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Shell PLC — Major Shareholding Notification 2022
Feb 4, 2022
5307_ffr_2022-02-04_b4725385-6080-4195-ada8-da0c17fc76b5.zip
Major Shareholding Notification
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6-K 1 f6k_020322.htm FORM 6-K
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
Form 6-K
REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of February 2022
Commission File Number: 1-32575
Shell plc (Exact name of registrant as specified in its charter)
England and Wales (Jurisdiction of incorporation or organization)
Shell Centre London, SE1 7NA United Kingdom (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 if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): [ ]
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): [ ]
Notification of Major Shareholdings
TR-1: S tandard form for notification of major holdings
| NOTIFICATION OF MAJOR HOLDINGS — 1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached ii : | | Shell 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 | | | | X | | An acquisition or disposal of financial instruments | | | | | | An event changing the breakdown of voting rights | | | | | | Other (please specify) iii : | | | | | | 3. Details of person subject to the notification obligation iv | | | | | | Name | | BlackRock, Inc. | | | | City and country of registered office (if applicable) | | Wilmington, DE, USA | | | | 4. Full name of shareholder(s) (if different from 3) v | | | | | | Name | | | | | | City and country of registered office (if applicable) | | | | | | 5. Date on which the threshold was crossed or reached vi : | | 31 January 2022 | | | | 6. Date on which issuer notified (DD/MM/YYYY): | | 02 February 2022 | | | | 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 | 6.7100% | 0.5100% | 7.2200% | 553,068,483 | | Position of previous notification (if applicable) | 5.9700% | 1.0000% | 6.9700% | |
| 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 | |||||
| of shares 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) | |||||
| GB00BP6MXD84 | 513,401,704 | 6.7100% | |||
| SUBTOTAL |
- A | 513,401,704 | | 6.7100% | | | | B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a)) | | | | | | | Type of financial instrument | Expiration date x | Exercise/ Conversion Period xi | Number of voting rights that may be acquired if the instrument is exercised/converted. | | % of voting rights | | American Depository Receipt | | | 4052078 | | 0.05% | | Securities Lending | | | 8896296 | | 0.11% | | | | SUBTOTAL
- B 1 | 12948374 | | 0.16% | | 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 | | | Cash | 3013009 | 0.03% | | Call Option (GB00BP6MXD84) | 18-February-2022 | | Physical | 3651400 | 0.05% | | Call Option (GB00BP6MXD84) | 18-March-2022 | | Physical | 1393600 | 0.02% | | Call Option (US7802593050) | 14-April-2022 | | Physical | 9157734 | 0.12% | | Put Option (GB00BP6MXD84) | 18-March-2022 | | Physical | 1393600 | 0.02% | | Put Option (GB00BP6MXD84) | 18-February-2022 | | Physical | 3651400 | 0.05% | | Put Option (US7802593050) | 14-April-2022 | | Physical | 4457662 | 0.06% | | | | | SUBTOTAL 8.B.2 | 26718405 | 0.35% |
| 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 the financial 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 | |||
| Ultimate | |||
| controlling person | Name | ||
| of controlled undertaking | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 1) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| (Singapore) Holdco Pte. Ltd. | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| HK Holdco Limited | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| Lux Finco S.a.r.l. | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| Japan Holdings GK | |||
| BlackRock, | |||
| Inc. (Chain 1) | BlackRock | ||
| Japan Co., Ltd. | |||
| BlackRock, | |||
| Inc. (Chain 2) | Trident | ||
| Merger, LLC | |||
| BlackRock, | |||
| Inc. (Chain 2) | BlackRock | ||
| Investment Management, LLC | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 3) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Holdco 3, LLC | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Cayman 1 LP | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Cayman West Bay Finco Limited | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Cayman West Bay IV Limited | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Group Limited | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Finance Europe Limited | |||
| BlackRock, | |||
| Inc. (Chain 3) | BlackRock | ||
| Investment Management (UK) Limited | |||
| BlackRock, | |||
| Inc. (Chain 4) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 4) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 4) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 4) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 4) | BlackRock | ||
| Australia Holdco Pty. Ltd. | |||
| BlackRock, | |||
| Inc. (Chain 4) | BlackRock | ||
| Investment Management (Australia) Limited | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 5) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| Holdco 3, LLC | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| Cayman 1 LP | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| Cayman West Bay Finco Limited | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| Cayman West Bay IV Limited | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| Group Limited | |||
| BlackRock, | |||
| Inc. (Chain 5) | BlackRock | ||
| International Limited | |||
| BlackRock, | |||
