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Pearson PLC — Regulatory Filings 2017
Feb 15, 2017
5260_ffr_2017-02-15_193f5943-8d9b-41e0-95d7-212415bd083a.zip
Regulatory Filings
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6-K 1 a9504w.htm HOLDING(S) IN COMPANY Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2017 Issuer Direct Corporation Blueprint
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 February 2017
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
| TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES i | |
|---|---|
| 1. Identity of the issuer or the underlying issuerof existing | |
| shares to which voting rights areattached: 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 thenotification obligation: iii | BlackRock, |
| Inc. | |
| 4. Full | |
| name of shareholder(s) (if different from 3.): iv | |
| 5. Date | |
| of the transaction and date onwhich the threshold is crossed | |
| orreached: v | 13 |
| February, 2017 | |
| 6. Date | |
| on which issuer notified: | 14 |
| February, 2017 | |
| 7. | |
| Threshold(s) that is/are crossed orreached: vi, vii | Voting |
| rights attached to shares holding for BlackRock, Inc. has | |
| gone above 5% |
| 8.
Notified details: | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| A:
Voting rights attached to shares viii, ix | | | | | | | |
| Class/type
ofshares if
possible usingthe ISIN CODE | Situation
previousto the triggeringtransaction | | Resulting
situation after the triggering transaction | | | | |
| | NumberofShares | NumberofVotingRights | Numberof
shares | Number
of votingrights | | % of
voting rights x | |
| | | | Direct | Direct xi | Indirect xii | Direct | Indirect |
| GB0006776081 | 40,771,533 | 40,771,533 | N/A | N/A | 41,834,699 | N/A | 5.08% |
| B:
Qualifying Financial Instruments | | | | | | | |
| Resulting
situation after the triggering transaction | | | | | | | |
| Type of
financialinstrument | Expirationdate xiii | Exercise/Conversion
Period xiv | | Number
of votingrights that may beacquired if theinstrument isexercised/
converted. | | % of
votingrights | |
| Securities
Lending | N/A | N/A | | 15,141,712 | | 1.84% | |
| C:
Financial Instruments with similar economic effect to Qualifying
Financial Instruments xv, xvi | | | | | | | |
| Resulting
situation after the triggering transaction | | | | | | | |
| Type of
financialinstrument | Exercise
price | Expiration
date xvii | Exercise/Conversion
period xviii | Number
of voting rights instrument refers to | % of
voting rights xix, xx | | |
| CFD | N/A | N/A | N/A | 359,697 | Nominal | | Delta |
| | | | | | 0.04% | | 0.04% |
| Total (A+B+C) | | | | | | | |
| Number
of voting rights | | | | Percentage
of voting rights | | | |
| 57,336,108 | | | | 6.97% | | | |
| 9. Chain of controlled undertakings through which the voting rights
and/or thefinancial instruments are effectively held, if
applicable: xxi |
| --- |
| See
Annex 1 |
| 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: | BlackRock |
| Regulatory Threshold Reporting Team | |
| 14. Contact name: | Marc-Oliver |
| Lesch | |
| 15. Contact telephone number: | 020 |
| 7743 3650 |
Natalie Dale
Deputy Company Secretary
Pearson plc
15 February 2017
Annex 1
| Name |
|---|
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| Holdco 4, LLC |
| BlackRock |
| Holdco 6, LLC |
| BlackRock |
| Delaware Holdings Inc. |
| BlackRock |
| Fund Advisors |
| BlackRock |
| Institutional Trust Company, National Association |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| Group Limited |
| BlackRock |
| Advisors (UK) Limited |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| Group Limited |
| BlackRock |
| Investment Management (UK) Limited |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| Australia Holdco Pty. Ltd. |
| BlackRock |
| Investment Management (Australia) Limited |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| (Singapore) Holdco Pte. Ltd. |
| BlackRock |
| Asia-Pac Holdco, LLC |
| BlackRock |
| HK Holdco Limited |
| BlackRock |
| Cayco Limited |
| BlackRock |
| Trident Holding Company Limited |
| BlackRock |
| Japan Holdings GK |
| BlackRock |
| Japan Co., Ltd. |
| BlackRock, |
| Inc. |
| Trident |
| Merger, LLC |
| BlackRock |
| Investment Management, LLC |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| Holdco 3, LLC |
| BlackRock |
| Canada Holdings LP |
| BlackRock |
| Canada Holdings ULC |
| BlackRock |
| Asset Management Canada Limited |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| Holdco 4, LLC |
| BlackRock |
| Holdco 6, LLC |
| BlackRock |
| Delaware Holdings Inc. |
| BlackRock |
| Fund Advisors |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| Capital Holdings, Inc. |
| BlackRock |
| Advisors, LLC |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| (Singapore) Holdco Pte. Ltd. |
| BlackRock |
| (Singapore) Limited |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| Group Limited |
| BlackRock |
| International Limited |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| Group Limited |
| BlackRock |
| Investment Management (UK) Limited |
| BlackRock |
| Asset Management Deutschland AG |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| (Singapore) Holdco Pte. Ltd. |
| BlackRock |
| Asia-Pac Holdco, LLC |
| BlackRock |
| HK Holdco Limited |
| BlackRock |
| Asset Management North Asia Limited |
| BlackRock, |
| Inc. |
| BlackRock |
| Holdco 2, Inc. |
| BlackRock |
| Financial Management, Inc. |
| BlackRock |
| International Holdings, Inc. |
| BR |
| Jersey International Holdings L.P. |
| BlackRock |
| Group Limited |
| BlackRock |
| (Netherlands) B.V. |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Date: 15 |
| February 2017 |
| By: /s/ |
| NATALIE DALE |
| ------------------------------------ |
| Natalie |
| Dale |
| Deputy |
| Company Secretary |
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