Form 8.3 - National Express Group Plc
19 Noviembre 2021 - 07:53AM
Form 8.3 - National Express Group Plc
FORM 8.3
PUBLIC OPENING POSITION
DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH
INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR
MORERule 8.3 of the Takeover Code
(the “Code”)
1. KEY
INFORMATION
(a) Full name of
discloser: |
Rathbone Brothers PLC |
(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
relates: Use
a separate form for each offeror/offeree |
National Express Group PLC |
(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: For
an opening position disclosure, state the latest practicable date
prior to the disclosure |
18/11/2021 |
(f) In
addition to the company 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” |
No |
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: |
14,590,299 |
2.3759 |
|
|
(2) Cash-settled
derivatives: |
|
|
|
|
(3) Stock-settled
derivatives (including options) and agreements to
purchase/sell: |
|
|
|
|
TOTAL: |
14,590,299 |
2.3759 |
|
|
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 |
5p Ordinary Shares |
SALE |
18,000 |
239p |
(b) Cash-settled
derivative transactions
Class of relevant security |
Product descriptione.g. CFD |
Nature of dealinge.g.
opening/closing a long/short position, increasing/reducing a
long/short position |
Number of reference
securities |
Price per unit |
|
|
|
|
|
(c) Stock-settled
derivative transactions
(including
options)
(i) Writing,
selling, purchasing or varying
Class of relevant security |
Product description e.g. call option |
Writing, purchasing,
selling, varying etc. |
Number of securities to which option
relates |
Exercise price per
unit |
Typee.g. American, European etc. |
Expiry date |
Option money paid/
received per unit |
|
|
|
|
|
|
|
|
(ii) Exercise
Class of relevant security |
Product descriptione.g. call option |
Exercising/ exercised against |
Number of securities |
Exercise price per unit |
|
|
|
|
|
(d) Other
dealings (including subscribing for
new securities)
Class of relevant security |
Nature of dealinge.g.
subscription, conversion |
Details |
Price per unit (if 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” |
|
(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? |
No |
Date of disclosure: |
19/11/2021 |
Contact name: |
Angela HepburnCompliance
Department |
Telephone number: |
0151 236 6666 |
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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