Baker Bros. Advisors Form 8.3 - Plethora - Position Dealing Disclosure
2016年3月8日 - 12:00AM
ＲＮＳを含む英国規制内ニュース （英語）
TIDMTTM TIDMPLE
Form 8.3 - Plethora - Position Dealing Disclosure
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
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(a) Full name of discloser: Baker Bros. Advisors LP
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(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.
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(c) Name of offeror/offeree in relation PLETHORA SOLUTIONS HOLDINGS PLC
to whose relevant securities this form
relates:
Use a separate form for each
offeror/offeree
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(d) If an exempt fund manager connected
with an offeror/offeree, state this and
specify identity of offeror/offeree:
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(e) Date position held/dealing March 4, 2016
undertaken:
For an opening position disclosure,
state the latest practicable date prior
to the disclosure
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(f) In addition to the company in 1(c) NO
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"
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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)
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Class of relevant security: 1p Ordinary
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Interests Short positions
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Number % Number %
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(1) Relevant securities owned and/or
controlled: 36,181,385 4.39
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives
(including options) and agreements
to purchase/DEALING:
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TOTAL: 36,181,385 4.39
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Class of relevant security: Fund raising warrants
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Interests Short positions
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Number % Number %
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(1) Relevant securities owned and/or
controlled: 28,619,528 28.29
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives
(including options) and agreements
to purchase/DEALING:
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TOTAL: 28,619,528 28.29
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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)
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Class of relevant security in relation
to which subscription right exists:
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Details, including nature of the
rights concerned and relevant
percentages:
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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
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Class of relevant Number of
security Purchase/DEALING securities Price per unit
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Ordinary 1p Sale 5,000,000 3.00p
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(b) Cash-settled derivative transactions
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Nature of
dealing
e.g.
Class of Product opening/closing Number of
relevant description a long/short reference Price per unit
security e.g. CFD position, securities
increasing/reduc
ing a long/short
position
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(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
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Writing, Number of Type Option
Class of Product purchasing, securities Exercise e.g. money
Relevant description selling, to which price per American, Expiry paid/
security e.g. call varying option unit European date received
option etc. relates etc. per unit
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(ii) Exercise
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Product
Class of description Exercising/ Number of Exercise price
relevant e.g. call exercised securities per unit
security option against
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(d) Other dealings (including subscribing for new securities)
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Nature of dealing
Class of relevant e.g. subscription, Details Price per unit (if
security conversion applicable)
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4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
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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"
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None
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(b) Agreements, arrangements or understandings relating to options or derivatives
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NONE
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(c) Attachments
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Is a Supplemental Form 8 (Open Positions) attached? No
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Date of disclosure: 7 March 2016
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March 07, 2016 10:00 ET (15:00 GMT)
Contact name: Alexandra A. Toohey
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Telephone number: +1 212 339 5690
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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 disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
Baker Bros. Advisors LP
(END) Dow Jones Newswires
March 07, 2016 10:00 ET (15:00 GMT)
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