Process Manual

FACTSET
UKSR RNS Manual

Ramesh Dodda
Reviewed By: Janice Cattle

UKSR RNS
Feb 2013 Ramesh Dodda
Reviewed By: Janice Cattle Kerry Hodder
www.factset.com Page 2 of 47

Regulatory News Service (RNS) ............................................................................... 4
HEADLINES ..................................................................................................................... 4
following are screen shots how we work with........................................................................ 5
RNS Main Screen ........................................................................................................... 6
RNS Queue screen ............................................................................................................................. 7
FACTSET VA END product............................................................................................................... 8
Types of Registers of RULE 8.1 / 8.3 : ......................................................................................... 9
RULE 8.1 / 8.3: ............................................................................................................. 12
Rule 8.1: .............................................................................................................................................. 12
Rule 8.3: .............................................................................................................................................. 12
Criteria of inputting the data: ................................................................................ 12
STEP: 1 ................................................................................................................................................ 12
STEP: 2 ................................................................................................................................................ 13
STEP: 3 ................................................................................................................................................ 14
Types of Registers of Holdings in company (HIC) ........................................... 19
Holdings in company (HIC) ..................................................................................... 22
Criteria of inputting the data: ................................................................................ 23
STEP: 1 ................................................................................................................................................ 23
STEP: 2 ................................................................................................................................................ 24
STEP: 3 ................................................................................................................................................ 26
Director / PDMR Share holding ............................................................................. 30
Types of Registers of Director/PDMR ................................................................. 31
STEP:1 ................................................................................................................................................. 33
STEP:2 ................................................................................................................................................. 34
STEP:3 ................................................................................................................................................. 36
UKSR RNS

STEP: 4 ................................................................................................................................................ 37

UKSR RNS

[TITLE] RNS Process (UKSR) [LESSON]

RNS MANUAL

Regulatory News Service (RNS)

Transmits regulatory and non-regulatory information published by companies and organizations
allowing them to comply with local market transparency legislation. It is owned by the London Stock
Exchange and distributes over 90% of UK company news and results announcements.

A service operated by the London Stock Exchange, which ensures that price-sensitive
information from listed companies is collected and then disseminated to all RNS subscribers at the same
time.

RNS is the investors communication service channel for the delivery of news such as marketing
messages, corporate and product information. The Company news is the lifeblood of the equity market
it animates securities and drives trading. RNS and other Regulatory Information Services play a key
role in disseminating company news. All companies listed on the UK Listing Authoritys Official List and
quoted on AIM must first release information that might affect the price of their shares through a
Regulatory Information Service to ensure equal access these disclosures are known as regulatory
announcements. The scope of regulatory announcements includes periodic information, such as interim
and final results, as well as occasional and other ad-hoc information such as directors share dealings,
mergers and acquisition information and operational updates.

HEADLINES
Rule 8.1 &8.3
Holdings in company.
Directors / PDMR.

UKSR RNS

FOLLOWING ARE SCREEN SHOTS HOW WE WORK WITH.

1. SOMA SCREEN.

UKSR RNS

RNS Main Screen

UKSR RNS

RNS QUEUE SCREEN

UKSR RNS

FACTSET VA END PRODUCT

UKSR RNS

TYPES OF REGISTERS OF RULE 8.1 / 8.3 :
UKSR RNS

Notifier
Company
Transaction
date
Holdings
UKSR RNS

Notifier
i
fier
Company
Transaction
date
Holdings
UKSR RNS

RULE 8.1 / 8.3:
RULE 8.1:
Announcements related to Dealings by Offerors, Offeree companies or their associates for
themselves or for discretionary clients.
RULE 8.3:
Opening position disclosure/dealing disclosure by a person with interests in relevant securities
representing 1% or more

Criteria of inputting the data:
STEP: 1
Select the company from the respective headline, which is shown in the below screen shot.
UKSR RNS

Click copy button to copy the Document ID.
Click Document ID hyperlink to view the Announcement.

STEP: 2
Select the respective company from the main menu screen and click on the RULE 8 Tab to input
the data in Rule 8. As shown in the below screen.

UKSR RNS

Instantly u will be taken to next screen.

