Pearson PLC — Regulatory Filings 2018

Nov 27, 2018

6-K 1 a6414i.htm HOLDING(S) IN COMPANY Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2018 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 November 2018

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: Standard form for notification of major holdings

| NOTIFICATION OF MAJOR HOLDINGS (to
be sent to the relevant issuer and to
the FCA in Microsoft Word format if possible) i — 1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached ii : | | Pearson plc | | |
| --- | --- | --- | --- | --- |
| 1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X"
if appropriate) | | | | |
| Non-UK issuer | | | | |
| 2. Reason for the notification (please mark the appropriate box or boxes with an
"X") | | | | |
| An acquisition or disposal of voting rights | | | | |
| An acquisition or disposal of financial instruments | | | | |
| An event changing the breakdown of voting rights | | | | X |
| Other (please specify) iii : | | | | |
| 3. Details of person subject to the notification
obligation iv | | | | |
| Name | | The Goldman Sachs Group, Inc. | | |
| City and country of registered office (if applicable) | | Corporation Trust Center, 1209 Orange Street, Wilmington DE 19801, USA | | |
| 4. Full name of shareholder(s) (if different from 3.) v | | | | |
| Name | | Goldman Sachs International | | |
| City and country of registered office (if applicable) | | Peterborough Court, 133 Fleet Street, London EC4A 2BB, UK | | |
| 5. Date on which the threshold was crossed or
reached vi : | | 22/11/2018 | | |
| 6. Date on which issuer notified (DD/MM/YYYY): | | 26/11/2018 | | |
| 7. Total positions of person(s) subject to the notification
obligation | | | | |
| | % of voting rights attached to shares (total of 8. A) | % of voting rights through financial instruments(total of 8.B 1 + 8.B 2) | Total of both in % (8.A + 8.B) | Total number of voting rights of issuer vii |
| Resulting situation on the date on which threshold was crossed or
reached | 0.69% | 6.03% | 6.72% | 781,067,196 |
| Position of previous notification (if applicable) | 0.57% | 5.93% | 6.50% | |

| 8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached viii | | | | | |
| --- | --- | --- | --- | --- | --- |
| A: Voting rights attached to shares | | | | | |
| Class/type ofshares ISIN code (if possible) | Number of voting rights ix | | % of voting rights | | |
| | Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) | Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) | | Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) |
| GB0006776081 | | 5,028,217 | | | 0.64% |
| US7050151056 | | 349,573 | | | 0.04% |
| SUBTOTAL 8. A | 5,377,790 | | 0.69% | | |
| B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a)) | | | | | |
| Type of financial instrument | Expirationdate x | Exercise/Conversion Period xi | Number of voting rights that may be acquired if the instrument
is exercised/converted. | | % of voting rights |
| Securities Lending | Open | | 16,216,291 | | 2.08% |
| Put Option | 15-Mar-2019 | | 1,000,000 | | 0.13% |
| Put Option | 15-Feb-2019 | | 1,000,000 | | 0.13% |
| Put Option | 15-Mar-2019 | | 1,000,000 | | 0.13% |
| Call Option | 21-Dec-2018 | | 400,000 | | 0.05% |
| | | SUBTOTAL 8. B 1 | 19,616,291 | | 2.51% |
| B 2: Financial Instruments with similar economic effect according
to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b)) | | | | | |
| Type of financial instrument | Expirationdate x | Exercise/Conversion Period xi | Physical or cash settlement xii | Number of voting rights | % of voting rights |
| Refer to Annexure | | | | | |
| | | | SUBTOTAL 8.B.2 | 27,493,152 | 3.52% |

| 9. Information in relation to the person subject to the
notification obligation (please mark the applicable box with an "X") | | | |
| --- | --- | --- | --- |
| 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) issuer xiii | | | |
| Full chain of controlled
undertakings through which the voting rights and/or thefinancial
instruments are effectively held starting with the ultimate
controlling natural person or legal entity xiv (please
add additional rows as necessary) | | | X |
| Name xv | % of voting rights if it equals or is higher than the notifiable
threshold | % of voting rights through financial instruments if it equals or is higher than the notifiable
threshold | Total of both if it equals or is higher than the notifiable
threshold |
| The Goldman Sachs Group, Inc. | | | |
| Goldman Sachs (UK) LLC | | | |
| Goldman Sachs Group UK Limited | | | |
| Goldman Sachs International | | 3.91% | 4.02% |
| The Goldman Sachs Group, Inc. | | | |
| Goldman Sachs & Co. LLC | | | |
| The Goldman Sachs Group, Inc. | | | |
| GSAM Holdings LLC | | | |
| Goldman Sachs Asset Management, L.P. | | | |
| Goldman Sachs Asset Management International Holdings
L.L.C. | | | |
| Goldman Sachs Asset Management Co., Ltd. | | | |
| The Goldman Sachs Group, Inc. | | | |
| GSAM Holdings LLC | | | |
| Goldman Sachs Asset Management, L.P. | | | |
| 10. In
case of proxy voting, please identify: | | | |
| Name of the proxy holder | | N/A | |
| The number and % of voting rights held | | N/A | |
| The date until which the voting rights will be held | | N/A | |
| 11. Additional information xvi | | | |
| Please note, total amount of voting rights have been rounded to 2
decimal places therefore there is a possibility of a rounding
error. General email contact: gs-regops-emea-position-enquiries@gs.com | | | |

