Pearson PLC — Regulatory Filings 2019

Mar 11, 2019

6-K 1 a4493s.htm HOLDING(S) IN COMPANY Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2019 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 March 2019

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 | | | | X |
| An event changing the breakdown of voting rights | | | | |
| 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 : | | 06/03/2019 | | |
| 6. Date on which issuer notified (DD/MM/YYYY): | | 08/03/2019 | | |
| 7. Total positions of person(s) subject to the notification
obligation | | | | |
| | % of voting rights attached to shares (total of 8. A) | % of voting rights throughfinancial 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 | 0.51% | 7.23% | 7.75% | 781,412,694 |
| Position of previous notification (if applicable) | 0.57% | 7.10% | 7.67% | |

| 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 | | 3,664,888 | | | 0.47% |
| US7050151056 | | 345,825 | | | 0.04% |
| SUBTOTAL 8. A | 4,010,713 | | 0.51% | | |
| 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 | | 9,700,819 | | 1.24% |
| Put Option | 18/04/2019 | | 1,750,000 | | 0.22% |
| Put Option | 15/03/2019 | | 1,000,000 | | 0.13% |
| Put Option | 15/03/2019 | | 1,000,000 | | 0.13% |
| | | SUBTOTAL 8. B 1 | 13,450,819 | | 1.72% |
| 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 | 43,078,378 | 5.51% |

| 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 | | 6.06% | 6.06% |
| 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
Date of completion	08/03/2019