STEP: 3
Paste the Document ID in the respective box as shown below screen shot.
Click the button choose Notifier & Holder.
Select the required Notifier & Holder from the pop up box.
Input transaction data.
UKSR RNS

Input holdings and check the percentage it should match the percentage given the
Announcement.
Put check mark in UK activate & Alert.
Now click Save & Exit.

NOTE:
Before clicking Save & Exit it is always suggested to check in Filter general how the
Previous notifications inputted.

UKSR RNS

Headline

Company
Document
ID
Notifier
&
Holder
Date
Holdings
Percentage
Notifier
UKSR RNS

NOTE:
The notification inputted today will show effect in the end product in the immediate next day as
shown in the below screen shot.

UKSR RNS

UKSR RNS

Types of Registers of Holdings in company (HIC)

company
Holder
Date
Total
holdings
UKSR RNS

Company
Holdings
Transaction
date
date
Notifier
UKSR RNS

Company
Notifier
Date
Holdings
UKSR RNS

Holdings in company (HIC)

The substantial holders who are having voting rights 3% and above lie in holdings in company.
The company should notify the holders who is moved from Rule 8.1/8.3 with voting right of 3% and
above. The holders can be an institutional entity or Director of the company.
The Notifications whos major interest in shares is more then 3% will fall in Holdings in company
headline.

Key points to input the data in HIC:

In this headline the holdings that is inputted will give the percentage of 2.99% and
above
When the document is in standard table format the following column to be focused
Column 1 Company, Column 2&4 Notifier/ Holder, Column 5 Transaction date,
Column 8A Resulting situation after the triggering transaction only voting rights direct
& indirect or Total (A+B+C) voting rights excluding Column 8B & 8c holdings from the
total holdings, Column 9 Chain of control to check for the additional information of the
transaction.
When the document is in standard form but without table same procedure has to be
followed.
When the document is in paragraph from need to look out for just respective Company,
Notifier, Date, Holdings.
In some notifications their in place of holdings their will be some words like No longer
notifiable, Below notifiable interest, Below threshold interest etc, in such cases we need
to take holdings as 2.99% of Issued Share Capital (ISC) of the respective company.

Note: Before inputting the data in the Soma application it is suggested to first check in the
Filter general, which is the collection of previous entered notifications.

UKSR RNS

Criteria of inputting the data:

STEP: 1
Select the company from the headline Holdings in company as shown in the below screen shot.

UKSR RNS

STEP: 2
Click on the hyperlink to view the notification as shown in the screen shoot.
UKSR RNS

Company
Notifier
Date
Holdings
Percentage
UKSR RNS

STEP: 3
Select the required company from the main menu screen and click on Miscellaneous tab to
input the data in Holdings in company as shown in the below screen shot.

UKSR RNS

Immediately it will be taken to next screen as below

Company Headline
Document
ID
Notifier
&
Holder
Date
Percentage
Holdings
Notifier
UKSR RNS

Paste the Document ID in the respective box as shown in the above screen shot.
Announcement.
Put check mark in UK activate.

NOTE:
Before clicking Save & Exit check in Filter General how the previous notification is inputted as
shown in the below screen shoot.
The notification inputted today will show effect in the end product in the immediate
next day as shown in below screen shot
UKSR RNS

UKSR RNS

Director / PDMR Share holding
Board of Directors:

The Board of Directors acts a governing trustees of the organization on behalf of the
community at large and contributors while carrying out the organization's mission and
goals. To fully meet this goal, the Board of Directors must actively participate in the
planning process as outlined in planning sections.

The board of directors is the highest governing authority within the management
structure at any publicly traded company. It is the board's job to select, evaluate, and
approve appropriate compensation for the company's chief executive officer (CEO).

PDMR:

PDMR means person discharging managerial responsibilities PDMR may be a
director or an senior executive of an issuer who has regular access to inside information
relating, directly of indirectly, to the issuer and has power to make managerial decisions
affecting the future development and business of the issuer.

This headline consist of Notifications that are relating to Directors/PDMRs and their
connected persons. The PDMR perform all the duties which the actual director do in the
absence of the director.

UKSR RNS

Types of Registers of Director/PDMR

Company
Date
Notifier
Holdings
UKSR RNS

Date
Holdings
Company
Notifier
UKSR RNS

STEP:1
Select the company from the headline Director Shareholdings to input the data in Directors
/PDMR from the RNS Queue as shown in the below screen shot.

