0000950157-13-000331.txt : 20130920 0000950157-13-000331.hdr.sgml : 20130920 20130920063536 ACCESSION NUMBER: 0000950157-13-000331 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130920 DATE AS OF CHANGE: 20130920 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: 131106676 BUSINESS ADDRESS: STREET 1: 25 GRESHAM STREET CITY: LONDON STATE: X0 ZIP: EC2V 7HN BUSINESS PHONE: 44 0 20 7626 1500 MAIL ADDRESS: STREET 1: 25 GRESHAM STREET CITY: LONDON STATE: X0 ZIP: EC2V 7HN 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 sc13da.htm AMENDMENT NO. 4 sc13da.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 4)
 
 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 5666
 
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
 September 20, 2013
(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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ].
 
Explanatory note: In lieu of providing the information called for by Schedule 13D, Her Majesty's Treasury is furnishing a copy of “TR-1: Notification of Major Interest 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 FCA include the annex
 
  
For filings with issuer exclude the annex
 
  
 
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
 
 
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: ii
 
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 the
notification obligation: iii
 
The Commissioners of Her Majesty’s Treasury
4. Full name of shareholder(s)
(if different from 3.):iv
 
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: v
 
20 September 2013
6. Date on which issuer notified:
 
20 September 2013
7. Threshold(s) that is/are crossed or
reached: vi, vii
 
33%

 
 
 
 
 
 
 
 
 
8. Notified details:
 
A: Voting rights attached to shares viii, ix
 
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 x
Direct
 
Direct xi
 
Indirect xii
 
Direct
 
Indirect
 
GB0008706128
27,608,563,642
27,608,563,642
23,326,529,533
23,326,529,533
  
32.7%
  
 
 
B: Qualifying Financial Instruments
 
Resulting situation after the triggering transaction
Type of financial
instrument
Expiration
date xiii
Exercise/
Conversion Period xiv
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 xv, xvi
 
Resulting situation after the triggering transaction
 
Type of financial
instrument
Exercise price
Expiration date xvii
 Exercise/
Conversion period xviii
Number of voting rights instrument refers to
% of voting rights xix, xx
 
         
Nominal
Delta
   
 
 
 
Total (A+B+C)
 
Number of voting rights
 
Percentage of voting rights
23,326,529,533
 
32.7%

 
9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: xxi
 
 
 
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:
 
James Neilson
15. Contact telephone number:
 
020 7270 5813
 
 
For notes on how to complete form TR-1 please see the FCA website.

 
 
 
 
 

 
 
 
 

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.
 
Date:  September 20, 2013
 
 
Her Majesty’s Treasury, a department of Her Majesty’s Government of the United Kingdom of Great Britain and Northern Ireland
  
       
 
By:
/s/ Lowri Khan  
    Name: Lowri Khan   
    Title:   Director for Financial Stability  
       
 
 
 
UK Financial Investments Ltd
  
       
 
By:
/s/ Jim O’Neill  
    Name: Jim O’Neill   
    Title:   Chief Executive