FORM 8.5 (EPT / RI)
MAKING A PUBLIC HOMES WITH A MAJOR PRINCIPLE TRADE WITH THE INTERACTIVE STATUS WHICH MAKES CLIENT SERVICE AFFORDABLE
Rule 8.5 of the Admissions Code (the “Code”)
1. KEY INFORMATION
| (a) Name of main free trader: | Capital Brokers Capital Ltd |
| (b) The name of the offeror / offender in respect of the relevant trust to which this form applies: Use a separate form for each bidder / offender |
Nucleus Finance Group PLC |
| (c) Name of the party to the offer to which a free major trader is associated: | Nucleus Finance Group PLC |
| (d) Date Addressed: | 03 February 2021 |
| (e) Has the EPT previously appeared, or is it now being published, under the Code in respect of any other party to this offer? | no |
2. MAKE THE TRADE A MAJOR PRINCIPLE
(a) Purchases and sales
| Class of relevant security | Buying / selling
|
Total number of securities | Maximum price per unit paid / received | Minimum price per unit paid / received |
| Normal | Purchase | 16,958 | 165.75p | 165.75p |
| Normal | Reic | 18,585 | 168.5p | 165.75p |
(b) Derivatives transactions (excluding options)
| Class of relevant security | Product description and CFD |
The nature of dealing eg opening / closing long / short position, increasing / decreasing long / short position |
Number of reference securities | Price per unit |
(c) Options matters relating to existing securities
(i) Writing, selling, buying or altering
| Class of relevant security | Product description eg career choice | Writing, buying, selling, miscellaneous etc. | Number of securities to which the option applies | Exercise price per unit | sort of eg American, European etc. |
Completion date | Option money paid / received per unit |
(ii) Exercise
| Class of relevant security | Product description eg career choice |
Number of securities | Exercise price per unit |
|
|
(d) Other Matters (including Membership for New Securities)
| Class of relevant security | The nature of dealing eg membership, conversion |
Details | Price per unit (if applicable) |
|
|
All prices and other amounts of money should be stated.
Where dealt with in more than one class of the relevant securities of the tenderer or offender named in 1 (b), make a copy of schedule 2 (a), (b), (c) or (d) (as applicable) for each additional class of relevant security dealt with.
3. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
| Details of the confidentiality or settlement of any option, or any agreement or understanding, formal or informal, relating to relevant securities that may be an incentive to deal with or refrain from dealing with your the principal free trader making the publication and any party to the offer or any person working with a party to the offer: If there are no such agreements, arrangements or understandings, state “none” |
|
None |
(b) Agreements, arrangements or understandings relating to options or outcomes
| Details of any agreement, settlement or understanding, formal or informal, between the principal free trader making the publication and any other person relating to: (i) the voting rights of any relevant securities under any option; no (ii) voting rights or the acquisition or disposal of any relevant securities in which any outcome is attributed: If there are no such agreements, arrangements or understandings, state “none” |
|
None |
| Publication date: | 04/02/2021 |
| Contact name: | Molly Adkin |
| Phone number: | 020 7647 8154 |
Public disclosures under Rule 8 of the Code must be sent to the Regulatory Information Service and must also be emailed to the Admissions Panel at [email protected]. The Panel’s Market Research Unit is available for consultation on the Code publication requirements on +44 (0) 20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.