-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RoUN57ICRqA2qqoMaAfHftlFhi7f1UtoMvU6WbgKH7coM5KcxJgdHYLMe1S2m1ks 0tb/mIQN8d0FTf4UE6r+6Q== 0000950103-09-001410.txt : 20090615 0000950103-09-001410.hdr.sgml : 20090615 20090615143539 ACCESSION NUMBER: 0000950103-09-001410 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090615 DATE AS OF CHANGE: 20090615 GROUP MEMBERS: UK FINANCIAL INVESTMENTS LTD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Lloyds Banking Group plc CENTRAL INDEX KEY: 0001160106 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84476 FILM NUMBER: 09891733 BUSINESS ADDRESS: STREET 1: 25 GRESHAM STREET CITY: LONDON EC2V 7HN STATE: X0 ZIP: 00000 BUSINESS PHONE: 44 0 20 7626 1500 MAIL ADDRESS: STREET 1: 25 GRESHAM STREET STREET 2: LONDON EC2V 7HN CITY: UNITED KINGDOM STATE: X0 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: LLOYDS TSB GROUP PLC DATE OF NAME CHANGE: 20010926 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HM Treasury CENTRAL INDEX KEY: 0001451785 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1 HORSE GUARDS ROAD CITY: LONDON, SW1A 2HQ STATE: X0 ZIP: 00000 BUSINESS PHONE: (44)20-7270-5665 MAIL ADDRESS: STREET 1: 1 HORSE GUARDS ROAD CITY: LONDON, SW1A 2HQ STATE: X0 ZIP: 00000 SC 13D/A 1 dp13794_sc13da.htm SCHEDULE 13D/A

UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION

Washington, D.C. 20549
 
 
SCHEDULE 13D/A
Amendment No. 2
(Rule 13d)

Under the Securities Exchange Act of 1934
 
Lloyds Banking Group plc
(Name of Issuer)

Ordinary Shares
(Title of Class of Securities)
 
539439109
(CUSIP Number)
 
Stephen Parker
1 Horse Guards Road
London
SW1A 2HQ
(+44) 20 7270 5665
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
June 8, 2009
(Date of Event which Requires Filing of this Statement)
 
HM Treasury;
UK Financial Investments Ltd
(Names of Reporting Persons)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-l(g), check the following box o.
 
 


 
Explanatory note: In lieu of providing the information called for by Schedule 13D, Her Majesty's Treasury is furnishing a copy of "TR- 1: Notifications of Major Interests in Shares", which is the standard form for any notification required to be delivered under the UK Disclosure Rules and Transparency Rules to an issuer whose shares are listed on a relevant European Economic Area market (and to the UK Financial Services Authority) following the acquisition or disposal of certain interests in the shares or voting rights in such issuer. The UK Disclosure Rules and Transparency Rules implement the European Transparency Directive (EU Directive 2004/109/EC). This modified Schedule 13D is filed pursuant to no-action relief granted by the Staff of the Securities and Exchange Commission in a no-action letter dated December 10, 2008.
 
 

 
 
 
For filings with the FSA include the annex  
For filings with issuer exclude the annex  
 
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
 
1. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached:
 
   Lloyds Banking Group plc
2. Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights
Yes
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached   
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
 
An event changing the breakdown of voting rights   
Other (please specify): ____________________ 
 
3. Full name of person(s) subject to notification obligation:
The Commissioners of Her Majesty's Treasury
4. Full name of shareholder(s) (if different from 3.):
The Solicitor for the Affairs of Her Majesty's Treasury
5. Date of the transaction and date on which the threshold is crossed or reached:
8 June 2009
6. Date on which issuer notified:
8 June 2009
7. Threshold(s) that is/are crossed or reached:
45%
 
 

 
 
2

8: Notified details
A: Voting rights attached to shares
Class/type
of shares
If possible using the ISIN CODE
Situation previous
to the triggering
transaction
Resulting situation after the triggering transaction
Number
of
Shares
Number
of
Voting
Rights
Number of
shares
Number of voting
rights
% of voting rights
 
Direct
Direct
Indirect
Direct
Indirect
GB0008706128
7,277,204,386
7,277,204,386
 
11,798,531,471
11,798,531,471
 
45.74%
 
 
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of
financial
instrument
Expiration
date
Exercise/
Conversion
Period
Number of voting rights
that may be acquired
if the instrument
is exercised/converted.
% of voting rights
         
 
 
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of
financial
instrument
 
Excercise
price
Expiration
date
Exercise/
Conversion
period
Number of voting rights instrument refers to
% of voting
rights
          Nominal Delta
             
 
 
Total (A+B+C)
 
Number of voting rights
Percentage of voting rights
11,798,531,471
45.74%

 

 
3
 
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable:
UK Financial Investments Limited, a company wholly-owned by Her Majesty's Treasury, is entitled to exercise control over the voting rights which are the subject of this notification (pursuant to certain management arrangements with Her Majesty's Treasury).
 
Proxy Voting:
10. Name of the proxy holder:
 
11. Number of voting rights proxy
holder will cease to hold:
 
12. Date on which proxy holder will
cease to hold voting rights:
 
 
13. Additional information:
The Solicitor for the Affairs of Her Majesty's Treasury is acting as nominee for Her Majesty's Treasury
14. Contact name:
Rebecca Lane
15. Contact telephone number:
020 7270 5665

 

 

 
SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: June 15, 2009
Her Majesty's Treasury, a department
of Her Majesty's Government of the
United Kingdom of Great Britain and
Northern Ireland
 
   
   
 
/s/ C. Maxwell
 
 
Signature
 
     
  C. Maxwell, Director Financial Stability   
 
Name and Title
 


 
UK Financial Investments Ltd
 
   
   
 
/s/ Kingman
 
 
Signature
 
     
 
J. Kingman, Chief Exective
 
 
Name and Title
 
 

 



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