Form 8 (OPD) - Tullett Prebon Plc
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 Tullett Prebon plc
the disclosure:
(b) Owner or controller of interests and short Below
positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient
(c) Name of offeror/offeree in relation to Tullett Prebon plc
whose relevant securities this form relates:
Use a separate form for each party to the
offer
(d) Is the party to the offer making the OFFEREE
disclosure the offeror or the offeree?
(e) Date position held: 3 May 2010
(f) Has the party previously disclosed, or is NO
it today disclosing, under the Code in respect
of any other party to this offer?
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 25 pence
Interests Short positions
Number % Number %
(1) Relevant Below
securities owned
and/or controlled:
(2) Derivatives
(other than
options):
(3) Options and
agreements to
purchase/sell:
TOTAL:
Director of Tullett Prebon Shareholding %
plc
Keith Hamill 80,299 0.037
Terry Smith 9,245,510 4.294
Paul Mainwaring 123,683 0.057
Michael Fallon 2,000 0.001
Rupert Robson 7,000 0.003
Total 9,458,492 4.393
All interests and all short positions should be disclosed.
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).
(b) Rights to subscribe for new securities
Class of relevant security in Ordinary 25 pence
relation to which subscription right
exists:
Details, including nature of the Below
rights concerned and relevant
percentages:
Name of Type No. of options Exercisable %
director from
Terry Smith LTIP award 1,860,465 18 March 2011 0.864
Terry Smith LTIP award 671,441 22 June 2012 0.312
Paul Mainwaring LTIP award 360,465 18 March 2011 0.167
Paul Mainwaring LTIP award 284,071 22 June 2012 0.132
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
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:
none
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
(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: 4 May 2010
Contact name: Paul Mainwaring
Telephone number: +44 (0)20 7200 7000
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.
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