Form 8.3 - The Vanguard Group, Inc.: Sirius Minerals plc (997089)

 
 The Vanguard Group, Inc. ( ) 
Form 8.3 - The Vanguard Group, Inc.: Sirius Minerals plc 
 
13-March-2020 / 13:18 GMT/BST 
Dissemination of a Regulatory Announcement, transmitted by EQS Group. 
The issuer is solely responsible for the content of this announcement. 
 
            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:             The Vanguard Group, Inc. 
(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 Sirius Minerals plc 
to whose relevant securities this form 
relates: 
 
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          12 March 2020 
undertaken: 
 
For an opening position disclosure, 
state the latest practicable date prior 
to the disclosure 
(f) In addition to the company in 1(c)  N/A 
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" 
 
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                         0.25p ordinary 
relevant 
security: 
 
                      Interests            Short positions 
 
                  Number        %        Number          % 
(1) Relevant    236,314,758   3.37% 
securities 
owned and/or 
controlled: 
(2) 
Cash-settled 
derivatives: 
 
(3) 
Stock-settled 
derivatives 
(including 
options) and 
agreements to 
purchase/sell: 
                236,314,758   3.37% 
 
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). 
 
(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 Purchase/sale     Number of     Price per unit 
    security                       securities 
 
Common Stock      Sale          56,082            0.05 GBP 
 
(b) Cash-settled derivative transactions 
 
 Class of      Product      Nature of    Number of    Price per 
 relevant    description     dealing     reference      unit 
 security                                securities 
 
              e.g. CFD        e.g. 
                          opening/closi 
                              ng a 
                           long/short 
                            position, 
                          increasing/re 
                            ducing a 
                           long/short 
                            position 
 
(c) Stock-settled derivative transactions (including options) 
 
(i) Writing, selling, purchasing or varying 
 
Class  Product Writing, Number Exercise Type    Expiry   Option 
  of   descrip purchasi   of    price            date     money 
releva  tion     ng,    securi per unit                   paid/ 
  nt    e.g.   selling,  ties                            receive 
securi  call   varying    to            e.g.              d per 
  ty   option    etc.   which           Ameri             unit 
                        option          can, 
                        relate          Europ 
                          s              ean 
                                        etc. 
 
(ii) Exercise 
 
 Class of    Product     Exercising/    Number of    Exercise 
 relevant  description    exercised     securities   price per 
 security                  against                     unit 
 
            e.g. call 
             option 
 
(d) Other dealings (including subscribing for new securities) 
 
Class of relevant  Nature of dealing  Details  Price per unit 
     security                                  (if applicable) 
 
                   e.g. subscription, 
                       conversion 
 
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 
 
                    13 March 2020 
 
Date of disclosure: 
                    Shawn Acker 
 
Contact name: 
                    001-610-669-8989 
 
Telephone number: 
 
    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 
       [e-mail]. 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 
            [1]. 
 
Category Code: RET - Sirius Minerals plc 
TIDM: 
LEI Code:      5493002789CX3L0CJP65 
Sequence No.:  52269 
EQS News ID:   997089 
 
End of Announcement EQS News Service 
 
 
1: https://eqs-cockpit.com/cgi-bin/fncls.ssp?fn=redirect&url=d610e80acff92c902df9f1f3bdbd4b53&application_id=997089&site_id=vwd&application_name=news 
 

(END) Dow Jones Newswires

March 13, 2020 09:18 ET (13:18 GMT)