Place of completion	London, UK
Date of completion	26/11/2018

Natalie White

Deputy Company Secretary

27 November 2018

Annexure
B 2: Financial Instruments with similar economic effect according
to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b))
Type of financial instrument	Expiration date x	Exercise/Conversion
period xi	Physical or cash
settlement xii	Number of voting rights	% of voting rights
CFD	10-Dec-2025		Cash	3,813,742	0.49%
CFD	23-Sep-2020		Cash	2,464,000	0.32%
CFD	13-Nov-2028		Cash	1,771,083	0.23%
Swap	7-May-2019		Cash	1,765,458	0.23%
CFD	20-Oct-2027		Cash	1,207,888	0.15%
Swap	28-Jul-2021		Cash	1,096,212	0.14%
Swap	28-Jul-2021		Cash	757,148	0.10%
CFD	15-Sep-2028		Cash	743,664	0.10%
CFD	9-Sep-2021		Cash	711,542	0.09%
Swap	21-May-2019		Cash	601,165	0.08%
Call Option	9-Jan-2019		Cash	510,021	0.07%
Swap	12-Oct-2023		Cash	397,330	0.05%
CFD	15-Nov-2028		Cash	368,890	0.05%
Call Option	15-Jan-2019		Cash	359,285	0.05%
CFD	17-Nov-2028		Cash	338,900	0.04%
Swap	7-May-2019		Cash	334,044	0.04%
CFD	15-Jul-2021		Cash	328,703	0.04%
CFD	16-Jun-2028		Cash	328,703	0.04%
CFD	21-Jun-2028		Cash	322,539	0.04%
CFD	20-Oct-2027		Cash	308,401	0.04%
CFD	20-Oct-2027		Cash	308,140	0.04%
Call Option	11-Jan-2019		Cash	293,323	0.04%
CFD	24-Mar-2028		Cash	259,000	0.03%
Swap	7-May-2019		Cash	254,607	0.03%
CFD	19-May-2027		Cash	253,415	0.03%
Swap	3-Feb-2023		Cash	250,801	0.03%
CFD	20-Oct-2021		Cash	232,000	0.03%
CFD	27-Sep-2028		Cash	217,594	0.03%
CFD	13-Nov-2028		Cash	209,331	0.03%
CFD	9-Sep-2021		Cash	208,879	0.03%
CFD	23-Aug-2028		Cash	204,000	0.03%
Swap	28-Jul-2021		Cash	203,317	0.03%
Swap	2-Feb-2023		Cash	198,606	0.03%
Swap	28-Jul-2021		Cash	170,231	0.02%
CFD	12-Jul-2023		Cash	158,153	0.02%
CFD	25-Apr-2019		Cash	157,463	0.02%
CFD	12-Jun-2028		Cash	156,757	0.02%
Call Option	8-Feb-2019		Cash	149,508	0.02%
CFD	24-Nov-2028		Cash	139,982	0.02%
Call Option	19-Feb-2019		Cash	138,618	0.02%
CFD	22-Nov-2028		Cash	134,667	0.02%
Swap	28-Jul-2021		Cash	131,070	0.02%
CFD	17-Nov-2028		Cash	125,499	0.02%
Swap	7-May-2019		Cash	122,711	0.02%
CFD	25-Feb-2027		Cash	122,707	0.02%
Swap	17-Sep-2020		Cash	122,290	0.02%
CFD	17-Nov-2028		Cash	121,696	0.02%
CFD	10-Mar-2028		Cash	118,261	0.02%
Swap	3-Feb-2023		Cash	117,797	0.02%
CFD	15-Nov-2028		Cash	116,110	0.01%
Swap	13-Oct-2023		Cash	113,548	0.01%
Swap	22-Mar-2019		Cash	113,300	0.01%
Swap	2-Feb-2023		Cash	93,281	0.01%
CFD	17-Jul-2028		Cash	92,500	0.01%
CFD	1-Mar-2028		Cash	92,210	0.01%
Swap	14-Jun-2023		Cash	86,565	0.01%
Swap	12-Jul-2023		Cash	84,590	0.01%
CFD	18-Nov-2019		Cash	82,500	0.01%
CFD	26-Nov-2021		Cash	80,948	0.01%
CFD	11-Aug-2023		Cash	77,077	0.01%
