TIDMCCAP
RNS Number : 5441R
Charlemagne Capital Limited
12 December 2016
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON
ACTING IN CONCERT
(INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT
CLIENTS)
Charlemagne Capital is a Cayman Islands company and is not
subject to the UK City Code on Takeovers and Mergers (the "Code").
Accordingly the Code does not apply to the Offer by Fiera Capital
for Charlemagne Capital and this transaction is not subject to the
jurisdiction of, or being regulated by, the UK Panel on Takeovers
and Mergers (the "Takeover Panel"). However, Charlemagne Capital
and Fiera Capital have agreed, to the extent set out in the
Implementation Agreement, that they will conduct themselves and the
Offer as if the Offer were subject to the Code.
Disclosures made in relation to relevant securities of
Charlemagne Capital should be released via a Regulatory Information
Service using the headline "Document re: Charlemagne Capital". The
headline "Form 8/8.3"should not be used. Any question regarding
completion of these forms should be raised with N+1 Singer (tel:
+44 (0) 20 7496 3000). Charlemagne Capital Shareholders and persons
considering the acquisition or disposal of any interest in
Charlemagne Capital Shares are reminded that they are subject to
the Disclosure and Transparency Rules made by the UKLA and other
applicable regulatory rules regarding transactions in Charlemagne
Capital Shares.
1. KEY INFORMATION
(a) Full name of discloser: Mary Catherine Spinks
--------------------------------------------------- ---------------------------
(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 Charlemagne Capital Limited
to whose relevant securities this
form relates:
Use a separate form for each offeror/offeree
--------------------------------------------------- ---------------------------
(d) Status of person making the disclosure: Shareholder of Charlemagne
e.g. offeror, offeree, person acting Capital Limited
in concert with the offeror/offeree
(specify name of offeror/offeree)
--------------------------------------------------- ---------------------------
(e) Date dealing undertaken: 09-December-2016
--------------------------------------------------- ---------------------------
(f) In addition to the company in NO
1(c) above, is the discloser making If YES, specify which:
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: Ordinary Shares
------------------------------ ---------------------------------------------------
Interests Short positions
------------------------------ ------------------------ -------------------------
Number % Number %
------------------------------ --------------- ------- ---------------------
(1) Relevant securities 3,663,438* 1.3*
owned and/or controlled: 262,138** 0.09**
------------------------------ --------------- ------- ---------------------
(2) Cash-settled derivatives:
------------------------------ --------------- ------- ---------------------
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
------------------------------ --------------- ------- ---------------------
3,663,438* 1.3*
Total 262,138** 0.09**
----- ------------ --------
*Before sale described in part 3 below
**After sale described in part 3 below
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 (Open Positions).
Details of any securities borrowing and lending positions or
financial collateral arrangements should be
disclosed on a Supplemental Form (SBL).
(b) Rights to subscribe for new securities (including directors'
and other employee options)
Class of relevant security NA
in relation to which subscription
right exists:
-----------------------------------
Details, including nature of NA
the rights concerned and relevant
percentages:
-----------------------------------
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 Purchase/sale Number of securities Price per unit
security
----------------------- -------------------- ----------------------------- --------------------
Ordinary Shares Sale 3,401,300 13.75
----------------------- -------------------- ----------------------------- --------------------
(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/ Total number Highest price Lowest price
security sales of securities per unit paid/received per unit paid/received
------------------------ --------------- ------------------ -------------------------- --------------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of Price per
security e.g. CFD e.g. opening/closing reference unit
a long/short position, securities
increasing/reducing
a
long/short position
------------------------ ------------------------ ------------------------------ --------------- -------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercis Type Expir Option
of relevan descriptio purchasing of securitie e price e.g. y date money
t securit n e.g. call , selling, s to which per unit American paid/
y option varying option , receive
etc. relates Europea d per
n etc. unit
------------- -------------- --------------- --------------- ----------- ----------- -------- ----------
(ii) Exercise
Class of relevant Product description Exercising/ Number of Exercise price
security e.g. call option exercised against securities per unit
------------------------ ---------------------- ----------------------- ------------------------- ----------------
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit
security e.g. subscription, (if applicable)
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 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"
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NONE
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(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
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(c) Attachments
Are any Supplemental Forms attached? No
Supplemental Form (Open Positions) NO
----------------------------------- ---------
Supplemental Form (SBL) NO
----------------------------------- ---------
Date of disclosure: 09-December-2016
--------------------- ---------------------
Contact name: Mary Catherine Spinks
--------------------- ---------------------
Telephone number: +1 432 686 0720
--------------------- ---------------------
This information is provided by RNS
The company news service from the London Stock Exchange
END
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