UKSR RNS

STEP : 2
Click on the hyperlink to view the notification, then document appears on the screen as below.
UKSR RNS

Company
Notifier
Date
Holding
s
UKSR RNS

STEP:3
Select the required company from the main menu screen, then click on the tab Directors
dealing to input the data in Directors /PDMR Headline as shown below.

UKSR RNS

Immediately you will taken to next screen.
STEP: 4

Company
Headline
Document
ID
Notifier
&
Holder
Date
HOLDING
S
Notifier
UKSR RNS

Paste the Document ID in the respective box as shown in the above screen shot.
Announcement.
Put check mark in UK activate.

NOTE:
Before clicking Save & Exit check in Filter General how the previous notification is inputted as
shown in the below screen shoot.

NOTE:
The notification inputted today will show effect in the end product in the immediate
next day as shown in below screen shot

UKSR RNS

UKSR RNS

Amount Adjustments

From all the above 3 headlines, we may face a situation in selecting a notifier/holder when they are
managing with a split in their domiciles within the group. Below are the few fund managers.

Axa S.A Group:

Axa SA

Axa Invest Mgmt Axa Framlinton Axa Rosenberg Alliance Bernstein

Axa Axa Rosenberg (UK) AllianceBernstein(UK)
Axa IM UK Axa Rosenberg (US) AllianceBernstein(US)
Alliance Cap Mgmt Axa Financial
Axa Colonia Konzern
Axa Australia
Axa France
Sun Life International (IOM) Ltd

Capital Group:
Capital Group

Capital Research & Management Co. Capital Group of Co. International
Capital World Investors Capital International Ltd
Capital Research Global Investors Capital Guardian Trust Co
Capital International, Inc
Capital International SrL Switzerland

UKSR RNS

Note: Now these formats are not followed

Fidelity Group
Fidelity Group

FIL Investments International (GB) Fidelity Management & Research (US)

UKSR RNS

Q&A

UKSR RNS

1) Public Dealing Disclosure by a party to an offer or person acting in concert (including dealings
for the account of discretionary investment clients) relates to

a. Dealing by Director
b. Holdings in Company
c. Rule 8.1/Form 8 DD
d. Rule 8.3/Form 8.3

2) Public Opening Position Disclosure/Dealing Disclosure by a person with interests in relevant
securities representing 1% or more relates to

a. Rule 8.1/Form 8 DD
b. Rule 8.3/Form 8.3
c. Take over rule
d. Mergers & Acquisitions

3) What does NT stands for in data management?
a. Northern Trust
b. Notifier
c. Notification
d. Note

4) Which type of shares is taken into consideration to input an RNS holdings:
a. Derivative
b. Bonds
c. Ordinary
d. Preference shares

5) From the below given options we click Alert before activate any RNS
a. HIC
b. Rule 8s
c. IOE
d. AR

UKSR RNS

6) When employees are given stock options or restricted stocks they often do not gain control
over that stock for a period of time, this period is called as .
a) Vesting Period
b) Grace Period
c) Margin Period
d) Interest Period

7) Amendment in RNS Notifications is called as
a) A change or replacement made
b) Construction
c) Unwanted information
d) None of the above

8) FTSE Group, an independent company jointly owned by the...
a) Financial Times and Store Exchange
b) Financial Times & London Stock Exchange
c) Fundamental Times Stock Exchange
9) Financial Times & Morning Star

UKSR RNS

10) Identiy the Holder from the below notification

UKSR RNS

a) John Whittaker
b) Goodweather Holdings Ltd
c) Peel Holdings Ltd
d) Capital Shopping Plc

11) In SOMAallows the Ben Own/ FM to move to end product:
a) 212
b) Share Register
c) Check Sheets
d) Nominee

12) What does CDI stands for in RNS?
a. Class depth Income
b. Company detail information
c. CHESS Depository Interest
d. Chemical distribution Institute

13) In a typical document of Rule 8s..is given under the head
Identity of the party to the offer making the disclosure
a) Share Holdings
b) Notifier
c) Date
d) Security Name.

14) An ADS stands for:

a) African Depositary Stock
b) American Depositary Stock
c) American Depositary share
d) American Disposable share

UKSR RNS

15) What is OTC stands for
a) Over Travelers Cheque
b) Opposite Trade Center
c) Over The Counter
d) Over The Correction

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