River and Mercantile Group PLC Form 8 (DD) - River and Mercantile Group PLC (6663H)
07 4월 2022 - 7:42PM
UK Regulatory
TIDMRIV TIDMASTO
RNS Number : 6663H
River and Mercantile Group PLC
07 April 2022
7 April 2022
LEI: 2138005C7REHURGWHW31
FORM 8 (DD)
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON
ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF
DISCRETIONARY INVESTMENT CLIENTS)
Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: Alex Hoctor-Duncan
(b) Owner or controller of interests and short positions disclosed, if N/A
different from 1(a):
------------------------------------------
(c) Name of offeror/offeree in relation to whose relevant securities this River and Mercantile Group PLC
form relates:
------------------------------------------
(d) Status of person making the disclosure: Person acting in concert with the offeree
------------------------------------------
(e) Date dealing undertaken: 6 April 2022
------------------------------------------
(f) In addition to the company in 1(c) above, is the discloser making No
disclosures in respect
of any other party to the offer?
------------------------------------------
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(a) Interests and short positions in the relevant securities of
the offeror or offeree to which the disclosure relates following
the dealing
Class of relevant security: Ordinary shares of GBP0.003 each
Interests Short positions
---------------------- ------------------
Number % Number %
------------- ------- ------------- ---
(1) Relevant securities owned and/or controlled: 188,679 0.22
------------- ------- ------------- ---
(2) Cash-settled derivatives:
------------- ------- ------------- ---
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
------------- ------- ------------- ---
TOTAL: 188,679 0.22
------------- ------- ------------- ---
(b) Rights to subscribe for new securities (including directors' and other employee options)
Class of relevant security in relation to which Ordinary shares of GBP0.003 each
subscription right exists:
Details, including nature of the rights concerned and One-off buy-out award under a standalone buy-out award deed
relevant percentages:
------------------------------------------------------------
Date of award Number of shares Exercise Price Vesting Date Expiry Date
--------------------- --------------------- ----------------------- --------------------- -------------------
25 March 2022 491,380 (0.57%) n/a 29 November 2024 9 April 2030
--------------------- --------------------- ----------------------- --------------------- -------------------
3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
(i) Party to an offer or person acting in concert (except for a
principal trader in the same group as a connected adviser)
Class of relevant security Purchase/sale Number of securities Price per unit
Ordinary shares of GBP0.003 each Purchase 188,679 GBP2.65
-------------- --------------------- ---------------
(ii) Principal trader where the sole reason for the connection
is that the principal trader is in the same group as a connected
adviser
Class of relevant Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
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 date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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 or person acting in concert making the
disclosure and any other person:
None
(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 or person acting in concert 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:
None
(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) NO
Supplemental Form 8 (SBL) NO
---
Date of disclosure: 7 April 2022
Contact name: Caroline Summers
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Telephone number: +44 20 3327 5072
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