Panmure Gordon & Co. plc Form 8 (OPD) - Panmure Gordon & Co. plc (0418B)
30 Março 2017 - 8:05AM
UK Regulatory
TIDMPMR
RNS Number : 0418B
Panmure Gordon & Co. plc
30 March 2017
FORM 8 (OPD)
PUBLIC OPENING POSITION DISCLOSURE BY A PARTY TO AN OFFER
Rules 8.1 and 8.2 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: Panmure Gordon & Co. plc
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(b) Owner or controller of interests and short positions disclosed, if different from n/a
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 whose relevant securities this form relates: Panmure Gordon & Co. plc
Use a separate form for each offeror/offeree
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(d) Is the discloser the offeror or the offeree? OFFEREE
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(e) Date position held: 29 March 2017
The latest practicable date prior to the disclosure
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(f) In addition to the company in 1(c) above, is the discloser making disclosures in No
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 PARTY TO THE OFFER 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
Class of relevant security:
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Interests Short positions
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Number % Number %
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(1) Relevant securities owned and/or controlled: Nil 0 Nil 0
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(2) Cash-settled derivatives: Nil 0 Nil 0
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(3) Stock-settled derivatives (including options) and agreements to purchase/sell: Nil 0 Nil 0
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TOTAL: Nil 0 Nil 0
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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).
Details of any securities borrowing and lending positions or
financial collateral arrangements should be disclosed on a
Supplemental Form 8 (SBL).
(b) Rights to subscribe for new securities
Class of relevant security in relation to which subscription right exists: None
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Details, including nature of the rights concerned and relevant percentages: None
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3. POSITIONS OF PERSONS ACTING IN CONCERT WITH THE PARTY TO THE OFFER MAKING THE DISCLOSURE
Details of any interests, short positions and rights to subscribe (including directors' and
other employee options) of any person acting in concert with the party to the offer making
the disclosure:
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3 (a) Interests of directors of Panmure Gordon & Co. plc in Panmure Gordon & Co. plc's ordinary
shares of 4 pence each
Name No. of Ordinary Percentage of
Shares Issued Share
Capital*
---------------- ---------------- --------------
Patric Johnson 7,700 0.050%
---------------- ---------------- --------------
Lesley Watkins 13,000 0.084%
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3 (b) Interests in Panmure Gordon & Co. plc's ordinary shares of 4 pence each held by directors
pursuant to Panmure Gordon & Co. plc's share plans and incentive schemes
Performance share plan
Name No. of Date of Vesting Exercise
Ordinary grant date price per
Shares share
awarded
--------- ---------- --------- --------------- -----------
Patric 310,910 24 March 50% to Nil
Johnson 2016 vest on
24 March
2018 with
the remaining
vesting
on 24 March
2019
--------- ---------- --------- --------------- -----------
Patric 53,137* 24 March 24 March Nil
Johnson 2015 2017
--------- ---------- --------- --------------- -----------
Patric 6,097** 26 March 31 March Nil
Johnson 2014 2017
--------- ---------- --------- --------------- -----------
* In accordance with the co-operation agreement dated 17 March 2017 between Ellsworthy Limited
and Panmure Gordon & Co plc ("Panmure Gordon") the remuneration committee of Panmure Gordon
is considering converting awards outstanding in respect of 53,137 Panmure Gordon Shares to
nil cost options which will fully vest on the Scheme Sanction Date, as defined in the Rule
2.7 announcement dated 17 March 2017.
** In accordance with the co-operation agreement dated 17 March 2017 between Ellsworthy Limited
and Panmure Gordon the remuneration committee of Panmure Gordon is considering extending the
exercise date of options outstanding in respect of 6,097 Panmure Gordon Shares to a date being
no later than the Effective Date, as defined in the Rule 2.7 announcement dated 17 March 2017.
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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).
Details of any securities borrowing and lending positions or
financial collateral arrangements should be disclosed on a
Supplemental Form 8 (SBL).
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 party to the offer making the disclosure or any person acting
in concert with it:
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 party
to the offer making the disclosure, or any person acting in concert with it, 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
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) No
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Supplemental Form 8 (SBL) No
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Date of disclosure: 30 March 2017
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Contact name: Ann Whitfield
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Telephone number: +44 (0)20 7886 2500
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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
END
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