Pearson PLC — Regulatory Filings 2018

Oct 15, 2018

6-K 1 a0370e.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 October 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

| 1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are
attached: | | | | |
| --- | --- | --- | --- | --- |
| 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 :
i. Type 1 Disclosure as per the Transparency Directive II
Regulation | | | | |
| 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 : | | 10/10/2018 | | |
| 6. Date on which issuer notified (DD/MM/YYYY): | | 12/10/2018 | | |
| 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 | 0.50% | 6.19% | 6.69% | 781,064,746 |
| Position of previous notification (if applicable) | 0.60% | 5.47% | 6.06% | |

| 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 | | 3,591,794 | | 0.46% | |
| US7050151056 | | 301,885 | | 0.04% | |
| SUBTOTAL 8. A | 3,893,679 | | 0.50% | | |
| 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 | | 19,349,109 | 2.48% | |
| Call Option | 21-Dec-2018 | | 400,000 | 0.05% | |
| | | SUBTOTAL 8. B 1 | 19,749,109 | 2.53% | |
| 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 the Annexure | | | | | |
| | | | SUBTOTAL 8.B.2 | 28,622,117 | 3.66% |

| 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) L.L.C. | | | |
| Goldman Sachs Group UK Limited | | | |
| Goldman Sachs International | | 3.64% | 3.64% |
| 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	12/10/2018

