SEC Form 6-K filed by Royal Dutch Shell PLC
$RDS.B
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: Standard 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 attachedii: | 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 obligationiv | ||||||
| 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 reachedvi: | 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 issuervii | |||
| 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 reachedviii | |||||||||
| A: Voting rights attached to shares | |||||||||
| Class/type
of shares ISIN code (if possible) |
Number of voting rightsix | % 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 8. 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 datex |
Exercise/
Conversion Periodxi |
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 8. 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 datex |
Exercise/
Conversion Period xi |
Physical
or cash settlementxii |
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) issuerxiii | |||||
| 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 entityxiv (please add additional rows as necessary) |
X | ||||
| Namexv | % 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 informationxvi | |||||
| 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 | ||