Alexander Milne Form 8.3 - Lombard Risk Management (6939C)
23 1월 2018 - 11:12PM
UK Regulatory
TIDMLRM
RNS Number : 6939C
Alexander Milne
23 January 2018
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
(a) Full name of discloser: Alexander Milne
------------------------------------ ------------------------
(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.
------------------------------------ ------------------------
(c) Name of offeror/offeree Lombard Risk Management
in relation to whose relevant plc
securities this form relates:
Use a separate form for
each offeror/offeree
------------------------------------ ------------------------
(d) If an exempt fund manager
connected with an offeror/offeree,
state this and specify identity
of offeror/offeree:
------------------------------------ ------------------------
(e) Date position held/dealing 22 January 2018
undertaken:
For an opening position
disclosure, state the latest
practicable date prior to
the disclosure
------------------------------------ ------------------------
(f) In addition to the company N/A
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"
------------------------------------ ------------------------
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)
Class of relevant
security:
--------------------------- -------------------------------------
Interests Short positions
----------------- ------------------
Number % Number %
--------------------------- ---------- ----- ------------- ---
(1) Relevant securities
owned and/or controlled: 4,185,000 1.04
--------------------------- ---------- ----- ------------- ---
(2) Cash-settled
derivatives:
--------------------------- ---------- ----- ------------- ---
(3) Stock-settled
derivatives (including
options) and agreements
to purchase/sell:
--------------------------- ---------- ----- ------------- ---
TOTAL: 4,185,000 1.04
--------------------------- ---------- ----- ------------- ---
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:
---------------------------
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
Class of Purchase/sale Number of Price per
relevant securities unit
security
----------- --------------- ------------ ----------
Ordinary
0.5p Purchase 550,000 12.70p
----------- --------------- ------------ ----------
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number Price
relevant description e.g. opening/closing of reference per unit
security e.g. CFD a long/short securities
position, increasing/reducing
a long/short
position
---------- ------------- ------------------------------- -------------- ----------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of securities price e.g. date money
relevant e.g. selling, to which per American, paid/
security call varying etc. option unit European received
option relates etc. per
unit
---------- ------------- -------------- --------------- --------- ----------- ------- ----------
(ii) Exercise
Class of Product Exercising/ Number Exercise
relevant description exercised of securities price per
security e.g. call against unit
option
---------- ------------- ------------ --------------- -----------
(d) Other dealings (including subscribing for new securities)
Class of Nature of dealing Details Price per
relevant e.g. subscription, unit (if
security conversion 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"
------------------------------------------------
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"
--------------------------------------------------
None
--------------------------------------------------
(c) Attachments
Is a Supplemental Form 8 (Open Positions) NO
attached?
------------------------------------------ ---
Date of disclosure: 23 January 2018
--------------------- ----------------
Contact name: Alexander Milne
--------------------- ----------------
Telephone number: 07482 743822
--------------------- ----------------
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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