CFD	24-Nov-2028		Cash	75,018	0.01%
Swap	7-Jul-2023		Cash	73,094	0.01%
CFD	25-Apr-2019		Cash	69,385	0.01%
Swap	7-May-2019		Cash	69,326	0.01%
Swap	3-Feb-2023		Cash	68,758	0.01%
CFD	20-Nov-2028		Cash	68,454	0.01%
CFD	5-Nov-2027		Cash	64,825	0.01%
CFD	17-Nov-2028		Cash	64,651	0.01%
CFD	10-Jul-2019		Cash	63,409	0.01%
Swap	15-Jun-2023		Cash	57,709	0.01%
CFD	20-Nov-2028		Cash	57,045	0.01%
CFD	1-Mar-2028		Cash	56,462	0.01%
Swap	5-Sep-2019		Cash	55,700	0.01%
Swap	7-May-2019		Cash	55,357	0.01%
CFD	17-Jul-2028		Cash	55,000	0.01%
Swap	2-Feb-2023		Cash	54,448	0.01%
Swap	5-Sep-2019		Cash	53,400	0.01%
CFD	10-Mar-2028		Cash	49,243	0.01%
CFD	27-Oct-2027		Cash	49,092	0.01%
Swap	1-Feb-2023		Cash	43,214	0.01%
CFD	25-Apr-2019		Cash	41,002	0.01%
Swap	14-Jun-2023		Cash	40,052	0.01%
CFD	17-Nov-2028		Cash	39,501	0.01%
CFD	17-Nov-2028		Cash	38,304	0.005%
CFD	22-Nov-2028		Cash	38,030	0.005%
Swap	12-Jul-2023		Cash	37,897	0.005%
CFD	17-Nov-2028		Cash	36,622	0.005%
CFD	17-Jul-2023		Cash	34,800	0.004%
CFD	21-Jul-2028		Cash	34,000	0.004%
Swap	7-Jul-2023		Cash	32,746	0.004%
CFD	14-Jan-2021		Cash	31,573	0.004%
CFD	14-Jul-2023		Cash	30,500	0.004%
Swap	12-Jun-2023		Cash	30,225	0.004%
CFD	25-Feb-2027		Cash	29,702	0.004%
CFD	30-Oct-2028		Cash	28,773	0.004%
Swap	15-Jun-2023		Cash	26,702	0.003%
CFD	1-Nov-2028		Cash	26,197	0.003%
CFD	13-Sep-2028		Cash	26,000	0.003%
CFD	6-Jul-2023		Cash	25,488	0.003%
CFD	1-Nov-2028		Cash	25,474	0.003%
CFD	27-Feb-2023		Cash	25,316	0.003%
CFD	25-Apr-2019		Cash	24,541	0.003%
CFD	14-Jan-2021		Cash	24,372	0.003%
CFD	26-Nov-2021		Cash	24,179	0.003%
Swap	14-Jun-2023		Cash	23,383	0.003%
Swap	12-Jul-2023		Cash	22,173	0.003%
CFD	25-Sep-2028		Cash	21,600	0.003%
CFD	20-Nov-2028		Cash	21,546	0.003%
CFD	21-Jan-2028		Cash	20,776	0.003%
CFD	17-Nov-2028		Cash	20,349	0.003%
Swap	1-Feb-2023		Cash	20,297	0.003%
Swap	7-Jul-2023		Cash	19,160	0.002%
CFD	27-Feb-2023		Cash	19,063	0.002%
CFD	17-Jul-2023		Cash	18,700	0.002%
CFD	20-Nov-2028		Cash	17,955	0.002%
Swap	28-Mar-2019		Cash	16,200	0.002%
Swap	22-May-2020		Cash	16,129	0.002%
Swap	30-Apr-2019		Cash	15,800	0.002%
Swap	22-May-2020		Cash	15,796	0.002%
Swap	15-Jun-2023		Cash	15,589	0.002%
Swap	7-May-2019		Cash	15,291	0.002%
Swap	17-Sep-2020		Cash	15,102	0.002%
CFD	11-Nov-2020		Cash	15,090	0.002%
CFD	21-Jul-2028		Cash	15,000	0.002%
CFD	18-Sep-2019		Cash	15,000	0.002%
Swap	28-Nov-2018		Cash	14,300	0.002%
Swap	12-Jun-2023		Cash	13,985	0.002%
CFD	25-Apr-2019		Cash	12,660	0.002%
Swap	3-Nov-2021		Cash	12,609	0.002%
Swap	22-May-2020		Cash	12,597	0.002%
CFD	21-Oct-2021		Cash	12,519	0.002%
CFD	20-Nov-2028		Cash	12,400	0.002%
CFD	22-Nov-2028		Cash	11,970	0.002%
Swap	1-Feb-2023		Cash	11,847	0.002%