Natalie White

Deputy Company Secretary

Pearson plc

11 March 2019

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	10/12/2025		Cash	3,000,148	0.38%
CFD	15/09/2028		Cash	2,949,232	0.38%
CFD	20/10/2027		Cash	1,846,611	0.24%
CFD	23/09/2020		Cash	1,834,093	0.23%
CFD	23/02/2024		Cash	1,800,000	0.23%
CFD	04/12/2023		Cash	1,499,571	0.19%
CFD	21/02/2024		Cash	1,300,000	0.17%
CFD	07/02/2024		Cash	1,240,000	0.16%
CFD	21/02/2024		Cash	1,100,000	0.14%
Swap	28/07/2021		Cash	1,050,699	0.13%
CFD	14/02/2024		Cash	970,000	0.12%
CFD	17/07/2020		Cash	933,031	0.12%
CFD	12/02/2024		Cash	865,494	0.11%
CFD	26/01/2024		Cash	865,000	0.11%
CFD	26/02/2024		Cash	860,000	0.11%
CFD	22/02/2024		Cash	800,000	0.10%
Swap	28/07/2021		Cash	757,148	0.10%
CFD	19/02/2029		Cash	720,286	0.09%
CFD	29/01/2024		Cash	663,999	0.08%
CFD	07/03/2029		Cash	446,390	0.06%
CFD	31/01/2029		Cash	445,560	0.06%
CFD	06/12/2028		Cash	440,459	0.06%
CFD	14/02/2024		Cash	419,554	0.05%
CFD	09/02/2024		Cash	406,520	0.05%
CFD	16/02/2029		Cash	394,000	0.05%
CFD	12/07/2023		Cash	393,923	0.05%
CFD	09/09/2021		Cash	384,939	0.05%
CFD	20/10/2027		Cash	378,633	0.05%
CFD	20/10/2027		Cash	369,444	0.05%
CFD	15/07/2021		Cash	328,703	0.04%
CFD	16/06/2028		Cash	328,703	0.04%
Swap	30/11/2023		Cash	300,000	0.04%
CFD	19/02/2024		Cash	265,000	0.03%
CFD	24/03/2028		Cash	259,000	0.03%
CFD	04/12/2023		Cash	253,119	0.03%
Swap	03/02/2023		Cash	250,801	0.03%
Swap	29/11/2023		Cash	250,000	0.03%
CFD	22/02/2024		Cash	248,352	0.03%
CFD	29/02/2024		Cash	235,463	0.03%
CFD	04/12/2023		Cash	230,685	0.03%
CFD	19/02/2029		Cash	226,714	0.03%
Swap	29/11/2023		Cash	225,000	0.03%
Swap	18/01/2024		Cash	222,460	0.03%
CFD	27/09/2028		Cash	217,594	0.03%
CFD	21/02/2024		Cash	215,238	0.03%
CFD	23/02/2024		Cash	206,960	0.03%
CFD	23/08/2028		Cash	204,000	0.03%
Swap	28/07/2021		Cash	203,317	0.03%
CFD	19/05/2027		Cash	200,012	0.03%
Swap	02/02/2023		Cash	198,606	0.03%
CFD	22/02/2021		Cash	192,056	0.02%
Swap	18/01/2024		Cash	183,004	0.02%
Swap	17/09/2020		Cash	172,831	0.02%
Swap	28/07/2021		Cash	170,231	0.02%
CFD	21/02/2024		Cash	170,178	0.02%
CFD	18/01/2029		Cash	170,000	0.02%
CFD	31/01/2029		Cash	166,473	0.02%
Swap	01/02/2024		Cash	155,100	0.02%
CFD	16/02/2024		Cash	140,912	0.02%
CFD	31/01/2024		Cash	136,001	0.02%
CFD	17/01/2029		Cash	135,485	0.02%
CFD	22/11/2028		Cash	134,667	0.02%
Swap	28/07/2021		Cash	131,070	0.02%
CFD	07/03/2029		Cash	130,295	0.02%
CFD	28/02/2029		Cash	129,305	0.02%
CFD	02/02/2029		Cash	122,404	0.02%
Swap	03/02/2023		Cash	117,797	0.02%
CFD	31/01/2029		Cash	115,429	0.01%
CFD	25/02/2027		Cash	115,007	0.01%
Swap	22/03/2019		Cash	113,300	0.01%
CFD	19/01/2029		Cash	110,000	0.01%
CFD	09/09/2021		Cash	109,171	0.01%
Swap	18/01/2024		Cash	106,899	0.01%
Swap	18/01/2024		Cash	101,869	0.01%
CFD	04/12/2023		Cash	101,147	0.01%
CFD	18/01/2029		Cash	100,000	0.01%
CFD	12/06/2028		Cash	98,591	0.01%
CFD	21/02/2029		Cash	93,554	0.01%
CFD	17/07/2020		Cash	93,399	0.01%
Swap	02/02/2023		Cash	93,281	0.01%
Swap	29/11/2023		Cash	91,988	0.01%
CFD	10/03/2028		Cash	89,576	0.01%
Swap	21/05/2019		Cash	89,064	0.01%
Swap	14/06/2023		Cash	86,565	0.01%
CFD	08/02/2024		Cash	86,367	0.01%
CFD	31/01/2029		Cash	85,399	0.01%
Swap	12/07/2023		Cash	84,590	0.01%
CFD	31/01/2029		Cash	83,905	0.01%
CFD	11/08/2023		Cash	83,647	0.01%
