LLB Fund Services AG - Form 8.3 - Shanta Gold Ltd
09 Janeiro 2024 - 7:00AM
PR Newswire (US)
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”)
-
KEY
INFORMATION
(a) Full name of
discloser: |
LLB Swiss Investment
AG; Claridenstrasse 20, 8002
Zurich, Switzerland |
(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. |
On behalf of investment
fund: AMG Gold, Minen &
Metalle (Swiss domiciled
investment fund) |
(c) Name of
offeror/offeree in relation to whose relevant securities this form
relates:
Use a separate form for each
offeror/offeree |
Shanta Gold
Limited |
(d) If an exempt fund
manager connected with an offeror/offeree, state this and specify
identity of
offeror/offeree: |
|
(e) Date position
held/dealing undertaken:
For an opening position disclosure, state the latest practicable
date prior to the
disclosure |
20 December
2023 |
(f) In addition to the
company in 1(c) above, is 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”
|
N/A
|
-
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: |
Shanta Gold
Limited |
|
Interests |
Short
positions |
|
Number |
% |
Number |
% |
(1) Relevant securities
owned and/or
controlled: |
17,500,000 |
1.66 |
|
|
(2) Cash-settled
derivatives: |
|
|
|
|
(3) Stock-settled
derivatives (including options) and agreements to
purchase/sell: |
|
|
|
|
TOTAL: |
17,500,000 |
1.66 |
|
|
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: |
|
Details, including nature
of the rights concerned and relevant
percentages: |
|
-
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
|
Securities |
Sale |
17,500,000 |
0.13017 |
(b) Cash-settled
derivative transactions
Class of relevant
security |
Product
description
e.g.
CFD |
Nature of
dealing e.g. opening/closing a
long/short position,
increasing/reducing
a long/short
position
|
Number of reference
securities |
Price per
unit |
|
|
|
|
|
(c)
Stock-settled derivative
transactions (including
options)
(i)
Writing, selling, purchasing or
varying
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 |
|
|
|
|
|
|
|
|
(ii)
Exercise
Class of relevant
security |
Product
description
e.g. call
option |
Exercising/ exercised
against |
Number of
securities |
Exercise price per
unit |
|
|
|
|
|
(d) Other
dealings (including subscribing for new
securities)
Class of relevant
security |
Nature of
dealing e.g. subscription,
conversion |
Details |
Price per unit (if
applicable) |
|
|
|
|
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” |
|
(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” |
|
(c)
Attachments
Is a Supplemental Form 8
(Open Positions)
attached? |
NO
|
Date of
disclosure: |
8 January
2024 |
Contact
name: |
Dominik
Ebert |
Telephone
number*: |
0041 58 523 96
82 |
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.
*If the discloser is a
natural person, a telephone number does not need to be included,
provided contact information has been provided to the Panel’s
Market Surveillance
Unit.
The Code can be viewed on
the Panel’s website at www.thetakeoverpanel.org.uk.
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