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Share Name Share Symbol Market Type Share ISIN Share Description
Midatech Pharma Plc LSE:MTPH London Ordinary Share GB00BKT14T00 ORD 0.1P
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.50 1.45% 35.00 34.00 36.00 35.50 34.00 34.50 840,985 13:32:15
Industry Sector Turnover (m) Profit (m) EPS - Basic PE Ratio Market Cap (m)
Pharmaceuticals & Biotechnology 0.3 -10.9 -50.0 - 21

IROQUOIS CAPITAL: Form 8.3 - Midatech Pharma plc

24/06/2020 5:18pm

UK Regulatory (RNS & others)


Midatech Pharma (LSE:MTPH)
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From Jun 2020 to Aug 2020

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TIDMMTPH 
 
 

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:                   Iroquois Capital Management, LLC 
(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:   Midatech Pharma plc 
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: 
For an opening position disclosure, state      May 18, 2020 
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 of any other party to the offer?    NO 
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 security:  ADR ICON US 59564R3021 
                             Interests                       Short positions 
                             Number                    %     Number        % 
(1) Relevant securities 
 owned 11 and/or             11,180 ADRS 
 controlled: (5               (55,900 common shares)   .001 
(2) Cash-settled 
derivatives: 
(3) Stock-settled 
derivatives (including 
options) and agreements to 
purchase/sell: 
                             11,180 ADRS 
 TOTAL:                       (55,900 common shares)   .001 
 

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  warrant to subscribe for ordinary 
to which subscription right exists:     shares 
Details, including nature of the        136,364 at $2.05 
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 
ADR                       sale            125,184               $1.57 
 

(b) Cash-settled derivative transactions

 
Class of       Product        Nature of dealing    Number of     Price per 
relevant       description    e.g.                 reference     unit 
security       e.g. CFD       opening/closing a    securities 
                              long/short 
                              position, 
                              increasing/reducing 
                              a long/short 
                              position 
 
 

(c) Stock-settled derivative transactions (including options)

 

(i) Writing, selling, purchasing or varying

 
Class of  Product      Writing,     Number of   Exercise  Type e.g.  Expiry  Option 
relevant  description  purchasing,  securities  price     American,  date    money 
security  e.g. call    selling,     to which    per       European           paid/ 
          option       varying      option      unit      etc.               received 
                       etc.         relates                                  per 
                                                                             unit 
 
 

(ii) Exercise

 
Class of        Product         Exercising/     Number of       Exercise price 
relevant        description     exercised       securities      per unit 
security        e.g. call       against 
                option 
 
 

(d) Other dealings (including subscribing for new securities)

 
                        Nature of dealing e.g. 
Class of relevant       subscription,                    Price per unit (if 
security                conversion              Details  applicable) 
                        Receipt of Placement 
ADR                      of ADR's               136,364  $1.65 
 

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" 
 
 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" 
 
 None 
 

(c) Attachments

 
Is a Supplemental Form 8 (Open Positions) attached?  NO 
 
 
Date of disclosure:   23/06/20 
Contact name:         Kimberly Page 
Telephone number*:    212-974-3070 
 

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.

 

View source version on businesswire.com: https://www.businesswire.com/news/home/20200624005670/en/

 
    CONTACT: 

Iroquois Capital Management, LLC

 
    SOURCE: Iroquois Capital Management, LLC 
Copyright Business Wire 2020 
 

(END) Dow Jones Newswires

June 24, 2020 12:18 ET (16:18 GMT)

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