Green Compliance PLC Form 8 (OPD) (Green Compliance plc) (2011O)
04 Agosto 2014 - 3:36PM
UK Regulatory
TIDMGCO
RNS Number : 2011O
Green Compliance PLC
04 August 2014
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) Identity of the party to the offer making the disclosure: Green Compliance 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
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(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Green Compliance plc
Use a separate form for each party to the offer
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(d) Is the party to the offer making the disclosure the offeror or the offeree? OFFEREE
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(e) Date position held: 04/08/2014
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(f) Has the party previously disclosed, or is it today disclosing, under the Code in respect NO
of any other party to this offer?
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2. POSITIONS OF THE PARTY TO THE OFFER MAKING THE DISCLOSURE
(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 1p each
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Interests Short positions
------------------------------------------------- ---------------- ------------------
Number % Number %
------------------------------------------------- --------- ----- ------------ ----
(1) Relevant securities owned and/or controlled: Nil n/a Nil n/a
------------------------------------------------- --------- ----- ------------ ----
(2) Derivatives (other than options): Nil n/a Nil n/a
------------------------------------------------- --------- ----- ------------ ----
(3) Options and agreements to purchase/sell: Nil n/a Nil n/a
------------------------------------------------- --------- ----- ------------ ----
Nil n/a Nil n/a
TOTAL:
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Class of relevant 12% Convertible Loan Notes, convertible into ordinary shares of 1p each, repayable 31 July
security: 2015
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Interests Short positions
------------------------- --------------------------------------------- --------------------------------------------
Number % Number %
------------------------- -------------------------- ----------------- -------------------------- ----------------
(1) Relevant securities Nil n/a Nil n/a
owned and/or controlled:
------------------------- -------------------------- ----------------- -------------------------- ----------------
(2) Derivatives (other Nil n/a Nil n/a
than options):
------------------------- -------------------------- ----------------- -------------------------- ----------------
(3) Options and Nil n/a Nil n/a
agreements to
purchase/sell:
------------------------- -------------------------- ----------------- -------------------------- ----------------
Nil n/a Nil n/a
TOTAL:
------------------------- -------------------------- ----------------- -------------------------- ----------------
Class of relevant 7.5% Convertible Loan Notes, convertible into ordinary shares of 1p each, repayable 31
security: July
2015
------------------------- -------------------------------------------------------------------------------------------
Interests Short positions
------------------------- --------------------------------------------- --------------------------------------------
Number % Number %
------------------------- -------------------------- ----------------- -------------------------- ----------------
(1) Relevant securities Nil n/a Nil n/a
owned and/or controlled:
------------------------- -------------------------- ----------------- -------------------------- ----------------
(2) Derivatives (other Nil n/a Nil n/a
than options):
------------------------- -------------------------- ----------------- -------------------------- ----------------
(3) Options and Nil n/a Nil n/a
agreements to
purchase/sell:
------------------------- -------------------------- ----------------- -------------------------- ----------------
Nil n/a Nil n/a
TOTAL:
------------------------- -------------------------- ----------------- -------------------------- ----------------
Class of relevant Warrants to subscribe for Ordinary Shares at an exercise price of 2p per share and with an
security: expiry date of 28 January 2018
------------------------- -------------------------------------------------------------------------------------------
Interests Short positions
------------------------- --------------------------------------------- --------------------------------------------
Number % Number %
------------------------- -------------------------- ----------------- -------------------------- ----------------
(1) Relevant securities Nil n/a Nil n/a
owned and/or controlled:
------------------------- -------------------------- ----------------- -------------------------- ----------------
(2) Derivatives (other Nil n/a Nil n/a
than options):
------------------------- -------------------------- ----------------- -------------------------- ----------------
(3) Options and Nil n/a Nil n/a
agreements to
purchase/sell:
------------------------- -------------------------- ----------------- -------------------------- ----------------
Nil n/a Nil n/a
TOTAL:
------------------------- -------------------------- ----------------- -------------------------- ----------------
Class of relevant Warrants to subscribe for Ordinary Shares at an exercise price of 2p per share and with an
security: expiry date of 2 April 2018
------------------------- -------------------------------------------------------------------------------------------
Interests Short positions
------------------------- --------------------------------------------- --------------------------------------------
Number % Number %
------------------------- -------------------------- ----------------- -------------------------- ----------------
(1) Relevant securities Nil n/a Nil n/a
owned and/or controlled:
------------------------- -------------------------- ----------------- -------------------------- ----------------
(2) Derivatives (other Nil n/a Nil n/a
than options):
------------------------- -------------------------- ----------------- -------------------------- ----------------
(3) Options and Nil n/a Nil n/a
agreements to
purchase/sell:
------------------------- -------------------------- ----------------- -------------------------- ----------------
Nil n/a Nil n/a
TOTAL:
------------------------- -------------------------- ----------------- -------------------------- ----------------
(b) Rights to subscribe for new securities
Class of relevant security in relation to which subscription right exists: Nil
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Details, including nature of the rights concerned and relevant percentages: n/a
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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.
