Baker Bros. Advisors Form 8.3 - PLETHORA SOLUTIONS HOLDINGS PLC
16 Dezembro 2015 - 1:00PM
UK Regulatory
TIDMTTM TIDMPLE
Form 8.3 - PLETHORA SOLUTIONS HOLDINGS PLC
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 PLETHORA SOLUTIONS HOLDINGS
whose relevant securities this form relates: 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: December 15, 2015
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, NO
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"
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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 controlled: 54,581,385 6.63
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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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54,581,385 6.63
TOTAL:
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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 controlled: 28,619,528 28.29
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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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28,619,528 28.29
TOTAL:
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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 Purchase/DEALING Number of Price per unit
security securities
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Ordinary 1p Sale 4,000,000 4.77p
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(b) Cash-settled derivative transactions
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Class of Product Nature of dealing Number of Price per unit
relevant description e.g. opening/closing reference
security e.g. CFD a long/short securities
position,
increasing/reducing
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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Class of Product Writing, Number of Exercise Type Expiry Option
relevant description purchasing, securities price per e.g. date money paid/
security e.g. call selling, to which unit American, received
option varying etc. option European per unit
relates etc.
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(ii) Exercise
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Class of Product Exercising/ Number of Exercise price
relevant description exercised securities per unit
security e.g. call against
option
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(d) Other dealings (including subscribing for new securities)
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Class of relevant Nature of dealing Details Price per unit (if
security e.g. subscription, applicable)
conversion
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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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