Coltrane Asset Management L.P. Form 8.3 - Provident Financial PLC (3025Z)
16 Mayo 2019 - 8:01AM
UK Regulatory
TIDMPFG
RNS Number : 3025Z
Coltrane Asset Management L.P.
16 May 2019
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: Coltrane Asset Management, L.P.
(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 securities this form Provident Financial PLC
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: May 15, 2019
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 discloser making disclosures YES / NO / N/A
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 20 8/11p ordinary
security:
Interests Short positions
----------------- ------------------
Number % Number %
---------- ------------- ---
(1) Relevant securities
owned and/or controlled:
---------- ----- ------------- ---
(2) Cash-settled
derivatives: 9,879,504 3.89
---------- ----- ------------- ---
(3) Stock-settled
derivatives (including
options) and agreements
to purchase/sell:
---------- ----- ------------- ---
TOTAL: 9,879,504 3.89
---------- ----- ------------- ---
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 Purchase/sale Number of securities Price per unit
security
(b) Cash-settled derivative transactions
Class of relevant Product Nature of dealing Number Price per
security description e.g. opening/closing of reference unit
e.g. CFD a long/short position, securities
increasing/reducing
a long/short position
20 8/11p ordinary CFD Increasing a long 64,504 450.8086
position GBp
------------- ------------------------ -------------- ----------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of relevant description purchasing, of securities price e.g. American, date money
security e.g. call selling, to which per unit European paid/
option varying etc. option etc. received
relates per unit
(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 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"
(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"
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? YES/NO
NO
Date of disclosure: May 16, 2019
Contact name: George Cairoli
---------------
Telephone number: 1(212)259-6042
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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.
*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.
This information is provided by RNS, the news service of the
London Stock Exchange. RNS is approved by the Financial Conduct
Authority to act as a Primary Information Provider in the United
Kingdom. Terms and conditions relating to the use and distribution
of this information may apply. For further information, please
contact rns@lseg.com or visit www.rns.com.
END
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