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Form 6-K
Securities and Exchange Commission
Washington, D.C. 20549
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13A-16 OR 15D-16 OF
THE SECURITIES EXCHANGE ACT OF 1934
For April 10, 2007
Gallaher Group Plc
(Translation of registrants name into English)
Members Hill
Brooklands Road
Weybridge
Surrey KT13 0QU
England
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover
Form 20-F or Form 40-F.
Form 20-F þ Form 40-F o
Indicate by check mark whether the registrant by furnishing the information contained in the Form
is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the
Securities Exchange Act of 1934.
Yes o No þ
If Yes is marked, indicate below the file number assigned to the registrant in connection with
Rule 12g3-2(b).
82
TR-1 (i ) : NOTIFICATION OF MAJOR INTERESTS IN SHARES
1. |
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Identity of the issuer or the underlying issuer of existing shares to which voting rights
are attached (ii):
Gallaher Group Plc |
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2. |
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Reason for the notification (please state Yes/No): ( ) |
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An acquisition or disposal of voting rights: ( Yes ) |
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An acquisition or disposal of financial instruments which may result in the acquisition of shares already issued to which voting rights are attached: ( No ) |
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An event changing the breakdown of voting rights: ( No ) |
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Other (please specify) : ( No ) |
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3. |
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Full name of person(s) subject to the notification obligation (iii) :
Credit Suisse Securities (Europe) Limited |
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4. |
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Full name of shareholder(s) (if different from 3.) (iv) :
Credit Suisse Securities (Europe) Limited
Credit Suisse International
Credit Suisse Securities (USA) LLC
DLJ International Group |
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5. |
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Date of the transaction (and date on which the threshold is crossed or reached if different)
(v) :
3 April 2007 |
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6. |
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Date on which issuer notified:
5 April 2007 |
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7. |
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Threshold(s) that is/are crossed or reached:
8% |
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8. |
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Notified details: |
.................
A: Voting rights attached to shares
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Class/type of shares if |
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Situation previous to the Triggering transaction (vi) |
possible using the ISIN CODE |
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Number of shares |
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Number of voting Rights (viii) |
ORD
GB0003833695
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43,610,665 |
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43,610,665 |
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ADR
US3635951094
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3,064,480 |
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3,064,480 |
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Resulting situation after the triggering transaction (vii)
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Class/type of shares if |
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Number of shares |
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Number of voting rights (ix) |
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% of voting rights |
possible using the ISIN CODE |
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Direct |
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Direct (x) |
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Indirect (xi) |
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Direct |
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Indirect |
ORD
GB0003833695
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51,497,973 |
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51,497,973 |
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n/a
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7.84 |
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n/a |
ADR
US3635951094
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3,060,408 |
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3,060,408 |
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n/a
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0.47 |
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n/a |
B: Financial Instruments
Resulting situation after the triggering transaction (xii)
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Type of
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Expiration Date
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Exercise/Conversion
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Number of voting rights
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% of voting rights |
financial
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(xiii)
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Period/ Date (xiv)
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that may be acquired if |
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instrument
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the instrument is |
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exercised/ converted. |
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Total (A+B) |
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Number of voting rights
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% of voting rights
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54,558,381
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8.30% |
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9. Chain of controlled undertakings through which the voting rights and/or the financial
instruments are effectively held, if applicable (xv):
Credit Suisse Securities (Europe) Limited, Credit Suisse International, DLJ International Group and
Credit Suisse Securities (USA) LLC are part of the Investment Banking division of Credit Suisse
(CSIBD), which is part of the Credit Suisse Group (CSG). CSIBD is a segregated business unit
within CSG with an independent management structure and exercises its voting rights independently
from other divsions of CSG.
Proxy Voting:
10. Name of the proxy holder:
.................
11. Number of voting rights proxy holder will cease to hold:
.................
12. Date on which proxy holder will cease to hold voting rights:
.................
13. Additional information:
.................
14. |
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Contact name:
Glenda Burford |
15. |
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Contact telephone number:
+44 20 7888 3599 |
Annex to Notification Of Major Interests In Shares (xvi)
A: Identity of the person or legal entity subject to the notification obligation
Full name (including legal form for legal entities):
.................
Contact address (registered office for legal entities):
.................
Phone number:
.................
Other useful information (at least legal representative for legal persons):
.................
B: Identity of the notifier, if applicable (xvii)
Full name:
.................
Contact address:
.................
Phone number:
.................
Other useful information (e.g. functional relationship with the person or legal entity subject
to the notification obligation):
.................
C: Additional information :
.................
Notes to the Forms
(i) This form is to be sent to the issuer or underlying issuer and to be filed with the
competent authority.
