Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons
All relevant boxes should be completed in block capital letters.
1. |
Name of the issuer Close Brothers Group plc |
2. |
State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in accordance LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006). DTR 3.1.2 R |
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3. |
Name of person discharging managerial responsibilities/director Elizabeth Lee |
4. |
State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person N/A |
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5. |
Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a nonbeneficial interest 1 Notification in respect of a holding of the person referred to in 3 above |
6. |
Description of shares (including class), debentures or derivatives or financial instruments relating to shares Ordinary shares of 25p each |
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7. |
Name of registered shareholders(s) and, if more than one, the number of shares held by each of them Elizabeth Lee 5,418 shares Rock (Nominees) Limited Account SIS 8,767 shares |
8. |
State the nature of the transaction Calls for: · 2010 Long Term Incentive Plan award shares; and · 2010 Share Matching Plan shares; and part sale of these shares |
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9. |
Number of shares, debentures or financial instruments relating to shares acquired 38,492 |
10. |
Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage) 0.03% |
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11. |
Number of shares, debentures or financial instruments relating to shares disposed 18,140 |
12. |
Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage) 0.01% |
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13. |
Price per share or value of transaction £12.709075 |
14. |
Date and place of transaction 22 October 2013 - London |
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15. |
Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage) 34,537 (0.02%) |
16. |
Date issuer informed of transaction 22 October 2013 |
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If a person discharging managerial responsibilities has been granted options by the issuer
complete the following boxes
17. |
Date of grant |
18. |
Period during which or date on which exercisable |
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19. |
Total amount paid (if any) for grant of the option |
20. |
Description of shares or debentures involved (class and number) |
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21. |
Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise |
22. |
Total number of shares or debentures over which options held following notification |
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23. |
Any additional information |
24. |
Name of contact and telephone number for queries |
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Name of authorised official of issuer responsible for making notification John Hudspith Deputy Company Secretary Close Brothers Group plc Date of notification 24 October 2013 |
Notes: This form is intended for use by an issuer to make a RIS notification required by DR 3.3.
(1) |
An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
(2) |
An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24. |
(3) |
An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
(4) |
An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |
Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons
All relevant boxes should be completed in block capital letters.
1. |
Name of the issuer Close Brothers Group plc |
2. |
State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in accordance LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006). DTR 3.1.2 R |
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3. |
Name of person discharging managerial responsibilities/director Rebekah Etherington |
4. |
State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person N/A |
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5. |
Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a nonbeneficial interest 1 Notification in respect of a holding of the person referred to in 3 above |
6. |
Description of shares (including class), debentures or derivatives or financial instruments relating to shares Ordinary shares of 25p each |
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7. |
Name of registered shareholders(s) and, if more than one, the number of shares held by each of them Rebekah Etherington 4,322 shares Richard Etherington 864 shares |
8. |
State the nature of the transaction Calls for: · 2010 Long Term Incentive Plan award shares; and · 2010 Share Matching Plan shares; and part sale of these shares |
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9. |
Number of shares, debentures or financial instruments relating to shares acquired 26,945 |
10. |
Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage) 0.02% |
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11. |
Number of shares, debentures or financial instruments relating to shares disposed 12,699 |
12. |
Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage) 0.01% |
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13. |
Price per share or value of transaction £12.709075 |
14. |
Date and place of transaction 22 October 2013 - London |
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15. |
Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage) 19,432 (0.01%) |
16. |
Date issuer informed of transaction 22 October 2013 |
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If a person discharging managerial responsibilities has been granted options by the issuer
complete the following boxes
17. |
Date of grant |
18. |
Period during which or date on which exercisable |
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19. |
Total amount paid (if any) for grant of the option |
20. |
Description of shares or debentures involved (class and number) |
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21. |
Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise |
22. |
Total number of shares or debentures over which options held following notification |
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23. |
Any additional information |
24. |
Name of contact and telephone number for queries |
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Name of authorised official of issuer responsible for making notification John Hudspith Deputy Company Secretary Close Brothers Group plc Date of notification 24 October 2013 |
Notes: This form is intended for use by an issuer to make a RIS notification required by DR 3.3.
(1) |
An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
(2) |
An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24. |
(3) |
An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
(4) |
An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |
Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons
All relevant boxes should be completed in block capital letters.
1. |
Name of the issuer Close Brothers Group plc |
2. |
State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in accordance LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006). DTR 3.1.2 R |
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3. |
Name of person discharging managerial responsibilities/director Tazim Essani |
4. |
State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person N/A |
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5. |
Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a nonbeneficial interest 1 Notification in respect of a holding of the person referred to in 3 above |
6. |
Description of shares (including class), debentures or derivatives or financial instruments relating to shares Ordinary shares of 25p each |
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7. |
Name of registered shareholders(s) and, if more than one, the number of shares held by each of them Tazim Essani |
8. |
State the nature of the transaction Call for 2010 Long Term Incentive Plan award and part sale of these shares |
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9. |
Number of shares, debentures or financial instruments relating to shares acquired 25,977 |
10. |
Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage) 0.02% |
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11. |
Number of shares, debentures or financial instruments relating to shares disposed 4,507 |
12. |
Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage) 0.003% |
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13. |
Price per share or value of transaction £12.709075 |
14. |
Date and place of transaction 22 October 2013 - London |
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15. |
Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage) 34,341 (0.02%) |
16. |
Date issuer informed of transaction 22 October 2013 |
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If a person discharging managerial responsibilities has been granted options by the issuer
complete the following boxes
17. |
Date of grant |
18. |
Period during which or date on which exercisable |
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19. |
Total amount paid (if any) for grant of the option |
20. |
Description of shares or debentures involved (class and number) |
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21. |
Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise |
22. |
Total number of shares or debentures over which options held following notification |
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23. |
Any additional information |
24. |
Name of contact and telephone number for queries |
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Name of authorised official of issuer responsible for making notification John Hudspith Deputy Company Secretary Close Brothers Group plc Date of notification 24 October 2013 |
Notes: This form is intended for use by an issuer to make a RIS notification required by DR 3.3.