(c) Irrevocable commitments and letters of intent
Details of any irrevocable commitments or letters of intent procured by the party to the offer
making the disclosure or any person acting in concert with it (see Note 3 on Rule 2.11 of
the Code):
-----------------------------------------------------------------------------------------------
None
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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 of any person acting in
concert with the party to the offer making the disclosure:
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1. Directors Shareholdings
Director Beneficial % of total
interest in issued
ordinary shares share
of 1p each capital
----------------------------- ----------------- -----------
Bob Holt (Chairman &
Chief Executive) 30,560,366 6.24%
----------------------------- ----------------- -----------
Richard Hodgson (Chief
Finance and Operating
Officer) 2,230,541 0.47%
----------------------------- ----------------- -----------
John Charlton (Director
& Company Secretary) 2,243,337 0.47%
----------------------------- ----------------- -----------
Edward Brown (Non-Executive
Director) 511,332 0.11%
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2. Directors interests in share options, warrants, convertible loan notes
Relevant Exercise
Securities Latest Date Price
Name Number of Exercise (GBP)
----------- ------------------ ---------- ------------- --------------------
Richard Green Compliance 31 December
Hodgson Options 411,653 2017 0.01
----------- ------------------ ---------- ------------- --------------------
Green Compliance
Options 66,691 31 May 2018 0.0125
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Green Compliance 27 January
Warrants 1,250,000 2018 0.02
------------------------------ ---------- ------------- --------------------
Green Compliance
Loan Notes GBP10,000 16 July 2015 0.50
------------------------------ ---------- ------------- --------------------
Green Compliance 31 December
Bob Holt Options 617,475 2017 0.01
----------- ------------------ ---------- ------------- --------------------
Green Compliance 27 January
Warrants 3,000,000 2018 0.02
------------------------------ ---------- ------------- --------------------
Green Compliance
Loan Notes GBP50,000 16 July 2015 0.50
------------------------------ ---------- ------------- --------------------
John Green Compliance
Charlton Options 211,971 31 May 2018 0.0125
----------- ------------------ ---------- ------------- --------------------
Green Compliance 27 January
Warrants 1,250,000 2018 0.02
------------------------------ ---------- ------------- --------------------
Green Compliance
Loan Notes GBP10,000 16 July 2015 0.50
------------------------------ ---------- ------------- --------------------
Edward Green Compliance Nil - -
Brown Options
----------- ------------------ ---------- ------------- --------------------
Green Compliance Nil - -
Warrants
----------- ------------------ ---------- ------------- --------------------
Green Compliance
Loan Notes GBP5,000 16 July 2015 0.02
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3. Interests in Green Compliance plc's ordinary shares of 1p each held by Green Compliance
EBT Limited:
Name Beneficial % of total
interest in issued
ordinary shares share
of 1p each capital
---------------------- ----------------- -----------
Green Compliance EBT
Limited* 4 0.00%
---------------------- ----------------- -----------
* Green Compliance EBT Limited is a wholly-owned subsidiary of Green Compliance plc.
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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 3 for each additional class of
relevant security.
Details of any open derivative or option positions, 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:
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: 4 August 2014
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Contact name: Richard Hodgson
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Telephone number: +44 (0)7880 787 924
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Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service and must also be emailed to the
Takeover Panel at monitoring@disclosure.org.uk. The Panel's Market
Surveillance Unit is available for consultation in relation to the
Code's dealing 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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