CFD	26-Jun-2019		Cash	11,475	0.001%
Swap	29-Nov-2018		Cash	10,900	0.001%
CFD	28-Oct-2020		Cash	10,812	0.001%
Swap	6-Feb-2019		Cash	10,500	0.001%
CFD	27-Nov-2019		Cash	10,110	0.001%
Swap	12-Oct-2023		Cash	8,622	0.001%
Swap	12-Jun-2023		Cash	8,165	0.001%
Swap	22-May-2020		Cash	7,925	0.001%
CFD	25-Apr-2019		Cash	7,650	0.001%
Swap	22-May-2020		Cash	7,437	0.001%
Swap	22-May-2020		Cash	6,834	0.001%
CFD	27-Nov-2019		Cash	6,740	0.001%
Swap	22-May-2020		Cash	6,153	0.001%
CFD	20-Nov-2028		Cash	5,772	0.001%
CFD	15-Dec-2027		Cash	5,000	0.001%
CFD	8-Mar-2028		Cash	5,000	0.001%
CFD	12-May-2028		Cash	5,000	0.001%
CFD	3-Nov-2028		Cash	4,984	0.001%
Swap	22-May-2020		Cash	4,774	0.001%
CFD	27-Oct-2028		Cash	4,511	0.001%
CFD	27-Jan-2028		Cash	4,182	0.001%
Swap	22-May-2020		Cash	3,941	0.001%
Swap	3-Nov-2021		Cash	3,634	0.0005%
CFD	25-Apr-2019		Cash	3,060	0.0004%
Swap	22-May-2020		Cash	3,050	0.0004%
CFD	2-Nov-2028		Cash	2,900	0.0004%
Swap	22-May-2020		Cash	2,857	0.0004%
Swap	3-Nov-2021		Cash	2,556	0.0003%
CFD	28-Oct-2020		Cash	2,350	0.0003%
CFD	28-Oct-2020		Cash	2,350	0.0003%
Swap	3-Nov-2021		Cash	2,214	0.0003%
Swap	22-May-2020		Cash	1,768	0.0002%
CFD	27-Feb-2023		Cash	1,751	0.0002%
CFD	25-Oct-2028		Cash	1,629	0.0002%
CFD	23-Nov-2028		Cash	1,600	0.0002%
CFD	26-Oct-2028		Cash	1,547	0.0002%
CFD	21-May-2020		Cash	1,302	0.0002%
CFD	16-Nov-2028		Cash	1,259	0.0002%
CFD	15-Nov-2028		Cash	1,100	0.0001%
CFD	27-Jan-2028		Cash	951	0.0001%
CFD	22-Nov-2028		Cash	836	0.0001%
CFD	18-Sep-2028		Cash	786	0.0001%
CFD	20-Nov-2028		Cash	532	0.0001%
CFD	22-Nov-2028		Cash	500	0.0001%
Swap	22-May-2020		Cash	461	0.0001%
Swap	22-May-2020		Cash	419	0.0001%
CFD	8-Nov-2028		Cash	400	0.0001%
CFD	22-Nov-2028		Cash	400	0.0001%
Swap	22-May-2020		Cash	329	0.00004%
Swap	22-May-2020		Cash	323	0.00004%
CFD	9-Nov-2028		Cash	300	0.00004%
CFD	10-Nov-2028		Cash	300	0.00004%
CFD	15-Nov-2028		Cash	300	0.00004%
CFD	27-Sep-2028		Cash	123	0.00002%
CFD	5-Oct-2028		Cash	122	0.00002%
CFD	22-Nov-2028		Cash	100	0.00001%
CFD	27-Sep-2028		Cash	90	0.00001%
CFD	6-Oct-2028		Cash	82	0.00001%
CFD	23-Nov-2028		Cash	63	0.00001%
CFD	2-Oct-2028		Cash	61	0.00001%
CFD	23-Oct-2028		Cash	19	0.000002%
Total Number of voting rights and percentage of voting
rights				27,493,152	3.52%
Additional information: Please note, total amount of voting rights
have been rounded to 2 decimal places therefore there is a
possibility of a rounding error.

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: 27
November 2018
By: /s/
NATALIE WHITE
------------------------------------
Natalie
White
Deputy
Company Secretary

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