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Form 8.3 - Plethora - Position Dealing Disclosure

Thu, 7th Jan 2016 15:00

FORM 8.3PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BYA PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORERule 8.3 of the Takeover Code (the "Code")1. KEY INFORMATION----------------------------------------------------------------------------(a) Full name of discloser: Baker Bros. Advisors LP----------------------------------------------------------------------------(b) Owner or controller of interestsand short positions disclosed, ifdifferent from 1(a):The naming of nominee or vehiclecompanies is insufficient. For atrust, the trustee(s), settlor andbeneficiaries must be named.----------------------------------------------------------------------------(c) Name of offeror/offeree in PLETHORA SOLUTIONS HOLDINGS PLCrelation to whose relevant securitiesthis form relates:Use a separate form for eachofferor/offeree----------------------------------------------------------------------------(d) If an exempt fund managerconnected with an offeror/offeree,state this and specify identity ofofferor/offeree:----------------------------------------------------------------------------(e) Date position held/dealing January 6, 2016undertaken:For an opening position disclosure,state the latest practicable dateprior to the disclosure----------------------------------------------------------------------------(f) In addition to the company in 1(c) NOabove, is the discloser makingdisclosures in respect of any otherparty to the offer?If it is a cash offer or possible cashoffer, state "N/A"----------------------------------------------------------------------------2. POSITIONS OF THE PERSON MAKING THE DISCLOSUREIf there are positions or rights to subscribe to disclose in more than one class of relevant securities of theofferor or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevantsecurity.(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosurerelates following the dealing (if any)----------------------------------------------------------------------------Class of relevant security: 1p Ordinary---------------------------------------------------------------------------- Interests Short positions ---------------------------------------- Number % Number %----------------------------------------------------------------------------(1) Relevant securities owned 50,331,385 6.11 and/or controlled:----------------------------------------------------------------------------(2) Cash-settled derivatives:----------------------------------------------------------------------------(3) Stock-settled derivatives (including options) and agreements to purchase/sell:---------------------------------------------------------------------------- TOTAL: 50,331,385 6.11----------------------------------------------------------------------------Class of relevant security: Fund raising warrants---------------------------------------------------------------------------- Interests Short positions ---------------------------------------- Number % Number %----------------------------------------------------------------------------(1) Relevant securities owned 28,619,528 28.29 and/or controlled:----------------------------------------------------------------------------(2) Cash-settled derivatives:----------------------------------------------------------------------------(3) Stock-settled derivatives (including options) and agreements to purchase/sell:---------------------------------------------------------------------------- TOTAL: 28,619,528 28.29----------------------------------------------------------------------------All interests and all short positions should be disclosed.Details of any open stock-settled derivative positions (including traded options), or agreements to purchase orsell 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 inrelation to which subscription rightexists:--------------------------------------------------------------------------Details, including nature of therights concerned and relevantpercentages:--------------------------------------------------------------------------3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSUREWhere there have been dealings in more than one class of relevant securities of the offeror or offeree named in1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealtin.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---------------------------------------------------------------------------Ordinary 1p Sale 2,000,000 4.13p---------------------------------------------------------------------------(b) Cash-settled derivative transactions---------------------------------------------------------------------------- Class of Product Nature of dealing Number of Price per relevant description e.g. opening/closing a reference unit security e.g. CFD long/short position, securities 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 Option money relevant description purchasing, securities price per e.g. date paid/ security e.g. call selling, to which unit American, received per option varying etc. option European unit relates etc.------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------(ii) Exercise--------------------------------------------------------------------------- Class of Product Exercising/ Number of Exercise price relevant description exercised securities per unit security e.g. call against option------------------------------------------------------------------------------------------------------------------------------------------------------(d) Other dealings (including subscribing for new securities)---------------------------------------------------------------------------- Class of relevant Nature of dealing Details Price per unit (if security e.g. subscription, applicable) conversion--------------------------------------------------------------------------------------------------------------------------------------------------------4. OTHER INFORMATION(a) Indemnity and other dealing arrangements----------------------------------------------------------------------------Details of any indemnity or option arrangement, or any agreement orunderstanding, formal or informal, relating to relevant securities which maybe an inducement to deal or refrain from dealing entered into by the personmaking the disclosure and any party to the offer or any person acting inconcert with a party to the offer:Irrevocable commitments and letters of intent should not be included. Ifthere are no such agreements, arrangements or understandings, state "none"----------------------------------------------------------------------------None----------------------------------------------------------------------------(b) Agreements, arrangements or understandings relating to options or derivatives--------------------------------------------------------------------------------------------------------------------------------------------------------NONE----------------------------------------------------------------------------(c) Attachments----------------------------------------------------------------------------Is a Supplemental Form 8 (Open Positions) attached? No------------------------------------------------------------------------------------------------------------------------------------------------------Date of disclosure: 7 January 2016--------------------------------------------------------------------------Contact name: Alexandra A. Toohey`--------------------------------------------------------------------------Telephone number: +1 212 339 5690--------------------------------------------------------------------------Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also beemailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel's Market Surveillance Unit isavailable 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.Contact Information: Baker Bros. Advisors LP© 2016 Marketwire L.P. All rights reserved.
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