162D
NB Global Floating Rate Income Fund
19 February 2020
 

TR-1: S tandard 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 attached ii :

NB Global Floating Rate Income Fund Ltd

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

X

Other (please specify)iii:


3. Details of person subject to the notification obligation iv

Name

Brewin Dolphin Ltd

City and country of registered office (if applicable)

London, United Kingdom

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 reached vi :

17 February 2020

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

19/02/2020

7. Total positions of person(s) subject to the notification obligation


% 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 issuer vii

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

5.0091%

N/A

5.0091%

676,059,988

Position of previous notification (if

applicable)

4.8684%

N/A

4.8684%


 

 

 

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

A: Voting rights attached to shares

Class/type of
shares

ISIN code (if possible)

Number of voting rights ix

% of voting rights

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)

RED ORD NPV GBP

GG00B3KX4Q34

 

N/A

33,693,609

N/A

5.1863%

RED ORD NPV USD

GG00B3P7S359

 

N/A

171,207

N/A

0.6487%

SUBTOTAL 8. A

 

33,864,816

 

5.0091 %

 

 

B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))

Type of financial instrument

Expiration
date
x

Exercise/
Conversion Period
xi

Number of voting rights that may be acquired if the instrument is

exercised/converted.

% of voting rights


















SUBTOTAL 8. B 1



 

 

B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))

Type of financial instrument

Expiration
date
x

Exercise/
Conversion Period
xi

Physical or cash

settlement xii

Number of voting rights

% of voting rights






















SUBTOTAL 8.B.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 control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer xiii


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)

X

Name xv

% 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

RED ORD NPV GBP




Indirect - Brewin Nominees (Channel Islands) Limited - JPAL

0.1221%

N/A

0.1221%

Indirect - Brewin Nominees Limited  A/c NOM

3.4969%

N/A

3.4969%

Indirect - Brewin Nominees Limited  A/c GROSS

0.8231%

N/A

0.8231%

Indirect - Brewin Nominees Limited A/c CHARITY

0.7442%

N/A

0.7442%

TOTAL



5.1863%

RED ORD NPV USD




Indirect - Brewin Nominees (Channel Islands) Limited - JPAL

0.1767%

N/A

0.1767%

Indirect - Brewin Nominees Limited A/c NOM

0.4152%

N/A

0.4152%

Indirect - Brewin Nominees Limited  A/c GROSS

0.0568%

N/A

0.0568%

TOTAL



0.6487%


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 information xvi

Figures based on voting rights in issue as stated on 17/02/20 of 676,059,988 (406,041,795 Sterling shares at a ratio of 1.6 votes per share & 26,393,116 US Dollar Shares).

Disclosure trigger due to a vertical aggregation positional change from 4.8684% to 5.0091% which has moved through the 5% reporting threshold on a discretionary basis.

 

The indirect voting rights under (9) relate to shares held in client portfolios, managed by those firms, under discretionary investment management agreements. 

 

Place of completion

Newcastle upon Tyne

Date of completion

19 February 2020

 


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