Exhibit
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Description
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Exhibit 1
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Press Release entitled “SFO Closes Investigation Into BAT” dated January 15, 2021.
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Exhibit 2 |
Press Release entitled “British American Tobacco p.l.c. - TR-1: Notification of major holdings” dated January 15, 2021. |
British American Tobacco p.l.c.
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By:
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/s/ Oliver Martin
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Name: |
Oliver Martin |
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Title: |
Assistant Secretary
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1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii:
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British American Tobacco p.l.c.
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1b. Please indicate if the issuer is a non-UK issuer (please mark with an “X” if appropriate)
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Non-UK issuer
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2. Reason for the notification (please mark the appropriate box or boxes with an “X”)
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An acquisition or disposal of voting rights
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X
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An acquisition or disposal of financial instruments
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X
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An event changing the breakdown of voting rights
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Other (please specify)iii:
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3. Details of person subject to the notification obligationiv
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Name
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Spring Mountain Investments Ltd.
Northfield Investments Limited
LBS Limited
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City and country of registered office (if applicable)
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Grand Cayman, Cayman Islands
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4. Full name of shareholder(s) (if different from 3)v
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Name
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N/A
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City and country of registered office (if applicable)
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5. Date on which the threshold was crossed or reachedvi:
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January 12 2021
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6. Date on which issuer notified (DD/MM/YYYY):
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January 14 2021
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7. Total positions of person(s) subject to the notification obligation
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% of voting rights
attached to shares
(total of 8. A)
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% of voting rights
through financial instruments
(total of 8.B 1 + 8.B 2)
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Total of both in %
(8.A + 8.B)
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Total number of
voting rights of issuervii
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Resulting situation on the date on which threshold was crossed or reached
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4.8179%
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0.2206%
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5.0386%
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2,294,244,351
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Position of previous notification
(if applicable)
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3.8718%
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0.1584%
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4.0302%
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8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii
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A: Voting rights attached to shares
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Class/type of shares
ISIN code (if possible)
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Number of voting rightsix
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% of voting rights
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Direct
(Art 9 of Directive 2004/109/EC)
(DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC)
(DTR5.2.1)
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Direct
(Art 9 of Directive 2004/109/EC)
(DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC)
(DTR5.2.1)
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Ordinary Shares
(ISIN:GB0002875804)
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106,561,197
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4.6447%
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ADRs
(ISIN: US1104481072)
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3,973,516
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0.1732%
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SUBTOTAL 8. A
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110,534,713
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4.8179%
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a))
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Type of financial instrument
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Expiration
datex |
Exercise/
Conversion Periodxi |
Number of voting rights that may be acquired if the instrument is
exercised/converted.
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% of voting rights
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N/A
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SUBTOTAL 8. B 1
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B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
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Type of financial instrument
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Expiration
datex |
Exercise/
Conversion Period xi |
Physical or cash
settlementxii
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Number of voting rights
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% of voting rights
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Total Return Swap
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December 10, 2021
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Cash
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5,062,024
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0.2206%
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SUBTOTAL 8.B.2
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5,062,024
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0.2206%
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9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an “X”)
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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
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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 entityxiv (please add additional rows as necessary)
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X
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Namexv
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% of voting rights if it equals or is higher than the notifiable threshold
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% of voting rights through financial instruments if it equals or is higher than the notifiable threshold
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Total of both if it equals or is higher than the notifiable threshold
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Kenneth Bryan Dart
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Portfolio Services Ltd.
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Spring Mountain Investments Ltd.
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4.4605%
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0.00%
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4.4605%
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Northfield Investments Limited
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LBS Limited
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10. In case of proxy voting, please identify:
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Name of the proxy holder
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N/A
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The number and % of voting rights held
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N/A
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The date until which the voting rights will be held
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N/A
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11. Additional informationxvi
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Place of completion
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Grand Cayman, Cayman Islands
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Date of completion
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January 14, 2021
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