| Inc. (Chain 6) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 6) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 6) | BlackRock | ||
| Holdco 4, LLC | |||
| BlackRock, | |||
| Inc. (Chain 6) | BlackRock | ||
| Holdco 6, LLC | |||
| BlackRock, | |||
| Inc. (Chain 6) | BlackRock | ||
| Delaware Holdings Inc. | |||
| BlackRock, | |||
| Inc. (Chain 6) | BlackRock | ||
| Institutional Trust Company, National Association | |||
| BlackRock, | |||
| Inc. (Chain 7) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 7) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 7) | BlackRock | ||
| Holdco 4, LLC | |||
| BlackRock, | |||
| Inc. (Chain 7) | BlackRock | ||
| Holdco 6, LLC | |||
| BlackRock, | |||
| Inc. (Chain 7) | BlackRock | ||
| Delaware Holdings Inc. | |||
| BlackRock, | |||
| Inc. (Chain 7) | BlackRock | ||
| Fund Advisors | |||
| BlackRock, | |||
| Inc. (Chain 8) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 8) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 9) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 9) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 9) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 9) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 9) | BlackRock | ||
| (Singapore) Holdco Pte. Ltd. | |||
| BlackRock, | |||
| Inc. (Chain 9) | BlackRock | ||
| HK Holdco Limited | |||
| BlackRock, | |||
| Inc. (Chain 9) | BlackRock | ||
| Asset Management North Asia Limited | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 10) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Holdco 3, LLC | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Cayman 1 LP | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Cayman West Bay Finco Limited | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Cayman West Bay IV Limited | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Group Limited | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Finance Europe Limited | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| (Netherlands) B.V. | |||
| BlackRock, | |||
| Inc. (Chain 10) | BlackRock | ||
| Asset Management Deutschland AG | |||
| BlackRock, | |||
| Inc. (Chain 11) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 11) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 11) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 11) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 11) | BlackRock | ||
| Holdco 3, LLC | |||
| BlackRock, | |||
| Inc. (Chain 11) | BlackRock | ||
| Canada Holdings LP | |||
| BlackRock, | |||
| Inc. (Chain 11) | BlackRock | ||
| Canada Holdings ULC | |||
| BlackRock, | |||
| Inc. (Chain 11) | BlackRock | ||
| Asset Management Canada Limited | |||
| BlackRock, | |||
| Inc. (Chain 12) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 12) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 12) | BlackRock | ||
| Capital Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 12) | BlackRock | ||
| Advisors, LLC | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 13) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Holdco 3, LLC | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Cayman 1 LP | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Cayman West Bay Finco Limited | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Cayman West Bay IV Limited | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Group Limited | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Finance Europe Limited | |||
| BlackRock, | |||
| Inc. (Chain 13) | BlackRock | ||
| Advisors (UK) Limited | |||
| BlackRock, | |||
| Inc. (Chain 14) | BlackRock | ||
| Holdco 2, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 14) | BlackRock | ||
| Financial Management, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 14) | BlackRock | ||
| International Holdings, Inc. | |||
| BlackRock, | |||
| Inc. (Chain 14) | BR | ||
| Jersey International Holdings L.P. | |||
| BlackRock, | |||
| Inc. (Chain 14) | BlackRock | ||
| (Singapore) Holdco Pte. Ltd. | |||
| BlackRock, | |||
| Inc. (Chain 14) | BlackRock | ||
| (Singapore) Limited | |||
| BlackRock, | |||
| Inc. (Chain 15) | Trident | ||
| Merger, LLC | |||
| BlackRock, | |||
| Inc. (Chain 15) | BlackRock | ||
| Investment Management, LLC | |||
| BlackRock, | |||
| Inc. (Chain 15) | Amethyst | ||
| Intermediate, LLC | |||
| BlackRock, | |||
| Inc. (Chain 15) | Aperio | ||
| Holdings, LLC | |||
| BlackRock, | |||
| Inc. (Chain 15) | Aperio | ||
| Group, LLC | |||
| 10. | |||
| In case of proxy voting, please identify: | |||
| Name | |||
| of the proxy holder | |||
| The | |||
| number and % of voting rights held | |||
| The | |||
| date until which the voting rights will be held | |||
| 11. | |||
| Additional information xvi | |||
| BlackRock | |||
| Regulatory Threshold Reporting Team Jana Blumenstein 020 7743 3650 |
| Place of completion | 12 Throgmorton Avenue, London, EC2N 2DL, U.K | | --- | --- | | Date of completion | 01 February 2022 |
LEI Number: 21380068P1DRHMJ8KU70 Major Shareholding Notifications
This Report on Form 6-K is incorporated by reference into:
(a) the Registration Statement on Form F-3 of Shell plc and Shell International Finance B.V. (Registration Numbers 333-254137 and 333-254137-01); and
(b) the Registration Statement on Form S-8 of Shell plc (Registration Number 333-262396).
SIGNATURES
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.
| Shell plc | |
|---|---|
| (Registrant) | |
| Date: February 3, 2022 | /s/ Anthony Clarke |
| Anthony Clarke | |
| Deputy Company Secretary |