Harwood Wealth Management Group PLC Form 8 (OPD) Harwood Wealth Management Group PLC (2180Z)

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RNS Number : 2180Z

Harwood Wealth Management Group PLC

09 January 2020

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:                                                       Harwood Wealth Management Group PLC 
 (b) Owner or controller of interests and short positions disclosed, if            N/A 
 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    Harwood Wealth Management Group PLC 
 relates: 
 Use a separate form for each offeror/offeree 
                                                                                  ------------------------------------ 
 (d) Is the discloser the offeror or the offeree?                                  OFFEREE 
                                                                                  ------------------------------------ 
 (e) Date position held:                                                           8 January 2020 
  The latest practicable date prior to the disclosure 
                                                                                  ------------------------------------ 
 (f) In addition to the company in 1(c) above, is the discloser making             N/A 
 disclosures in respect 
 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      Nil       Nil 
                                                                                     -------  ----  -----------  ----- 
 (2) Cash-settled derivatives:                                                         Nil     Nil      Nil       Nil 
                                                                                     -------  ----  -----------  ----- 
 (3) Stock-settled derivatives (including options) and agreements to purchase/sell:    Nil     Nil      Nil       Nil 
                                                                                     -------  ----  -----------  ----- 
                                                                                       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) Interests held by directors of Harwood Wealth Management Group PLC and their close relatives: 
         Name                         Number of Ordinary Shares 
         Christopher Mills/Harwood 
          Holdco Ltd                  16,700,000 
         Mark Howard                  10,033,006 
         Neil Dunkley                 6,893,856 
         Sian Dunkley                 3,139,150 
         Alan Durrant                 2,351,885 
         Lynne Mills                  70,000 
         Nicholas Mills               20,000 
         Charles Mills                20,000 
 
 
        (b) Interests held by other persons presumed to be acting in concert with Harwood Wealth Management 
        Group PLC: 
         Name                                Number of Ordinary Shares 
         Oryx International Growth 
          Fund                               2,500,000 
         Richard Philbin                     1,200,000 
         Harwood Capital Nominees Limited    64,198 
 

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:    9 January 2020 
 Contact name:          Susie Hudson (Alma PR) 
                       ----------------------- 
 Telephone number:      [phone] 
                       ----------------------- 
 

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 [phone].

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 [e-mail] or visit www.rns.com.

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January 09, 2020 02:00 ET (07:00 GMT)