CFD	21/02/2024		Cash	82,784	0.01%
CFD	26/11/2021		Cash	80,948	0.01%
CFD	18/01/2029		Cash	80,000	0.01%
CFD	07/03/2029		Cash	77,068	0.01%
CFD	26/02/2024		Cash	75,108	0.01%
CFD	21/02/2024		Cash	75,051	0.01%
CFD	18/01/2029		Cash	75,000	0.01%
Call Option	28/05/2019		Cash	73,104	0.01%
Swap	07/07/2023		Cash	73,094	0.01%
CFD	17/07/2028		Cash	71,500	0.01%
CFD	07/03/2029		Cash	71,146	0.01%
Swap	03/02/2023		Cash	68,758	0.01%
CFD	26/02/2029		Cash	68,117	0.01%
Swap	29/11/2023		Cash	65,026	0.01%
CFD	02/03/2029		Cash	65,001	0.01%
CFD	28/02/2024		Cash	63,641	0.01%
Swap	18/01/2024		Cash	62,356	0.01%
CFD	26/02/2029		Cash	60,848	0.01%
CFD	16/02/2024		Cash	60,750	0.01%
CFD	09/02/2029		Cash	60,475	0.01%
CFD	19/01/2029		Cash	60,000	0.01%
Swap	18/01/2024		Cash	59,338	0.01%
CFD	05/11/2027		Cash	59,199	0.01%
Swap	15/06/2023		Cash	57,709	0.01%
Swap	05/09/2019		Cash	55,700	0.01%
CFD	04/12/2023		Cash	55,314	0.01%
Swap	02/02/2023		Cash	54,448	0.01%
Swap	05/09/2019		Cash	53,400	0.01%
CFD	21/02/2024		Cash	52,715	0.01%
CFD	04/12/2023		Cash	51,357	0.01%
CFD	19/01/2029		Cash	50,000	0.01%
CFD	01/03/2028		Cash	48,879	0.01%
CFD	28/02/2029		Cash	48,312	0.01%
CFD	02/02/2029		Cash	45,733	0.01%
CFD	25/01/2029		Cash	45,600	0.01%
Swap	01/02/2023		Cash	43,214	0.01%
CFD	09/02/2029		Cash	42,813	0.01%
CFD	28/02/2024		Cash	41,681	0.01%
Swap	14/06/2023		Cash	40,052	0.01%
Swap	08/04/2020		Cash	38,800	0.005%
Swap	12/07/2023		Cash	37,897	0.005%
CFD	10/03/2028		Cash	37,424	0.005%
CFD	17/11/2028		Cash	36,622	0.005%
CFD	28/02/2029		Cash	36,198	0.005%
CFD	07/03/2029		Cash	34,396	0.004%
CFD	21/07/2028		Cash	34,000	0.004%
CFD	29/02/2024		Cash	33,797	0.004%
CFD	25/04/2019		Cash	33,191	0.004%
CFD	02/02/2029		Cash	33,056	0.004%
Swap	07/07/2023		Cash	32,746	0.004%
CFD	17/07/2023		Cash	32,600	0.004%
CFD	14/02/2029		Cash	32,485	0.004%
CFD	31/01/2029		Cash	31,908	0.004%
CFD	31/01/2029		Cash	31,349	0.004%
Swap	12/06/2023		Cash	30,225	0.004%
CFD	25/04/2019		Cash	29,469	0.004%
CFD	21/02/2029		Cash	29,446	0.004%
CFD	14/02/2029		Cash	27,575	0.004%
CFD	01/03/2028		Cash	26,822	0.003%
Swap	15/06/2023		Cash	26,702	0.003%
CFD	28/02/2024		Cash	26,285	0.003%
CFD	06/07/2023		Cash	25,488	0.003%
CFD	21/02/2024		Cash	24,949	0.003%
CFD	26/02/2024		Cash	24,892	0.003%
CFD	18/09/2019		Cash	24,830	0.003%
CFD	25/04/2019		Cash	24,541	0.003%
CFD	02/03/2029		Cash	24,286	0.003%
CFD	26/11/2021		Cash	24,179	0.003%
Swap	17/09/2020		Cash	23,913	0.003%
Swap	14/06/2023		Cash	23,383	0.003%
CFD	07/03/2029		Cash	22,645	0.003%
CFD	09/02/2029		Cash	22,595	0.003%
CFD	14/07/2023		Cash	22,500	0.003%
Swap	12/07/2023		Cash	22,173	0.003%
CFD	31/01/2029		Cash	22,124	0.003%
CFD	07/03/2029		Cash	21,216	0.003%
Swap	01/02/2023		Cash	20,297	0.003%
CFD	16/02/2024		Cash	20,250	0.003%
CFD	17/01/2029		Cash	19,500	0.002%
CFD	25/04/2019		Cash	19,385	0.002%
Swap	07/07/2023		Cash	19,160	0.002%
CFD	26/02/2029		Cash	19,152	0.002%
CFD	23/11/2028		Cash	17,711	0.002%
CFD	21/02/2024		Cash	17,285	0.002%
CFD	09/02/2029		Cash	16,930	0.002%
CFD	02/03/2029		Cash	16,929	0.002%
Swap	28/03/2019		Cash	16,200	0.002%
CFD	04/12/2023		Cash	16,190	0.002%
Swap	22/05/2020		Cash	16,129	0.002%
CFD	20/10/2021		Cash	16,000	0.002%
CFD	09/02/2029		Cash	15,996	0.002%
Swap	30/04/2019		Cash	15,800	0.002%
Swap	04/02/2022		Cash	15,710	0.002%
