TIDMHRI TIDMLID

RNS Number : 5688E

Herald Investment Trust PLC

06 November 2020

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:                                 Herald Investment Management Limited on behalf of 
                                                            discretionary clients 
(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 in relation to whose relevant   LiDCO Group 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 undertaken:                  2 November 2020 
For an opening position disclosure, state the latest 
practicable date prior to the disclosure 
(f) In addition to the company in 1(c) above, is the        YES / NO / N/A 
discloser making disclosures in respect                      If YES, specify which: 
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:                                                       0.5p ordinary shares 
                                                                                  Interests          Short positions 
                                                                                  Number      %      Number        % 
(1) Relevant securities owned and/or controlled:                                  16,666,667  6.83% 
(2) Cash-settled derivatives: 
(3) Stock-settled derivatives (including options) and agreements to 
purchase/sell: 
 
  TOTAL:                                                                          16,666,667  6.83%

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 relevant security  Purchase/sale  Number of securities  Price per unit 
 
 
   (b)        Cash-settled derivative transactions 
 
Class of relevant security  Product description  Nature of dealing          Number of reference         Price per unit 
                             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 price  Type           Expiry date  Option money 
relevant        description    purchasing,    securities to  per unit        e.g.                        paid/ 
security        e.g. call      selling,       which option                   American,                   received per 
                option         varying etc.   relates                        European etc.               unit 
 
 
   (ii)        Exercise 
 
Class of relevant         Product description  Exercising/ exercised     Number of securities  Exercise price per unit 
security                   e.g. call option    against 
 
 
   (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 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) attached?  YES /NO 
 
 
Date of disclosure:   05/11/2020 
Contact name:         Alison Skerritt-Black 
Telephone number*:    020 7696 5233

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.

*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel's Market Surveillance Unit.

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk .

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END

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November 06, 2020 13:41 ET (18:41 GMT)

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