finnCap Form 8 (DD) - Lombard Risk Management PLC (6610B)
January 11 2018 - 10:53AM
UK Regulatory
TIDMLRM
RNS Number : 6610B
finnCap
11 January 2018
These transactions have taken place as a consequence of book
flattening. The Panel Executive has informed finnCap Ltd on an ex
parte basis that such transactions are permitted and have no Code
consequences.
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) Identity of the party to the offer or person acting finnCap Ltd
in concert making the disclosure:
---------------------------------------------------------- ----------------------------------------------------------
(b) Owner or controller of interests and short positions
disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient
---------------------------------------------------------- ----------------------------------------------------------
(c) Name of offeror/offeree in relation to whose relevant Lombard Risk Management PLC
securities this form relates:
Use a separate form for each offeror/offeree
---------------------------------------------------------- ----------------------------------------------------------
(d) Status of person making the disclosure: Offeree concert party member (Nominated Adviser and
e.g. offeror, offeree, person acting in concert with the Broker to Lombard Risk Management, offeree)
offeror/offeree (specify name of
offeror/offeree)
---------------------------------------------------------- ----------------------------------------------------------
(e) Date dealing undertaken: 11 January 2018
---------------------------------------------------------- ----------------------------------------------------------
(f) Has the party previously disclosed, or is it today NO
disclosing, under the Code in respect
of any other party to this 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 GBP0.005
------------------------------------------------- --------------------------------
Interests Short positions
------------------------------------------------- ------------ ------------------
Number % Number %
------------------------------------------------- -------- ------------- ---
(1) Relevant securities owned and/or controlled: nil nil
------------------------------------------------- -------- ------------- ---
(2) Derivatives (other than options): nil nil
------------------------------------------------- -------- ------------- ---
(3) Options and agreements to purchase/sell: nil nil
------------------------------------------------- -------- ------------- ---
nil nil
TOTAL:
------------------------------------------------- -------- ------------- ---
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, 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 (including directors'
and other executive options)
Class of relevant security in relation to which subscription right exists:
----------------------------------------------------------------------------
Details, including nature of the rights concerned and relevant percentages:
----------------------------------------------------------------------------
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.
3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
--------------------------- -------------- --------------------- ---------------
Ordinary GBP0.005 Purchase 9,419 12.7 pence
--------------------------- -------------- --------------------- ---------------
(b) Derivatives transactions (other than options)
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) Options transactions in respect of existing securities
(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) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
e.g. call option
--------------------------- -------------------- --------------------- ------------------------
(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
--------------------------- ------------------------------- -------- -------------------------------
The currency of all prices and other monetary amounts should be
stated.
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.
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:
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 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:
If there are no such agreements, arrangements or understandings, state "none"
----------------------------------------------------------------------------------------------
None
----------------------------------------------------------------------------------------------
(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) NO
------------------------------------- ---
Supplemental Form 8 (SBL) NO
------------------------------------- ---
Date of disclosure: 11 January 2018
--------------------- ----------------
Contact name: Vijay Odedra
--------------------- ----------------
Telephone number: 020 7220 0510
--------------------- ----------------
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service and must also be emailed to the
Takeover Panel at monitoring@disclosure.org.uk. The Panel's Market
Surveillance Unit is available for consultation in relation to the
Code's dealing 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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