REG - ADVFN PLC - Form 8 (OPD) ADVFN plc
18/01/2022 07:05
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RNS Number : 7328Y ADVFN PLC 18 January 2022
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: ADVFN PLC
(b) Owner or controller of interests and short positions disclosed, if N/A
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 to whose relevant securities this form ADVFN PLC
relates:
Use a separate form for each offeror/offeree
(d) Is the discloser the offeror or the offeree? OFFEREE
(e) Date position held: 17 JANUARY 2022
The latest practicable date prior to the disclosure
(f) In addition to the company in 1(c) above, is the discloser making N/A
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 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:
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: Nil Nil
(2) Cash-settled derivatives: Nil Nil
(3) Stock-settled derivatives (including options) and agreements to Nil Nil
purchase/sell:
Nil Nil
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).
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: Nil
Details, including nature of the rights concerned and relevant percentages: Nil
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:
(A) Ordinary Shares of 0.2p each ("Ordinary Shares") held by Directors of
ADVFN PLC and their close relatives and related trusts (excluding the options
and awards set out further below in paragraph B):
Name Number of Ordinary Shares held in ADVFN PLC Percentage of total issued ordinary share capital of ADVFN PLC (%)
Directors
Michael Hodges 26,000 0.09%
Clement Chambers 1,014,671 3.88%
Jonathan Mullins 18,577 0.07%
Matthew Collom Nil Nil
Tom Spiller Nil Nil
Close Relatives
Philip Gilbert Chambers 2,000 0.00%
Francesca De Franco 1,569 0.00%
Christopher Mullins 400 0.00%
Penny Hodges 3,400 0.00%
Eleanor Hewitt 400 0.00%
(B) Options held by Directors of ADVFN PLC in Ordinary Shares:
Name Date Granted Total number of Ordinary Shares Exercise Price Vesting Date Expiry Date
Michael Hodges 27/01/2004 40,000 14p 31/12/2013 31/12/2022
27/01/2005 40,000 14p 21/12/2013 21/12/2022
06/09/2006 60,000 14p 21/12/2013 31/12/2022
21/10/2009 31,473 14p 31/12/2013 31/12/2022
12/12/2014 200,000 14p 12/12/2015 12/12/2024
12/12/2014 200,000 79.5p 12/12/2015 12/12/2024
07/06/2018 40,000 43.75p 10/06/2018 12/12/2024
07/06/2018 40,000 31.25p 10/06/2018 12/12/2024
Clement Chambers 12/12/2014 200,000 14p 12/12/2015 12/12/2024
12/12/2014 200,000 79.5p 12/12/2015 12/12/2024
07/06/2018 160,000 43.75p 10/06/2018 12/12/2024
15/01/2018 40,000 27.5p 24/01/2019 12/12/2024
Jonathan Mullins 27/01/2004 40,000 14p 31/12/2013 31/12/2022
27/01/2005 40,000 14p 21/12/2013 21/12/2022
06/09/2006 60,000 14p 21/12/2013 31/12/2022
12/12/2014 100,000 14p 12/12/2015 12/12/2024
12/12/2014 100,000 79.5p 12/12/2015 12/12/2024
07/06/2018 20,000 43.75p 10/06/2018 12/12/2024
07/06/2018 40,000 31.25p 10/06/2018 12/12/2024
Matthew Collom 12/12/2014 200,000 14p 12/12/2015 12/12/2024
(C) Ordinary Shares held by parties acting in concert with Directors of
ADVFN:
Name Number of Ordinary Shares held in ADVFN PLC Percentage of total issued ordinary share capital of ADVFN PLC (%)
Online Blockchain plc 4,605,938 17.63%
(B) Options held by Directors of ADVFN PLC in Ordinary Shares:
Name Date Granted Total number of Ordinary Shares Exercise Price Vesting Date Expiry Date
Michael Hodges 27/01/2004 40,000 14p 31/12/2013 31/12/2022
27/01/2005 40,000 14p 21/12/2013 21/12/2022
06/09/2006 60,000 14p 21/12/2013 31/12/2022
21/10/2009 31,473 14p 31/12/2013 31/12/2022
12/12/2014 200,000 14p 12/12/2015 12/12/2024
12/12/2014 200,000 79.5p 12/12/2015 12/12/2024
07/06/2018 40,000 43.75p 10/06/2018 12/12/2024
07/06/2018 40,000 31.25p 10/06/2018 12/12/2024
Clement Chambers 12/12/2014 200,000 14p 12/12/2015 12/12/2024
12/12/2014 200,000 79.5p 12/12/2015 12/12/2024
07/06/2018 160,000 43.75p 10/06/2018 12/12/2024
15/01/2018 40,000 27.5p 24/01/2019 12/12/2024
Jonathan Mullins 27/01/2004 40,000 14p 31/12/2013 31/12/2022
27/01/2005 40,000 14p 21/12/2013 21/12/2022
06/09/2006 60,000 14p 21/12/2013 31/12/2022
12/12/2014 100,000 14p 12/12/2015 12/12/2024
12/12/2014 100,000 79.5p 12/12/2015 12/12/2024
07/06/2018 20,000 43.75p 10/06/2018 12/12/2024
07/06/2018 40,000 31.25p 10/06/2018 12/12/2024
Matthew Collom 12/12/2014 200,000 14p 12/12/2015 12/12/2024
(C) Ordinary Shares held by parties acting in concert with Directors of
ADVFN:
Name Number of Ordinary Shares held in ADVFN PLC Percentage of total issued ordinary share capital of ADVFN PLC (%)
Online Blockchain plc 4,605,938 17.63%
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
(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"
NONE
(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) NO
Supplemental Form 8 (SBL) NO
Date of disclosure: 18 JANUARY 2022
Contact name: JONATHAN MULLINS
Telephone number: +44 20 3868 6702
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
(http://www.thetakeoverpanel.org.uk) .
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