Companies Act 2006

[F1 853G Duty to deliver shareholder information: certain traded companies U.K.

(1) This section applies where a traded company makes a confirmation statement.

(2) A “traded company” is a company any of whose shares were, at any time during the confirmation period concerned, shares admitted to trading on a relevant market or on any other market which is outside the United Kingdom.

(3) But a company is not a traded company if throughout the confirmation period concerned—

(a) there were shares of the company which were shares admitted to trading on a relevant market, and

(b) the company was a DTR5 issuer.

(4) The company must deliver the information falling within subsection (6) to the registrar at the same time as it delivers the confirmation statement.

(5) Subsection (4) does not apply if and to the extent the information most recently delivered to the registrar under this section applies equally to the confirmation period concerned.

(6) The information is—

(a) the name and address (as they appear in the company's register of members) of each person who, at the end of the confirmation date concerned, held at least 5% of the issued shares of any class of the company, and

(b) the number of shares of each class held by each such person at that time.]

Textual Amendments

F1 Pt. 24 substituted (1.5.2016 for specified purposes, otherwise 30.6.2016) by Small Business, Enterprise and Employment Act 2015 (c. 26), ss. 92, 164(1); S.I. 2016/321, regs. 5, 6(a) (with Sch. para. 5)

Modifications etc. (not altering text)

C1 Ss. 853A-853G applied by S.I. 2009/2436, Sch. 1 para. 13(1) (as substituted (30.6.2016) by The Companies and Limited Liability Partnerships (Filing Requirements) Regulations 2016 (S.I. 2016/599), reg. 1, Sch. 2 para. 2 (with reg. 4(2)-(5)))

C2 Ss. 853A-853L excluded (1.5.2016 for specified purposes, 30.6.2016 in so far as not already in force) by The NRAM plc (formerly Northern Rock plc) Consequential and Supplementary Provisions Order 2016 (S.I. 2016/114), arts. 1(2), 7(1)(3), Sch. para. 1(q) (see S.I. 2016/321, regs. 5, 6)