Swap	15/06/2023		Cash	15,589	0.002%
CFD	11/11/2020		Cash	15,090	0.002%
CFD	15/02/2024		Cash	14,534	0.002%
Swap	31/12/2019		Cash	14,300	0.002%
Swap	12/06/2023		Cash	13,985	0.002%
Swap	04/02/2022		Cash	13,826	0.002%
CFD	28/02/2024		Cash	13,819	0.002%
Swap	04/02/2022		Cash	13,507	0.002%
Swap	03/11/2021		Cash	12,609	0.002%
CFD	09/02/2029		Cash	12,562	0.002%
CFD	14/02/2029		Cash	12,137	0.002%
CFD	09/02/2029		Cash	11,984	0.002%
Swap	01/02/2023		Cash	11,847	0.002%
Swap	18/03/2020		Cash	11,600	0.001%
CFD	28/02/2029		Cash	11,500	0.001%
CFD	29/02/2024		Cash	11,203	0.001%
Swap	31/12/2019		Cash	10,900	0.001%
CFD	28/10/2020		Cash	10,812	0.001%
Swap	06/03/2020		Cash	10,500	0.001%
CFD	14/02/2029		Cash	10,303	0.001%
Call Option	07/05/2019		Cash	10,062	0.001%
CFD	14/01/2021		Cash	9,358	0.001%
CFD	14/02/2029		Cash	9,094	0.001%
CFD	28/02/2024		Cash	8,715	0.001%
Swap	12/06/2023		Cash	8,165	0.001%
CFD	14/02/2029		Cash	7,720	0.001%
CFD	07/02/2029		Cash	7,263	0.001%
Call Option	08/05/2019		Cash	7,189	0.001%
CFD	14/01/2021		Cash	6,936	0.001%
CFD	01/02/2029		Cash	6,777	0.001%
Swap	22/05/2020		Cash	6,507	0.001%
CFD	24/02/2021		Cash	6,225	0.001%
Swap	22/05/2020		Cash	6,153	0.001%
CFD	09/02/2029		Cash	5,085	0.001%
CFD	15/12/2027		Cash	5,000	0.001%
CFD	08/03/2028		Cash	5,000	0.001%
CFD	12/05/2028		Cash	5,000	0.001%
Swap	22/05/2020		Cash	4,774	0.001%
CFD	09/02/2029		Cash	4,694	0.001%
Call Option	16/04/2019		Cash	4,340	0.001%
CFD	04/02/2022		Cash	4,300	0.001%
Swap	22/05/2020		Cash	3,941	0.001%
Swap	03/11/2021		Cash	3,634	0.0005%
CFD	09/02/2029		Cash	3,517	0.0005%
Swap	22/05/2020		Cash	3,050	0.0004%
Swap	22/05/2020		Cash	2,857	0.0004%
Call Option	09/04/2019		Cash	2,642	0.0003%
Swap	03/11/2021		Cash	2,556	0.0003%
Swap	04/02/2022		Cash	2,470	0.0003%
CFD	28/10/2020		Cash	2,350	0.0003%
CFD	28/10/2020		Cash	2,350	0.0003%
Swap	03/11/2021		Cash	2,214	0.0003%
Call Option	17/04/2019		Cash	2,098	0.0003%
CFD	09/02/2029		Cash	1,900	0.0002%
Swap	22/05/2020		Cash	1,768	0.0002%
CFD	01/02/2029		Cash	1,600	0.0002%
CFD	25/01/2029		Cash	1,500	0.0002%
CFD	09/02/2029		Cash	1,424	0.0002%
CFD	31/01/2029		Cash	1,343	0.0002%
Call Option	07/05/2019		Cash	998	0.0001%
CFD	08/03/2029		Cash	887	0.0001%
Call Option	19/03/2019		Cash	867	0.0001%
CFD	05/03/2029		Cash	781	0.0001%
CFD	07/03/2029		Cash	700	0.0001%
Swap	22/05/2020		Cash	461	0.0001%
Swap	22/05/2020		Cash	419	0.0001%
CFD	07/03/2029		Cash	414	0.0001%
CFD	28/02/2029		Cash	368	0.00005%
Swap	22/05/2020		Cash	329	0.00004%
Swap	22/05/2020		Cash	323	0.00004%
CFD	28/02/2029		Cash	303	0.00004%
CFD	28/02/2029		Cash	277	0.00004%
CFD	05/03/2029		Cash	265	0.00003%
CFD	05/03/2029		Cash	264	0.00003%
CFD	28/02/2029		Cash	186	0.00002%
CFD	05/03/2029		Cash	171	0.00002%
Call Option	12/03/2019		Cash	149	0.00002%
CFD	08/03/2029		Cash	133	0.00002%
Call Option	12/04/2019		Cash	102	0.00001%
Call Option	04/04/2019		Cash	100	0.00001%
Call Option	10/04/2019		Cash	79	0.00001%
Call Option	08/03/2019		Cash	18	0.000002%
Call Option	08/04/2019		Cash	8	0.000001%
Call Option	12/03/2019		Cash	8	0.000001%
Total Number of voting rights and percentage of voting
rights				43,078,378	5.51%
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: 11
March 2019
By: /s/
NATALIE WHITE
------------------------------------
Natalie
White
Deputy
Company Secretary

page break