Panmure Gordon & Co. plc Form 8.3 - Panmure Gordon & Co. plc (1998B)
March 31 2017 - 8:15AM
UK Regulatory
TIDMPMR
RNS Number : 1998B
Panmure Gordon & Co. plc
31 March 2017
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
(a) Full name of discloser: Panmure Gordon & Co. plc No. 2 Employee Benefit Trust
---------------------------------------------------------- ----------------------------------------------------------
(b) Owner or controller of interests and short positions Praxis Trustees Limited
disclosed, if different from 1(a):
The naming of nominee or vehicle companies is The beneficiaries of the EBT are the employees and/or
insufficient. For a trust, the trustee(s), former employees of Panmure Gordon &
settlor and beneficiaries must be named. Co. Plc and/or the wife, husband, widow, widower or
children or step-children under the age
of 18 of such employee or former employee provided that
no person who is for the time being
an Excluded Person shall be or be capable of being a
Beneficiary.
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(c) Name of offeror/offeree in relation to whose relevant Panmure Gordon & Co. Plc
securities this form relates:
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: 29 March 2017
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 the N/A
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)
Class of relevant security:
------------------------------------------------------------------------------- -------------------------------------
Interests Short positions
----------------- ------------------
Number % Number %
------------------------------------------------------------------------------- ---------- ----- ------------- ---
(1) Relevant securities owned and/or controlled: 1,042,990 6.71
------------------------------------------------------------------------------- ---------- ----- ------------- ---
(2) Cash-settled derivatives:
------------------------------------------------------------------------------- ---------- ----- ------------- ---
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
------------------------------------------------------------------------------- ---------- ----- ------------- ---
TOTAL: 1,042,990 6.71
------------------------------------------------------------------------------- ---------- ----- ------------- ---
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)
Class of relevant security in relation to which subscription right exists: None
---------------------------------------------------------------------------- -----
Details, including nature of the rights concerned and relevant percentages: N/A
---------------------------------------------------------------------------- -----
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
Class of relevant security Purchase/sale Number of securities Price per unit
--------------------------- -------------- --------------------- ---------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
------------- ------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
----------------------- -------------------- ----------------------- --------------------- -----------------------
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
--------------------------- ------------------------------- -------- -------------------------------
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
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
Details of any agreement, arrangement or understanding, formal or informal, between the person
making the disclosure and any other person relating to:
(i) the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant securities to which
any derivative is referenced:
If there are no such agreements, arrangements or understandings, state "none"
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none
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
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Date of disclosure: 31 March 2017
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Contact name: Jeff Wilkes-Green
--------------------- -------------------
Telephone number: 44 (0) 1481 737600
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Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service.
The Panel's Market Surveillance Unit is available for
consultation in relation to the Code's disclosure requirements on
+44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk.
This information is provided by RNS
The company news service from the London Stock Exchange
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