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Share Name | Share Symbol | Market | Type | Share ISIN | Share Description |
---|---|---|---|---|---|
Nucleus Financial Group Plc | LSE:NUC | London | Ordinary Share | GB00BG226J60 | ORD 0.1P |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 191.50 | 0.00 | 00:00:00 |
Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
---|---|---|---|---|---|
0 | 0 | N/A | 0 |
TIDMNUC
RNS Number : 6022L
Nucleus Financial Group PLC
13 January 2021
FORM 8 (DD)
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)
Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")
1. KEY INFORMATION (a) Full name of discloser: David Ritchie Ferguson (b) Owner or controller of interests and short positions N/A 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 Nucleus Financial Group plc (offeree) securities this form relates: Use a separate form for each offeror/offeree ---------------------------------------------------------- (d) Status of person making the disclosure: Person acting in concert with the offeree - Chief e.g. offeror, offeree, person acting in concert with the Executive Officer offeror/offeree (specify name of offeror/offeree) ---------------------------------------------------------- (e) Date dealing undertaken: 12 January 2021 ---------------------------------------------------------- (f) In addition to the company in 1(c) above, is the N/A 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" ---------------------------------------------------------- 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
Class of relevant security: Interests Short positions ------------------ ------------------ Number % Number % ----------- ----- ------------- --- (1) Relevant securities owned and/or controlled: 1,815,254* 2.37 ----------- ----- ------------- --- (2) Cash-settled derivatives: ----------- ----- ------------- --- (3) Stock-settled derivatives (including options) and agreements to purchase/sell: ----------- ----- ------------- --- TOTAL: 1,815,254 2.37 ----------- ----- ------------- ---
*Includes an interest in 5,066 ordinary shares held in the Nucleus Financial Group plc share incentive plan ("SIP")
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 (including directors' and other employee options) Class of relevant security in relation to which subscription right exists: LTIP awards over ordinary shares Details, including nature of the rights concerned and relevant percentages: 754,942 (details below) ---------------------------------
LTIP awards held by David Ferguson
Date of grant Exercise price Vesting date Interest 26 July 2018 Nil 26 July 2021 243,441 ---------------- -------------- --------- 3 April 2019 Nil 3 April 2022 199,786 ---------------- -------------- --------- 19 May 2020 Nil 19 May 2023 311,715 ---------------- -------------- --------- Total 754,942 ---------
The Nucleus Financial Group plc LTIP comprises conditional awards of nil cost options over ordinary shares to selected members of the senior management team (including the executive directors) and certain other employees, which vest on the achievement of specified performance targets and continuous employment over a certain period of time (the vesting period).
3. DEALINGS 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
(i) Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)
Class of relevant security Purchase/sale Number of securities Price per unit Ordinary shares of 0.1p each Purchase (into SIP) 85 175p --------------------- --------------------- ---------------
(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser
Class of relevant Purchases/ sales Total number of Highest price per unit Lowest price per unit security securities paid/received paid/received N/A N/A N/A N/A N/A ----------------- ------------------------ ----------------------- ----------------------- (b) Cash-settled derivative transactions Class of relevant Product description Nature of dealing Number of reference Price per unit security e.g. CFD e.g. opening/closing a securities long/short position, increasing/reducing a long/short position N/A N/A N/A N/A N/A -------------------- ------------------------- ------------------------- --------------- (c) Stock-settled derivative transactions (including options) (i) Writing, selling, purchasing or varying Class of Product Writing, Number of Exercise Type Expiry date Option money relevant description purchasing, securities price per e.g. paid/ security e.g. call selling, to which unit American, received per option varying etc. option European unit relates etc. N/A N/A N/A N/A N/A N/A N/A N/A ------------- ------------- ------------- -------------- ------------- ------------ ------------- (ii) Exercise Class of relevant Product description Exercising/ exercised Number of securities Exercise price per security e.g. call option against unit N/A N/A N/A N/A N/A -------------------- ----------------------- --------------------- ----------------------- (d) Other dealings (including subscribing for new securities) Class of relevant security Nature of dealing Details Price per unit (if applicable) e.g. subscription, conversion Ordinary shares of 0.1p each Issue of matching shares under SIP scheme 85 shares Nil* ------------------------------------------ ---------- -------------------------------
*Matching shares purchased by the SIP trustee at 175p each and issued at no expense to the recipient
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 or person acting in concert making the disclosure and any other person: 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 or person acting in concert 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
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) NO Supplemental Form 8 (SBL) NO --- Date of disclosure: 13 January 2021 Contact name: Michelle Bruce, Company Secretary ---------------------------------- Telephone number: +44 (0)131 226 9800 ----------------------------------
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 dealing 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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END
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(END) Dow Jones Newswires
January 13, 2021 10:53 ET (15:53 GMT)
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