(ii) Either the full name of the legal entity or another method for identifying the issuer or
underlying issuer, provided it is reliable and accurate.
(iii) This should be the full name of (a) the shareholder; (b) the person acquiring, disposing of
or exercising voting rights in the cases provided for in DTR5.2.1 (b) to (h); (c) all the parties
to the agreement referred to in DTR5.2.1 (a), or (d) the direct or indirect holder of financial
instruments entitled to acquire shares already issued to which voting rights are attached, as
appropriate.
In relation to the transactions referred to in points DTR5.2.1 (b) to (h), the following list is
provided as indication of the persons who should be mentioned:
- in the circumstances foreseen in DTR5.2.1 (b), the person that acquires the voting rights and is
entitled to exercise them under the agreement and the natural person or legal entity who is
transferring temporarily for consideration the voting rights;
- in the circumstances foreseen in DTR 5.2.1 (c), the person holding the collateral, provided the
person or entity controls the voting rights and declares its intention of exercising them, and
person lodging the collateral under these conditions;
- in the circumstances foreseen in DTR5.2.1(d), the person who has a life interest in shares if
that person is entitled to exercise the voting rights attached to the shares and the person who is
disposing of the voting rights when the life interest is created;
- in the circumstances foreseen in DTR5.2.1 (e), the parent undertaking and, provided it has a
notification duty at an individual level under DTR 5.1, under DTR5.2.1 (a) to (d) or under a
combination of any of those situations, the controlled undertaking;
- in the circumstances foreseen in DTR5.2.1 (f), the deposit taker of the shares, if he can
exercise the voting rights attached to the shares deposited with him at his discretion, and the
depositor of the shares allowing the deposit taker to exercise the voting rights at his discretion;
- in the circumstances foreseen in DTR5.2.1 (g), the person that controls the voting rights;
- in the circumstances foreseen in DTR5.2.1 (h), the proxy holder, if he can exercise the voting
rights at his discretion, and the shareholder who has given his proxy to the proxy holder allowing
the latter to exercise the voting rights at his discretion.
(iv) Applicable in the cases provided for in DTR 5.2.1 (b) to (h). This should be the full name of
the shareholder who is the counterparty to the natural person or legal entity referred to in
DTR5.2.
(v) The date of the transaction should normally be, in the case of an on exchange transaction, the
date on which the matching of orders occurs; in the case of an off exchange transaction, date of
the entering into an agreement.
The date on which threshold is crossed should normally be the date on which the acquisition,
disposal or possibility to exercise voting rights takes effect (see DTR 5.1.1R (3)). For passive
crossings, the date when the corporate event took effect.
(vi) Please refer to the situation disclosed in the previous notification, In case the situation
previous to the triggering transaction was below 3%, please state below 3%.
(vii) If the holding has fallen below the minimum threshold , the notifying party should not be
obliged to disclose the extent of the holding, only that the new holding is less than 3%.
For the case provided for in DTR5.2.1(a), there should be no disclosure of individual holdings per
party to the agreement unless a party individually crosses or reaches an Article 9 threshold. This
applies upon entering into, introducing changes to or terminating an agreement.
(viii) Direct and indirect
(ix) In case of combined holdings of shares with voting rights attached direct
holding and voting rights indirect holdings, please split the voting rights number and
percentage into the direct and indirect columns-if there is no combined holdings, please leave the
relevant box blank.
(x) Voting rights to shares in respect of which the notifying party is a direct
shareholder (DTR 5.1)
(xi) Voting rights held by the notifying party as an indirect shareholder (DTR 5.2.1)
(xii) If the holding has fallen below the minimum threshold, the notifying party should
not be obliged to disclose the extent of the holding, only that the new holding is below 3%.
(xiii) date of maturity / expiration of the finical instrument i.e. the date when the
right to acquire shares ends.
(xiv) If the financial instrument has such a period-please specify the period- for
example once every three months starting from the (date)
(xv) The notification should include the name(s) of the controlled undertakings through
which the voting rights are held. The notification should also include the amount of voting rights
and the percentage held by each controlled undertaking, insofar as individually the controlled
undertaking holds 5% or more, and insofar as the notification by the parent undertaking is intended
to cover the notification obligations of the controlled undertaking.
(xvi ) This annex is only to be filed with the competent authority.
(xvii) Whenever another person makes the notification on behalf of the shareholder or
the natural person/legal entity referred to in DTR5.2 and DTR5.3
TABLE OF CONTENTS
REPORT OF FOREIGN PRIVATE ISSUER
Securities and Exchange Commission
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.
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Gallaher Group Plc
(Registrant)
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By: |
/s/
Robin Miller
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Name: Robin Miller |
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Date: April 10, 2007 |
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Title: Deputy, Company Secretary |
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