(1) |
An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
(2) |
An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24. |
(3) |
An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
(4) |
An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |
Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons
All relevant boxes should be completed in block capital letters.
1. |
Name of the issuer Close Brothers Group plc |
2. |
State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in accordance LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006). DTR 3.1.2 R |
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3. |
Name of person discharging managerial responsibilities/director Martin Andrew |
4. |
State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person N/A |
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5. |
Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a nonbeneficial interest 1 Notification in respect of a holding of the person referred to in 3 above |
6. |
Description of shares (including class), debentures or derivatives or financial instruments relating to shares Ordinary shares of 25p each |
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7. |
Name of registered shareholders(s) and, if more than one, the number of shares held by each of them Lion Nominees Ltd A/C RB |
8. |
State the nature of the transaction Calls for: · 2010 Long Term Incentive Plan award shares; · 2010 Share Matching Plan shares; · 2011 Deferred Annual Bonus Shares (tranche 2 of 3); and · 2012 Deferred Annual Bonus Shares (tranche 1 of 3) and sale of these shares |
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9. |
Number of shares, debentures or financial instruments relating to shares acquired 49,320 |
10. |
Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage) 0.03% |
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11. |
Number of shares, debentures or financial instruments relating to shares disposed 49,320 |
12. |
Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage) 0.03% |
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13. |
Price per share or value of transaction £12.709075 |
14. |
Date and place of transaction 22 October 2013 - London |
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15. |
Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage) 79,821 (0.05%) |
16. |
Date issuer informed of transaction 22 October 2013 |
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If a person discharging managerial responsibilities has been granted options by the issuer
complete the following boxes
17. |
Date of grant |
18. |
Period during which or date on which exercisable |
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|
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19. |
Total amount paid (if any) for grant of the option |
20. |
Description of shares or debentures involved (class and number) |
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21. |
Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise |
22. |
Total number of shares or debentures over which options held following notification |
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|
|
|
23. |
Any additional information |
24. |
Name of contact and telephone number for queries |
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|
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Name of authorised official of issuer responsible for making notification John Hudspith Deputy Company Secretary Close Brothers Group plc Date of notification 24 October 2013 |
Notes: This form is intended for use by an issuer to make a RIS notification required by DR 3.3.
(1) |
An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
(2) |
An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24. |
(3) |
An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
(4) |
An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |
Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons
All relevant boxes should be completed in block capital letters.
1. |
Name of the issuer Close Brothers Group plc |
2. |
State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2 R, (ii) a disclosure made in accordance LR 9.8.6R(1) or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006). DTR 3.1.2 R |
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3. |
Name of person discharging managerial responsibilities/director Jonathan Howell |
4. |
State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person N/A |
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5. |
Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a nonbeneficial interest 1 Notification in respect of a holding of the person referred to in 3 above |
6. |
Description of shares (including class), debentures or derivatives or financial instruments relating to shares Ordinary shares of 25p each |
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7. |
Name of registered shareholders(s) and, if more than one, the number of shares held by each of them Chase Nominees Limited A/C CMBLJPPB |
8. |
State the nature of the transaction Call for 2010 Long Term Incentive Plan award and sale of these shares |
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9. |
Number of shares, debentures or financial instruments relating to shares acquired 76,890 |
10. |
Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage) 0.05% |
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11. |
Number of shares, debentures or financial instruments relating to shares disposed 76,890 |
12. |
Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage) 0.05% |
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13. |
Price per share or value of transaction £12.713148 |
14. |
Date and place of transaction 22 October 2013 - London |
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15. |
Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage) 263,596 (0.2%) |
16. |
Date issuer informed of transaction 22 October 2013 |
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If a person discharging managerial responsibilities has been granted options by the issuer
complete the following boxes
17. |
Date of grant |
18. |
Period during which or date on which exercisable |
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|
|
19. |
Total amount paid (if any) for grant of the option |
20. |
Description of shares or debentures involved (class and number) |
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|
|
|
21. |
Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise |
22. |
Total number of shares or debentures over which options held following notification |
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|
|
|
23. |
Any additional information |
24. |
Name of contact and telephone number for queries |
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|
|
|
Name of authorised official of issuer responsible for making notification John Hudspith Deputy Company Secretary Close Brothers Group plc Date of notification 24 October 2013 |
Notes: This form is intended for use by an issuer to make a RIS notification required by DR 3.3.
(1) |
An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
(2) |
An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8, 13, 14, 16, 23 and 24. |
(3) |
An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
(4) |
An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |