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Pearson PLC — Regulatory Filings 2014
Oct 8, 2014
5260_ffr_2014-10-08_ce3a62ad-7613-45c2-b4c6-776954d52357.zip
Regulatory Filings
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6-K 1 pson201410086k.htm HOLDING(S) IN COMPANY pson201410086k.htm Licensed to: LSE Document Created using EDGARizer 2020 5.4.1.0 Copyright 1995 - 2009 Thomson Reuters. All rights reserved.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16 UNDER
THE SECURITIES EXCHANGE ACT OF 1934
For the month of October 2014
PEARSON plc
(Exact name of registrant as specified in its charter)
N/A
(Translation of registrant's name into English)
80 Strand
London, England WC2R 0RL
44-20-7010-2000
(Address of principal executive office)
Indicate by check mark whether the Registrant files or will file annual reports
under cover of Form 20-F or Form 40-F:
Form 20-F X Form 40-F
Indicate by check mark whether the Registrant by furnishing the information
contained in this Form is also thereby furnishing the information to the
Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934
Yes No X
| For filings with the FCA include the annex |
|---|
| For filings with issuer exclude the annex |
| TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES i |
- Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: ii Pearson plc
| 2 Reason for the notification (please tick the appropriate box or boxes): | |
|---|---|
| An acquisition or disposal of voting rights | X |
| 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 | Harbor International Fund (a series of Harbor Funds, a Delaware Statutory Trust) |
|---|---|
| 4. Full name of shareholder(s) (if different from 3.): iv | |
| 5. Date of the transaction and date on which the threshold is crossed or reached: v | Trade date: 7 October 2014 Settlement date: 9 October 2014 |
| 6. Date on which issuer notified: | 7 October 2014 |
| 7. Threshold(s) that is/are crossed or reached: vi, vii | Below 3% of the total voting rights of the issuer |
| 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 | |||
| Ordinary shares GB0006776081 | 25,012,155 | 25,012,155 | 24,480,701 | 24,480,701 | N/A | 2.986% | N/A |
| 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 |
| N/A | N/A | N/A | N/A | N/A |
| 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 | |
| N/A | N/A | N/A | N/A | N/A | Nominal | Delta |
| N/A | N/A |
| Total (A+B+C) | |
|---|---|
| Number of voting rights | Percentage of voting rights |
| 24,480,701 | 2.986% |
| 9. Chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held, if applicable: xxi |
|---|
| N/A |
| Proxy Voting: | |
|---|---|
| 10. Name of the proxy holder: | N/A |
| 11. Number of voting rights proxy holder will cease to hold: | N/A |
| 12. Date on which proxy holder will cease to hold voting rights: | N/A |
| 13. Additional information: | Completed in Chicago, Illinois, USA on 7 October 2014 |
|---|---|
| 14. Contact name: | Charles F. McCain, Esq. Chief Compliance Officer |
| 15. Contact telephone number: | 1-312-443-4420 |
Natalie Dale
Assistant Company Secretary
Pearson plc
8 October 2014
Date: 08 October 2014
By: /s/ STEPHEN JONES
Stephen Jones
Deputy Secretary