Helium Rising Stars Fund Form 8.3 - [Lighthouse Group Plc]
04 Aprile 2019 - 10:30AM
UK Regulatory
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Form 8.3 - [Lighthouse Group Plc]
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
+-----------------------------------------------+------------------------------+
|(a) Full name of discloser: |Helium Rising Stars Fund |
+-----------------------------------------------+------------------------------+
|(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. | |
+-----------------------------------------------+------------------------------+
|(c) Name of offeror/offeree in relation to |Lighthouse Group Plc |
|whose relevant securities this form relates: | |
| | |
| | |
| | |
|Use a separate form for each offeror/offeree | |
+-----------------------------------------------+------------------------------+
|(d) If an exempt fund manager connected with an| |
|offeror/offeree, state this and specify | |
|identity of offeror/offeree: | |
+-----------------------------------------------+------------------------------+
|(e) Date position held/dealing undertaken: |3 April 2019 |
| | |
| | |
| | |
|For an opening position disclosure, state the | |
|latest practicable date prior to the disclosure| |
+-----------------------------------------------+------------------------------+
|(f) In addition to the company in 1(c) above, |NO |
|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" | |
+-----------------------------------------------+------------------------------+
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)
+-------------------------+-------------+----------+--------------+----------+
|Class of relevant | |
|security: | |
| | |
| | |
| | |
| | |
+-------------------------+-------------+----------+--------------+----------+
| | Interests | Short positions |
| | | |
| | | |
| | | |
| | | |
+-------------------------+-------------+----------+--------------+----------+
| | Number | % | Number | % |
+-------------------------+-------------+----------+--------------+----------+
|(1) Relevant securities | 21'756'979 | 17.04 | | |
|owned and/or controlled: | | | | |
+-------------------------+-------------+----------+--------------+----------+
|(2) Cash-settled | | | | |
|derivatives: | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
+-------------------------+-------------+----------+--------------+----------+
|(3) Stock-settled | | | | |
|derivatives (including | | | | |
|options) and agreements | | | | |
|to purchase/sell: | | | | |
+-------------------------+-------------+----------+--------------+----------+
| | 21'756'979 | 17.04 | | |
| | | | | |
| | | | | |
| | | | | |
|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).
(b) Rights to subscribe for new securities (including directors' and other
employee options)
+-------------------------------------+----------------------------------------+
|Class of relevant security in | |
|relation to which subscription right | |
|exists: | |
+-------------------------------------+----------------------------------------+
|Details, including nature of the | |
|rights concerned and relevant | |
|percentages: | |
+-------------------------------------+----------------------------------------+
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
+-------------------+------------------+-------------------+-------------------+
| Class of relevant | Purchase/sale | Number of | Price per unit |
| security | | securities | |
| | | | |
| | | | |
| | | | |
+-------------------+------------------+-------------------+-------------------+
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
+-------------------+------------------+-------------------+-------------------+
(b) Cash-settled derivative transactions
+--------------+-----------+------------------------+-----------+--------------+
| Class of | Product | Nature of dealing | Number of |Price per unit|
| relevant |description| | reference | |
| security | | |securities | |
| | | | | |
| | | e.g. opening/closing a | | |
| | e.g. CFD | long/short position, | | |
| | | increasing/reducing a | | |
| | | long/short position | | |
+--------------+-----------+------------------------+-----------+--------------+
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
+--------------+-----------+------------------------+-----------+--------------+
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
+-------+----------+------------+---------+--------+-------+-------+-----------+
| Class | Product | Writing, |Number of|Exercise| Type |Expiry | Option |
| of |descriptio|purchasing, |securitie| price | | date |money paid/|
|relevan| n e.g. | selling, | s to |per unit| | | received |
| t | call |varying etc.| which | | | | per unit |
|securit| option | | option | | e.g. | | |
| y | | | relates | |America| | |
| | | | | | n, | | |
| | | | | |Europea| | |
| | | | | |n etc. | | |
+-------+----------+------------+---------+--------+-------+-------+-----------+
| | | | | | | | |
+-------+----------+------------+---------+--------+-------+-------+-----------+
(ii) Exercise
+---------------+---------------+---------------+---------------+--------------+
| Class of | Product | Exercising/ | Number of |Exercise price|
| relevant | description | exercised | securities | per unit |
| security | | against | | |
| | | | | |
| | | | | |
| | e.g. call | | | |
| | option | | | |
+---------------+---------------+---------------+---------------+--------------+
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
+---------------+---------------+---------------+---------------+--------------+
(d) Other dealings (including subscribing for new securities)
+----------------+------------------------+-----------------+------------------+
| Class of | Nature of dealing | Details |Price per unit (if|
| relevant | | | applicable) |
| security | | | |
| | | | |
| | e.g. subscription, | | |
| | conversion | | |
+----------------+------------------------+-----------------+------------------+
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
+----------------+------------------------+-----------------+------------------+
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 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" |
+------------------------------------------------------------------------------+
| |
| |
| |
| |
| |
| |
| |
| |
| |
+------------------------------------------------------------------------------+
(b) Agreements, arrangements or understandings relating to options or
derivatives
+------------------------------------------------------------------------------+
|Details of any agreement, arrangement or understanding, formal or informal, |
|between the person making the disclosure 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" |
+------------------------------------------------------------------------------+
| |
| |
| |
| |
| |
| |
| |
| |
| |
+------------------------------------------------------------------------------+
(c) Attachments
+---------------------------------------------------------------+--------------+
|Is a Supplemental Form 8 (Open Positions) attached? | NO |
+---------------------------------------------------------------+--------------+
+--------------------------------------+---------------------------------------+
|Date of disclosure: |4 April 2019 |
+--------------------------------------+---------------------------------------+
|Contact name: |Christian Benz, ISP (co-advisor to the |
| |Helium Fund) |
+--------------------------------------+---------------------------------------+
|Telephone number*: |+41 43 8887342 |
+--------------------------------------+---------------------------------------+
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.
*If the discloser is a natural person, a telephone number does not need to be
included, provided contact information has been provided to the Panel's Market
Surveillance Unit.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
### ###
+---------------------------++--------------++--------------------------------+
|Provider ||Channel ||Contact |
+---------------------------++--------------++--------------------------------+
|EQS Group Ltd., Switzerland||newsbox.ch ||Provider/Channel related |
|switzerland.eqs.com ||www.newsbox.ch||enquiries |
| || ||cs.switzerland@eqs.com |
| || ||+41 41 763 00 50 |
+---------------------------++--------------++--------------------------------+
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April 04, 2019 04:30 ET (08:30 GMT)
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