Natalie White

Deputy Company Secretary

Pearson plc

15 October 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	3,850,190	0.49%
CFD	23-Sep-2020		Cash	2,464,000	0.32%
CFD	10-Apr-2028		Cash	2,116,003	0.27%
Swap	7-May-2019		Cash	1,896,936	0.24%
CFD	15-Sep-2028		Cash	1,745,000	0.22%
CFD	20-Oct-2027		Cash	1,505,835	0.19%
Swap	28-Jul-2021		Cash	1,096,212	0.14%
CFD	9-Sep-2021		Cash	820,388	0.11%
Swap	28-Jul-2021		Cash	757,148	0.10%
Swap	21-May-2019		Cash	622,194	0.08%
CFD	12-Oct-2028		Cash	593,776	0.08%
CFD	29-Oct-2027		Cash	525,035	0.07%
CFD	20-Oct-2027		Cash	384,473	0.05%
CFD	20-Oct-2027		Cash	384,147	0.05%
CFD	27-Oct-2027		Cash	373,164	0.05%
Swap	7-May-2019		Cash	344,973	0.04%
CFD	16-Jun-2028		Cash	328,703	0.04%
CFD	15-Jul-2021		Cash	328,703	0.04%
Swap	7-May-2019		Cash	262,835	0.03%
CFD	19-May-2027		Cash	253,415	0.03%
Swap	3-Feb-2023		Cash	250,801	0.03%
CFD	10-Apr-2028		Cash	249,676	0.03%
CFD	9-Sep-2021		Cash	241,924	0.03%
CFD	24-Mar-2028		Cash	219,000	0.03%
CFD	21-Jun-2028		Cash	218,357	0.03%
CFD	27-Sep-2028		Cash	217,594	0.03%
CFD	23-Aug-2028		Cash	204,000	0.03%
Swap	28-Jul-2021		Cash	203,317	0.03%
Swap	12-Oct-2023		Cash	200,000	0.03%
Swap	2-Feb-2023		Cash	198,606	0.03%
Swap	12-Oct-2023		Cash	197,330	0.03%
Swap	17-Sep-2020		Cash	189,942	0.02%
Swap	28-Jul-2021		Cash	170,231	0.02%
CFD	12-Jun-2028		Cash	156,757	0.02%
CFD	18-Sep-2028		Cash	133,410	0.02%
CFD	20-Sep-2028		Cash	132,450	0.02%
Swap	28-Jul-2021		Cash	131,070	0.02%
CFD	22-Sep-2028		Cash	128,710	0.02%
CFD	25-Apr-2019		Cash	124,313	0.02%
CFD	25-Feb-2027		Cash	122,707	0.02%
Swap	7-May-2019		Cash	121,966	0.02%
Swap	5-Sep-2019		Cash	120,300	0.02%
Swap	3-Feb-2023		Cash	117,797	0.02%
CFD	25-Feb-2027		Cash	117,407	0.02%
Swap	22-Mar-2019		Cash	113,300	0.01%
CFD	5-Nov-2027		Cash	111,297	0.01%
CFD	12-Jul-2023		Cash	105,663	0.01%
CFD	17-Jul-2028		Cash	103,200	0.01%
CFD	11-Aug-2028		Cash	100,000	0.01%
Swap	2-Feb-2023		Cash	93,281	0.01%
CFD	1-Mar-2028		Cash	92,133	0.01%
Swap	14-Jun-2023		Cash	86,565	0.01%
Swap	12-Jul-2023		Cash	84,590	0.01%
CFD	11-Aug-2023		Cash	79,619	0.01%
CFD	10-Mar-2028		Cash	78,808	0.01%
CFD	15-Sep-2028		Cash	73,785	0.01%
Swap	7-Jul-2023		Cash	73,094	0.01%
Swap	5-Sep-2019		Cash	72,000	0.01%
Swap	7-May-2019		Cash	71,570	0.01%
CFD	25-Apr-2019		Cash	69,385	0.01%
Swap	3-Feb-2023		Cash	68,758	0.01%
CFD	10-Jul-2019		Cash	63,409	0.01%
CFD	27-Sep-2028		Cash	62,740	0.01%
Swap	15-Jun-2023		Cash	57,709	0.01%
Swap	7-May-2019		Cash	57,156	0.01%
Swap	5-Sep-2019		Cash	55,700	0.01%
CFD	14-Jan-2021		Cash	55,648	0.01%
CFD	17-Jul-2028		Cash	55,000	0.01%
Swap	2-Feb-2023		Cash	54,448	0.01%
CFD	21-Sep-2028		Cash	50,000	0.01%
CFD	1-Sep-2028		Cash	50,000	0.01%
CFD	25-Apr-2019		Cash	50,000	0.01%
CFD	18-Sep-2028		Cash	48,590	0.01%
CFD	20-Sep-2028		Cash	48,250	0.01%
CFD	14-Jan-2021		Cash	47,488	0.01%
CFD	22-Sep-2028		Cash	46,890	0.01%
CFD	25-Feb-2027		Cash	46,703	0.01%
CFD	18-Sep-2019		Cash	43,473	0.01%
Swap	1-Feb-2023		Cash	43,214	0.01%
Swap	21-Nov-2018		Cash	42,200	0.01%
CFD	25-Apr-2019		Cash	41,002	0.01%
CFD	17-Jul-2023		Cash	40,500	0.01%
CFD	1-Mar-2028		Cash	40,474	0.01%
CFD	14-Sep-2028		Cash	40,055	0.01%
Swap	14-Jun-2023		Cash	40,052	0.01%
Swap	12-Jul-2023		Cash	37,897	0.005%
CFD	21-Jul-2028		Cash	34,000	0.004%
Swap	7-Jul-2023		Cash	32,746	0.004%
CFD	14-Jul-2023		Cash	30,500	0.004%
Swap	12-Jun-2023		Cash	30,225	0.004%
CFD	10-Mar-2028		Cash	29,574	0.004%
CFD	27-Feb-2023		Cash	29,498	0.004%
CFD	25-Apr-2019		Cash	29,469	0.004%
CFD	22-Sep-2028		Cash	27,275	0.003%
CFD	15-Sep-2028		Cash	26,877	0.003%
Swap	15-Jun-2023		Cash	26,702	0.003%
CFD	13-Sep-2028		Cash	26,000	0.003%
