Cape plc Opening position disclosure - Cape plc (7468L)
July 21 2017 - 3:43AM
UK Regulatory
TIDMCIU
RNS Number : 7468L
Cape plc
21 July 2017
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: Cape plc
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(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.
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(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Cape plc
Use a separate form for each offeror/offeree
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(d) Is the discloser the offeror or the offeree? OFFEREE
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(e) Date position held: 20 July 2017
The latest practicable date prior to the disclosure
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(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect N/A
of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
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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: Ordinary shares of 25 pence
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Interests Short positions
------------------------------------------------------------------------------- ----------------- ------------------
Number % Number %
------------------------------------------------------------------------------- ------------ --- --------------
(1) Relevant securities owned and/or controlled: Nil - Nil -
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(2) Cash-settled derivatives: Nil - Nil -
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(3) Stock-settled derivatives (including options) and agreements to Nil - Nil -
purchase/sell:
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Nil - Nil -
TOTAL:
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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: NONE
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Details, including nature of the rights concerned and relevant percentages: N/A
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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:
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a) Beneficial holdings of the directors of Cape plc and their close relatives and related
trusts in Cape plc shares
Class of Ordinary shares of 25 pence
relevant
security:
-------------------- ---------------------------------------------------
Name of registered Beneficial Description, Percentage
holder holder (if class and of issued
different) number of share
security capital
(%) (to
2 d.p.)
-------------------- ------------------- ----------------- -----------
66,807 ordinary
shares of
Tim Eggar N/A 25p each 0.06
-------------------- ------------------- ----------------- -----------
Jane Oatley 51,226 ordinary
(wife of shares of
Joe Oatley) N/A 25p each 0.04
-------------------- ------------------- ----------------- -----------
Canaccord 72,000 ordinary
Genuity Wealth shares of
Limited Jane Oatley 25p each 0.06
-------------------- ------------------- ----------------- -----------
39,029 ordinary
shares of
Michael Speakman N/A 25p each 0.03
-------------------- ------------------- ----------------- -----------
44,060 ordinary
Vidacos Nominees shares of
Limited Michael Speakman 25p each 0.04
-------------------- ------------------- ----------------- -----------
Integrated
Financial 10,000 ordinary
Arrangements shares of
Ltd Steve Good 25p each 0.01
-------------------- ------------------- ----------------- -----------
Barclayshare 8,000 ordinary
Nominees shares of
Ltd Michael Merton 25p each 0.01
-------------------- ------------------- ----------------- -----------
Pershing Sallyann Merton
Nominees (wife of Michael 2,000 ordinary
Ltd Merton) shares of 0.00
-------------------- ------------------- ----------------- -----------
b) Options over Cape plc shares held by the directors of Cape plc
Name Name of Shares Date Date Expiry Exercise
plan in respect of grant at date price
of which which
options exercisable
or awards
granted
----------- ------------ ------------ ---------- ------------- --------- ---------
Joe Oatley Cape plc 364,333 17 March 17 16 March Nil
2011 ordinary 2017 March 2022
Performance shares 2020
Share
Plan
("PSP")
----------- ------------ ------------ ---------- ------------- --------- ---------
PSP 280,788 29 April 29 29 April Nil
ordinary 2016 April 2021
shares 2019
----------- ------------ ------------ ---------- ------------- --------- ---------
PSP 260,412 19 March 19 19 March Nil
ordinary 2015 March 2020
shares 2018
------------ ------------ ---------- ------------- --------- ---------
PSP 154,232 31 March 31 31 March Nil
ordinary 2014 March 2019
shares 2017
----------- ------------ ------------ ---------- ------------- --------- ---------
Michael PSP 270,989 17 March 17 16 March Nil
Speakman ordinary 2017 March 2022
Shares 2020
----------- ------------ ------------ ---------- ------------- --------- ---------
PSP 208,848 29 April 29 29 April Nil
ordinary 2016 April 2021
Shares 2019
----------- ------------ ------------ ---------- ------------- --------- ---------
PSP 193,695 19 March 19 19 March Nil
ordinary 2015 March 2020
Shares 2018
------------ ------------ ---------- ------------- --------- ---------
PSP 114,712 31 March 31 31 March Nil
ordinary 2014 March 2019
Shares 2017
----------- ------------ ------------ ---------- ------------- --------- ---------
c) Employee benefit trust holdings of Cape plc
Trustee Number of ordinary Percentage of
shares of 25 issued share
pence each capital (%)
(to 2 d.p.)
------------------- ------------------- --------------
Sanne Fiduciary
Services Limited 447,821 0.37
------------------- ------------------- --------------
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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
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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 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"
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None
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(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) NO
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Supplemental Form 8 (SBL) NO
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Date of disclosure: 20 July 2017
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Contact name: Richard Allan
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Telephone number: 01895 431 705
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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.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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