Lombard Risk Management PLC Form 8.3 Lombard Risk Management plc (8693B)
January 15 2018 - 4:27AM
UK Regulatory
TIDMLRM
RNS Number : 8693B
Lombard Risk Management PLC
15 January 2018
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: Lombard Risk Management 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: Lombard Risk Management Plc
Use a separate form for each offeror/offeree
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(d) Is the discloser the offeror or the offeree? OFFEROR / OFFEREE
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(e) Date position held: 15 JANUARY 2018
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 YES / NO / N/A
respect If YES, specify which:
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: 0.5p Ordinary Shares
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Interests Short positions
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Number % Number %
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(1) Relevant securities owned and/or controlled: 234 0.00
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
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TOTAL: 234 0.00
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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:
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Details, including nature of the rights concerned and relevant percentages:
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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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Philip Crawford (Director): 6,122,736 Ordinary Shares of 0.5p representing 1.53%
John McCormick (Director): 5,076,756 Ordinary Shares of 0.5p representing 1.27%
Alastair Brown (Director): 1,683,400 Ordinary Shares of 0.5p representing 0.42%
Nigel Gurney (Director): 622,829 Ordinary Shares of 0.5p representing 0.16%
Stephen Rogers (Director): 459,272 Ordinary Shares of 0.5p representing 0.11%
Alexander Broderick (Director): 171,432 Ordinary Shares of 0.5p representing 0.04%
WG Partners LLP (financial adviser and joint broker): 677,120 Ordinary Shares of 0.5p representing
0.17%
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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"
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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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(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) YES/NO
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Supplemental Form 8 (SBL) YES/NO
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Date of disclosure: 15 January 2018
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Contact name: Nigel Gurney
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Telephone number: +44 20 7593 6700
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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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