Baker Bros. Advisors Form 8.3 - Plethora - Position Dealing Disclosure
February 29 2016 - 9:00AM
UK Regulatory
TIDMTTM TIDMPLE
Form 8.3 - Plethora - Position Dealing Disclosure
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
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(a) Full name of discloser: Baker Bros. Advisors LP
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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 PLETHORA SOLUTIONS HOLDINGS PLC
relation to whose relevant
securities this form relates:
Use a separate form for each
offeror/offeree
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(d) If an exempt fund manager
connected with an offeror/offeree,
state this and specify identity
of offeror/offeree:
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(e) Date position held/dealing February 26, 2016
undertaken:
For an opening position disclosure,
state the latest practicable date
prior to the disclosure
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(f) In addition to the company in 1(c) NO
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"
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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)
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Class of relevant security: 1p Ordinary
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Interests Short
positions
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Number % Number %
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(1) Relevant securities owned and/or controlled: 47,681,385 5.79
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives (including options)
and agreements to purchase/DEALING:
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47,681,385 5.79
TOTAL:
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Class of relevant security: Fund raising warrants
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Interests Short
positions
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Number % Number %
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(1) Relevant securities owned and/or controlled: 28,619,528 28.29
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives (including options)
and agreements to purchase/DEALING:
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28,619,528 28.29
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).
(b) Rights to subscribe for new securities (including directors' and other employee options)
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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. 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
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Class of relevant Purchase/DEALING Number of Price per unit
security securities
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Ordinary 1p Sale 100,000 3.75p
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(b) Cash-settled derivative transactions
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Class of Product Nature of dealing Number of Price per unit
relevant description e.g. opening/closing reference
security e.g. CFD a long/short securities
position,
increasing/reducing
a long/short
position
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(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
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Class of Product Writing, Number of Exercise Type Expiry Option
relevant description purchasing, securities to price per e.g. date money
security e.g. call selling, which option unit American, paid/
option varying etc. relates European received
etc. per unit
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(ii) Exercise
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Class of Product Exercising/ Number of Exercise price
relevant description exercised securities per unit
security e.g. call against
option
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(d) Other dealings (including subscribing for new securities)
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Class of relevant Nature of dealing Details Price per unit (if
security e.g. subscription, applicable)
conversion
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4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
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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"
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None
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(b) Agreements, arrangements or understandings relating to options or derivatives
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NONE
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