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Last checked at 
13 Jan 2021 09:44
Amendment - this form replaces RNS: 1168D. Changes made to Section 2a.
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FORMΒ 8.3Β
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BYΒ Β
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MOREΒ
Rule 8.3Β of the Takeover Code (the "Code")Β
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1.KEY INFORMATIONΒ
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(a)Full name ofΒ discloser:Β | John Edward StoryΒ |
(b)Owner or controller of interests and short positions disclosed, if different from 1(a):Β The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.Β | |
(c)Name of offeror/offeree in relation to whose relevant securitiesΒ this formΒ relates:Β Use a separate form for each offeror/offereeΒ | GfinityΒ PlcΒ |
(d)If an exempt fund manager connected with an offeror/offeree, state this and specifyΒ identity ofΒ offeror/offeree:Β | |
(e)Date position held/dealing undertaken:Β For an opening position disclosure,Β stateΒ the latestΒ practicable date prior to the disclosureΒ | 19thΒ October 2020Β |
(f)In addition to the company in 1(c) above, is the discloserΒ making disclosuresΒ in respect of anyΒ otherΒ party to the offer?Β If it is aΒ cashΒ offerΒ or possible cash offer, state "N/A"Β | N/AΒ If YES, specify which:Β |
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2.POSITIONS OF THE PERSON MAKING THE DISCLOSUREΒ
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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.Β
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(a)Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealingΒ (if any)Β
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Class of relevant security:Β Β | OrdinaryΒ Shares 0.1pΒ Β | |||
Β Β | InterestsΒ | Short positionsΒ | ||
NumberΒ | %Β | NumberΒ | %Β | |
(1)RelevantΒ securities owned and/or controlled:Β | 30,000,000Β | 3.88Β | ||
(2)Cash-settled derivatives:Β Β | Β 10,000,000 | 1.29Β | ||
(3)Stock-settled derivatives (including options)Β and agreements to purchase/sell:Β | ||||
Β TOTAL:Β | 40,000,000Β | 5.18Β | ||
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AllΒ interests andΒ allΒ short positions should be disclosed.Β
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Details of any openΒ stock-settledΒ derivativeΒ positionsΒ (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Formβ―8 (Open Positions).Β
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(b)Rights to subscribeΒ for new securities (including directors' and otherΒ employeeΒ options)Β
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Class of relevant securityΒ in relation to which subscription right exists:Β | Ordinary Share 0.1pΒ |
Details, including nature of the rights concerned and relevant percentages:Β | Warrants to subscribe for 40,000,000 ordinary shares at 1p with an expiry date 23rdΒ October 2021Β |
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3. DEALINGSΒ (IF ANY) BY THE PERSON MAKING THE DISCLOSUREΒ
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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.Β
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The currency of all prices and other monetary amounts should be stated.Β
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(a) Purchases and salesΒ
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Class of relevant securityΒ | Purchase/saleΒ Β | Number of securitiesΒ | Price per unitΒ |
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(b) Cash-settled derivative transactionsΒ
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Class of relevant securityΒ | Product descriptionΒ e.g.Β CFDΒ | Nature ofΒ dealingΒ e.g.Β opening/closing aΒ long/short position, increasing/reducingΒ aΒ long/short positionΒ | Number ofΒ referenceΒ securitiesΒ | Price per unitΒ |
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(c) Stock-settled derivativeΒ transactionsΒ (including options)Β
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(i) Writing, selling, purchasing or varyingΒ
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Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
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(ii) ExerciseΒ
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Class of relevant securityΒ | Product descriptionΒ e.g.Β call optionΒ | Exercising/ exercised againstΒ | Number of securitiesΒ | Exercise price per unitΒ |
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(d) Other dealings (includingΒ subscribing forΒ new securities)Β
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Class of relevant securityΒ | Nature ofΒ dealingΒ e.g.Β subscription, conversionΒ | DetailsΒ | Price per unit (if applicable)Β |
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4. OTHER INFORMATIONΒ
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(a) Indemnity and other dealing arrangementsΒ
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Details of anyΒ indemnity or optionΒ arrangement,Β orΒ any agreement orΒ understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealingΒ entered intoΒ by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:Β Irrevocable commitments and letters of intent shouldΒ notΒ be included. IfΒ there are no such agreements, arrangements or understandings, state "none"Β |
Β noneΒ Β |
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(b) Agreements, arrangements or understandings relating to options or derivativesΒ
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Details of any agreement, arrangement or understanding, formal or informal,Β between the personΒ making the disclosureΒ and any other person relating to:Β (i)the voting rights of any relevant securities under any option;Β orΒ Β (ii)the voting rights or future acquisition or disposal of any relevant securities to which any derivativeΒ is referenced:Β If there are no such agreements, arrangements or understandings, state "none"Β |
Β Β noneΒ |
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(c) AttachmentsΒ
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Is aΒ Supplemental Form 8 (Open Positions)Β attached?Β | NOΒ |
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Date of disclosure:Β | 6 January 2021Β |
Contact name:Β | John E StoryΒ |
Telephone number*:Β |
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Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.Β
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The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.Β
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*If the discloser is a naturalΒ person, a telephone number does not need to be included, provided contact information has been provided to the Panel's Market Surveillance Unit.Β
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The Code can be viewed on the Panel's website atΒ www.thetakeoverpanel.org.uk.Β
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