CFD	6-Jul-2023		Cash	25,488	0.003%
CFD	25-Apr-2019		Cash	24,541	0.003%
CFD	17-Jul-2023		Cash	23,600	0.003%
Swap	14-Jun-2023		Cash	23,383	0.003%
CFD	27-Sep-2028		Cash	22,860	0.003%
CFD	27-Feb-2023		Cash	22,803	0.003%
Swap	17-Sep-2020		Cash	22,452	0.003%
Swap	12-Jul-2023		Cash	22,173	0.003%
CFD	25-Sep-2028		Cash	20,756	0.003%
CFD	25-Sep-2028		Cash	20,406	0.003%
Swap	1-Feb-2023		Cash	20,297	0.003%
Swap	7-Jul-2023		Cash	19,160	0.002%
Swap	5-Sep-2019		Cash	18,900	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%
CFD	27-Feb-2023		Cash	15,624	0.002%
Swap	15-Jun-2023		Cash	15,589	0.002%
Swap	7-May-2019		Cash	15,465	0.002%
CFD	21-Jul-2028		Cash	15,000	0.002%
CFD	14-Sep-2028		Cash	14,583	0.002%
Swap	28-Nov-2018		Cash	14,300	0.002%
Swap	12-Jun-2023		Cash	13,985	0.002%
CFD	25-Sep-2028		Cash	13,930	0.002%
CFD	21-Jan-2028		Cash	12,793	0.002%
Swap	3-Nov-2021		Cash	12,609	0.002%
Swap	22-May-2020		Cash	12,597	0.002%
CFD	11-Oct-2028		Cash	12,078	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%
Swap	5-Sep-2019		Cash	10,800	0.001%
Swap	6-Feb-2019		Cash	10,500	0.001%
CFD	31-Aug-2028		Cash	10,187	0.001%
CFD	2-Oct-2019		Cash	9,971	0.001%
CFD	27-Jan-2028		Cash	9,649	0.001%
Swap	12-Oct-2023		Cash	8,622	0.001%
Swap	12-Jun-2023		Cash	8,165	0.001%
CFD	12-Jul-2028		Cash	8,100	0.001%
CFD	5-Oct-2028		Cash	7,978	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-Sep-2028		Cash	6,200	0.001%
Swap	22-May-2020		Cash	6,153	0.001%
CFD	27-Sep-2028		Cash	5,104	0.001%
CFD	15-Dec-2027		Cash	5,000	0.001%
CFD	12-May-2028		Cash	5,000	0.001%
CFD	8-Mar-2028		Cash	5,000	0.001%
Call Option	2-Nov-2018		Cash	4,920	0.001%
Call Option	31-Oct-2018		Cash	4,779	0.001%
Swap	22-May-2020		Cash	4,774	0.001%
CFD	6-Sep-2028		Cash	4,764	0.001%
Call Option	20-Nov-2018		Cash	4,049	0.001%
Swap	22-May-2020		Cash	3,941	0.001%
Swap	5-Sep-2019		Cash	3,900	0.0005%
CFD	11-Oct-2028		Cash	3,757	0.0005%
Swap	3-Nov-2021		Cash	3,634	0.0005%
Call Option	21-Nov-2018		Cash	3,602	0.0005%
CFD	25-Apr-2019		Cash	3,060	0.0004%
Swap	22-May-2020		Cash	3,050	0.0004%
Swap	22-May-2020		Cash	2,857	0.0004%
CFD	27-Sep-2028		Cash	2,723	0.0003%
Swap	3-Nov-2021		Cash	2,556	0.0003%
CFD	29-Sep-2028		Cash	2,500	0.0003%
CFD	27-Jan-2028		Cash	2,248	0.0003%
CFD	27-Jan-2028		Cash	2,247	0.0003%
Swap	3-Nov-2021		Cash	2,214	0.0003%
CFD	27-Sep-2028		Cash	2,000	0.0003%
CFD	27-Sep-2028		Cash	1,900	0.0002%
Swap	22-May-2020		Cash	1,768	0.0002%
CFD	6-Sep-2028		Cash	1,700	0.0002%
CFD	11-Aug-2023		Cash	1,574	0.0002%
CFD	18-Sep-2028		Cash	1,049	0.0001%
CFD	27-Jan-2028		Cash	961	0.0001%
CFD	7-Sep-2028		Cash	800	0.0001%
CFD	21-Sep-2028		Cash	600	0.0001%
CFD	14-Sep-2028		Cash	579	0.0001%
CFD	31-Aug-2028		Cash	545	0.0001%
Swap	22-May-2020		Cash	461	0.0001%
CFD	8-Sep-2028		Cash	437	0.0001%
Swap	22-May-2020		Cash	419	0.0001%
CFD	11-Oct-2028		Cash	400	0.0001%
CFD	28-Sep-2028		Cash	396	0.0001%
Swap	22-May-2020		Cash	329	0.00004%
Swap	22-May-2020		Cash	323	0.00004%
CFD	29-Sep-2028		Cash	196	0.00003%
CFD	8-Sep-2028		Cash	128	0.00002%
CFD	27-Sep-2028		Cash	123	0.00002%
CFD	5-Oct-2028		Cash	122	0.00002%
CFD	4-Oct-2028		Cash	100	0.00001%
CFD	2-Oct-2028		Cash	100	0.00001%
CFD	14-Sep-2028		Cash	100	0.00001%
CFD	13-Sep-2028		Cash	100	0.00001%
CFD	27-Sep-2028		Cash	90	0.00001%
CFD	6-Oct-2028		Cash	82	0.00001%
CFD	2-Oct-2028		Cash	61	0.00001%
Total Number of voting rights and percentage of voting
rights				28,622,117	3.66%

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: 15
October 2018
By: /s/
NATALIE WHITE
------------------------------------
Natalie
White
Deputy
Company Secretary

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