Baker Bros. Advisors Form 8.3 Plethora - Position Dealing Disclosure
February 25 2016 - 10:00AM
UK Regulatory
TIDMTTM TIDMPLE
Form 8.3 Plethora - Position Dealing Disclosure
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
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(a) Full name of discloser: Baker Bros. Advisors LP
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(b) Owner or controller of interests and short
positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient. For a trust, the trustee(s), settlor
and beneficiaries must be named.
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(c) Name of offeror/offeree in relation to whose PLETHORA SOLUTIONS
relevant securities this form relates: HOLDINGS PLC
Use a separate form for each offeror/offeree
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(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity
of offeror/offeree:
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(e) Date position held/dealing undertaken: February 24, 2016
For an opening position disclosure, state the
latest practicable date prior to the disclosure
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(f) In addition to the company in 1(c) above, is NO
the discloser making disclosures in respect of any
other party to the offer?
If it is a cash offer or possible cash offer,
state "N/A"
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2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the
offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant
security.
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure
relates following the dealing (if any)
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Class of relevant security: 1p Ordinary
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Interests Short
positions
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Number % Number %
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(1) Relevant securities owned and/or 49,231,385 5.98
controlled:
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives (including
options) and agreements to
purchase/DEALING:
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TOTAL: 49,231,385 5.98
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Class of relevant security: Fund raising warrants
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Interests Short
positions
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Number % Number %
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(1) Relevant securities owned and/or 28,619,528 28.29
controlled:
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives (including
options) and agreements to
purchase/DEALING:
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TOTAL: 28,619,528 28.29
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All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or
sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors' and other employee options)
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Class of relevant security in relation
to which subscription right exists:
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Details, including nature of the
rights concerned and relevant
percentages:
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3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in
1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt
in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
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Class of relevant Number of
security Purchase/DEALING securities Price per unit
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Ordinary 1p Sale 350,000 3.75p
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(b) Cash-settled derivative transactions
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Nature of
dealing
e.g.
Class of Product opening/closing Number of
relevant description a long/short reference Price per unit
security e.g. CFD position, securities
increasing/reduc
ing a long/short
position
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(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
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Type
Product Writing, Number of e.g. Option
Class of description purchasing securities Exercise American Expiry money
relevant e.g. call , selling, to which price , date paid/
security option varying option per unit European received
etc. relates etc. per unit
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(ii) Exercise
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Product
Class of description Exercising/ Number of Exercise price
relevant e.g. call exercised securities per unit
security option against
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(d) Other dealings (including subscribing for new securities)
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Nature of dealing
Class of relevant e.g. subscription, Details Price per unit (if
security conversion applicable)
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4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
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Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities which may
be an inducement to deal or refrain from dealing entered into by the person
making the disclosure and any party to the offer or any person acting in
concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If
there are no such agreements, arrangements or understandings, state "none"
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None
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(b) Agreements, arrangements or understandings relating to options or derivatives
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NONE
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(c) Attachments
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Is a Supplemental Form 8 (Open Positions) attached? No
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