0001104659-15-018464.txt : 20150310 0001104659-15-018464.hdr.sgml : 20150310 20150310132820 ACCESSION NUMBER: 0001104659-15-018464 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150310 DATE AS OF CHANGE: 20150310 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: 15688166 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 a15-6524_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 


 

 

SCHEDULE 13D/A

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 7)

 


 

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)

 


 

March 6, 2015

(Date of Event Which Requires Filing of this Statement)

HM Treasury;

UKFinancial 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 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: 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.

 



 

TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES(i)

 

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)

 

6 March 2015

 

 

 

6. Date on which issuer notified:

 

6 March 2015

 

 

 

7. Threshold(s) that is/are crossed or reached: (vi), (vii)

 

Below 23%

 

2



 

8. Notified details:

 

A: Voting rights attached to shares (viii), (ix)

 

 

 

Situation previous

 

 

 

 

 

 

 

 

 

 

 

 

 

to the triggering

 

 

 

 

 

 

 

 

 

 

 

 

 

transaction

 

Resulting situation after the triggering transaction

 

Class/type of

 

 

 

Number

 

Number

 

Number of voting

 

 

 

 

 

shares

 

Number

 

of

 

of shares

 

rights

 

% of voting rights (x)

 

if possible using

the ISIN CODE

 

of

Shares

 

Voting
Rights

 

Direct

 

Direct (xi)

 

Indirect

(xii)

 

Direct

 

Indirect

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GB0008706128

 

16,493,236,171

 

16,493,236,171

 

16,403,797,161

 

16,403,797,161

 

 

 

22.98

%

 

 

 

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

 

16,403,797,161

 

22.98

%

 

3



 

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

 

4



 

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: March 10, 2015

 

 

Her Majesty’s Treasury, a department of Her Majesty’s Government of the United Kingdom of Great Britain and Northern Ireland

 

 

 

 

By:

/s/ Donna Leong

 

 

Name: Donna Leong

 

 

Title: Deputy Director, State-Owned Financial Assets Team

 

 

 

 

 

 

 

UKFinancial Investments Ltd

 

 

 

 

By:

/s/ Oliver Holbourn

 

 

Name: Oliver Holbourn

 

 

Title: Head of Market Investments (UKFI)

 

5