TIDMAFN

RNS Number : 7328Y

ADVFN PLC

18 January 2022

FORM 8 (OPD)

PUBLIC OPENING POSITION DISCLOSURE BY A PARTY TO AN OFFER

Rules 8.1 and 8.2 of the Takeover Code (the "Code")

   1.         KEY INFORMATION 
 
 (a) Full name of discloser:                                                                    ADVFN PLC 
 (b) Owner or controller of interests and short positions disclosed, if different from 1(a):    N/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 relates:        ADVFN PLC 
  Use a separate form for each offeror/offeree 
                                                                                               ---------------- 
 (d) Is the discloser the offeror or the offeree?                                               OFFEREE 
                                                                                               ---------------- 
 (e) Date position held:                                                                        17 JANUARY 2022 
  The latest practicable date prior to the disclosure 
                                                                                               ---------------- 
 (f) In addition to the company in 1(c) above, is the discloser making disclosures in respect   N/A 
  of any other party to the offer? 
  If it is a cash offer or possible cash offer, state "N/A" 
                                                                                               ---------------- 
 
   2.         POSITIONS OF THE PARTY TO THE OFFER 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

 
 Class of relevant security: 
                                                                                       Interests     Short positions 
                                                                                     ------------  ------------------ 
                                                                                      Number    %      Number      % 
                                                                                     --------      -------------  --- 
 (1) Relevant securities owned and/or controlled:                                       Nil             Nil 
                                                                                     --------      -------------  --- 
 (2) Cash-settled derivatives:                                                          Nil             Nil 
                                                                                     --------      -------------  --- 
 (3) Stock-settled derivatives (including options) and agreements to purchase/sell:     Nil             Nil 
                                                                                     --------      -------------  --- 
                                                                                        Nil             Nil 
   TOTAL: 
                                                                                     --------      -------------  --- 
 

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).

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 
 
 Class of relevant security in relation to which subscription right exists:    Nil 
 Details, including nature of the rights concerned and relevant percentages:   Nil 
                                                                              ---- 
 
   3.         POSITIONS OF PERSONS ACTING IN CONCERT WITH THE PARTY TO THE OFFER MAKING THE DISCLOSURE 
 
 Details of any interests, short positions and rights to subscribe (including directors' and 
  other employee options) of any person acting in concert with the party to the offer making 
  the disclosure: 
 
        (A) Ordinary Shares of 0.2p each ("Ordinary Shares") held by Directors of ADVFN PLC and their 
        close relatives and related trusts (excluding the options and awards set out further below 
        in paragraph B): 
         Name                       Number of Ordinary   Percentage of total 
                                     Shares held          issued ordinary 
                                     in ADVFN PLC         share capital of 
                                                          ADVFN PLC (%) 
         Directors 
                                   -------------------  -------------------- 
         Michael Hodges             26,000               0.09% 
                                   -------------------  -------------------- 
         Clement Chambers           1,014,671            3.88% 
                                   -------------------  -------------------- 
         Jonathan Mullins           18,577               0.07% 
                                   -------------------  -------------------- 
         Matthew Collom             Nil                  Nil 
                                   -------------------  -------------------- 
         Tom Spiller                Nil                  Nil 
                                   -------------------  -------------------- 
 
         Close Relatives 
                                   -------------------  -------------------- 
         Philip Gilbert Chambers    2,000                0.00% 
                                   -------------------  -------------------- 
         Francesca De Franco        1,569                0.00% 
                                   -------------------  -------------------- 
         Christopher Mullins        400                  0.00% 
                                   -------------------  -------------------- 
         Penny Hodges               3,400                0.00% 
                                   -------------------  -------------------- 
         Eleanor Hewitt             400                  0.00% 
                                   -------------------  -------------------- 
 
 
        (B) Options held by Directors of ADVFN PLC in Ordinary Shares: 
         Name                Date Granted    Total          Exercise   Vesting      Expiry 
                                              number         Price      Date         Date 
                                              of Ordinary 
                                              Shares 
         Michael Hodges      27/01/2004      40,000         14p        31/12/2013   31/12/2022 
                            --------------  -------------  ---------  -----------  ----------- 
          27/01/2005                         40,000         14p        21/12/2013   21/12/2022 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          06/09/2006                         60,000         14p        21/12/2013   31/12/2022 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          21/10/2009                         31,473         14p        31/12/2013   31/12/2022 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          12/12/2014                         200,000        14p        12/12/2015   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          12/12/2014                         200,000        79.5p      12/12/2015   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          07/06/2018                         40,000         43.75p     10/06/2018   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          07/06/2018                         40,000         31.25p     10/06/2018   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
 
         Clement Chambers    12/12/2014      200,000        14p        12/12/2015   12/12/2024 
                            --------------  -------------  ---------  -----------  ----------- 
          12/12/2014                         200,000        79.5p      12/12/2015   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          07/06/2018                         160,000        43.75p     10/06/2018   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          15/01/2018                         40,000         27.5p      24/01/2019   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
 
         Jonathan Mullins    27/01/2004      40,000         14p        31/12/2013   31/12/2022 
                            --------------  -------------  ---------  -----------  ----------- 
          27/01/2005                         40,000         14p        21/12/2013   21/12/2022 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          06/09/2006                         60,000         14p        21/12/2013   31/12/2022 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          12/12/2014                         100,000        14p        12/12/2015   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          12/12/2014                         100,000        79.5p      12/12/2015   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          07/06/2018                         20,000         43.75p     10/06/2018   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
          07/06/2018                         40,000         31.25p     10/06/2018   12/12/2024 
         ---------------------------------  -------------  ---------  -----------  ----------- 
 
         Matthew Collom      12/12/2014      200,000        14p        12/12/2015   12/12/2024 
                            --------------  -------------  ---------  -----------  ----------- 
 
 
        (C) Ordinary Shares held by parties acting in concert with Directors of ADVFN: 
         Name                 Number of Ordinary   Percentage of total 
                               Shares held in       issued ordinary 
                               ADVFN PLC            share capital of 
                                                    ADVFN PLC (%) 
         Online Blockchain 
          plc                 4,605,938            17.63% 
                             -------------------  -------------------- 
 

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).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

   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 making the disclosure or any person acting 
  in concert with it: 
  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 party 
  to the offer making the disclosure, or any person acting in concert with it, 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:    18 JANUARY 2022 
 Contact name:          JONATHAN MULLINS 
                       ----------------- 
 Telephone number:      +44 20 3868 6702 
                       ----------------- 
 

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 .

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January 18, 2022 02:00 ET (07:00 GMT)

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