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Henderson Group plc  -  HGG   

Henderson Group - Update of Securities

Released 11:04 02-Apr-2013

RNS Number : 3177B
Henderson Group plc
02 April 2013
 



 

 

Update of number of securities quoted on ASX,

Voting Rights and Capital

 

2 April 2013

 

The attached form provides an update to the number of CDIs quoted on the ASX and the net transfers to the CDI register during March 2013.

 

In conformity with Rule 5.6.1 of the UK Disclosure and Transparency Rules we would also like to notify the market of the following:

 

On 31 March, Henderson Group plc's capital consisted of 1,114,979,902 shares with voting rights. Henderson Group plc holds nil shares in Treasury.

 

The above figure, 1,114,979,902, may be used by shareholders as the denominator for the calculations by which they will determine if they are required to notify their interest in, or a change to their interest in, Henderson Group plc under the FSA's Disclosure and Transparency Rules.

 

 

 

 


Rule 2.7, 3.10.3, 3.10.4, 3.10.5

Appendix 3B

 

New issue announcement,

application for quotation of additional securities

and agreement

 

Information or documents not available now must be given to ASX as soon as available.  Information and documents given to ASX become ASX's property and may be made public.

Introduced 1/7/96.  Origin: Appendix 5.  Amended 1/7/98, 1/9/99, 1/7/2000, 30/9/2001, 11/3/2002, 1/1/2003.

 

 

Name of entity

Henderson Group plc.

 

ABN

67 133 992 766

 

We (the entity) give ASX the following information.

 

 

Part 1 ‑ All issues

You must complete the relevant sections (attach sheets if there is not enough space).

 

1

+Class of +securities issued or to be issued

 

CHESS Depositary Interests (CDIs)

 



 

 

2

Number of +securities issued or to be issued (if known) or maximum number which may be issued

 

725,243,442

14,420,835

739,664,277

At 28 February 2013

Net transfers

At 31 March 2013



 

 

3

Principal terms of the +securities (eg, if options, exercise price and expiry date; if partly paid +securities, the amount outstanding and due dates for payment; if +convertible securities, the conversion price and dates for conversion)

CDIs over fully paid ordinary shares quoted on the London Stock Exchange (LSE)

 

 

 

 

 

 




 

 

4

Do the +securities rank equally in all respects from the date of allotment with an existing +class of quoted +securities?

 

If the additional securities do not rank equally, please state:

·    the date from which they do

·    the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment

·    the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment

Yes

 



 

 

5

Issue price or consideration

 

N/A

 



 



 

6

Purpose of the issue

(If issued as consideration for the acquisition of assets, clearly identify those assets)

 

 

 

 

 

 

Net transfers of securities between CDIs and ordinary shares listed on LSE



 

 

7

Dates of entering +securities into uncertificated holdings or despatch of certificates

 

 

Various dates during February 2013



 



Number

+Class

8

Number and +class of all +securities quoted on ASX (including the securities in clause 2 if applicable)

 

 

 

739,664,277

CDIs

 

 


 

 


Number

+Class

9

Number and +class of all +securities not quoted on ASX (including the securities in clause 2 if applicable)

 

 

 

1,114,979,902

Fully paid ordinary shares quoted on the LSE



 

10

Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests)

Same as existing securities

 

 

Part 2 ‑  Bonus issue or pro rata issue

 

11

Is security holder approval required?

 

 



 

12

Is the issue renounceable or non-renounceable?

 



 

13

Ratio in which the +securities will be offered

 



 

14

+Class of +securities to which the offer relates

 



 

15

+Record date to determine entitlements

 

 



 

16

Will holdings on different registers (or subregisters) be aggregated for calculating entitlements?

 



 

17

Policy for deciding entitlements in relation to fractions

 

 



 

18

Names of countries in which the entity has +security holders who will not be sent new issue documents

Note: Security holders must be told how their entitlements are to be dealt with.

Cross reference: rule 7.7.

 



 

19

Closing date for receipt of acceptances or renunciations

 





20

Names of any underwriters

 

 

 



 

21

Amount of any underwriting fee or commission

 



 

22

Names of any brokers to the issue

 

 

 



 

23

Fee or commission payable to the  broker to the issue

 



 

24

Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of +security holders

 



 

25

If the issue is contingent on +security holders' approval, the date of the meeting

 



 

26

Date entitlement and acceptance form and prospectus or Product Disclosure Statement will be sent to persons entitled

 



 

27

If the entity has issued options, and the terms entitle option holders to participate on exercise, the date on which notices will be sent to option holders

 



 

28

Date rights trading will begin (if applicable)

 



 

29

Date rights trading will end (if applicable)

 

 

 



 

30

How do +security holders sell their entitlements in full through a broker?

 



 

31

How do +security holders sell part of their entitlements through a broker and accept for the balance?

 



 


 

32

How do +security holders dispose of their entitlements (except by sale through a broker)?

 



 

33

+Despatch date

 

 

 

 

 

Part 3 ‑ Quotation of securities

You need only complete this section if you are applying for quotation of securities

 

34

Type of securities

(tick one)

 

(a)

X

Securities described in Part 1 




 

(b)



All other securities

Example: restricted securities at the end of the escrowed period, partly paid securities that become fully paid, employee incentive share securities when restriction ends, securities issued on expiry or conversion of convertible securities

 

Entities that have ticked box 34(a)

 

Additional securities forming a new class of securities

 

 

Tick to indicate you are providing the information or documents



 

35


If the +securities are +equity securities, the names of the 20 largest holders of the additional +securities, and the number and percentage of additional +securities held by those holders

 

 


36


If the +securities are +equity securities, a distribution schedule of the additional +securities setting out the number of holders in the categories

1 - 1,000

1,001 - 5,000

5,001 - 10,000

10,001 - 100,000

100,001 and over

 

 


37


A copy of any trust deed for the additional +securities

 



 

 

Entities that have ticked box 34(b)

 

38

Number of securities for which +quotation is sought

 

 

 



 

 

39

Class of +securities for which quotation is sought

 

 

 



 

 

40

Do the +securities rank equally in all respects from the date of allotment with an existing +class of quoted +securities?

 

If the additional securities do not rank equally, please state:

·    the date from which they do

·    the extent to which they participate for the next dividend, (in the case of a trust, distribution) or interest payment

·    the extent to which they do not rank equally, other than in relation to the next dividend, distribution or interest payment

 

 



 

 

41

Reason for request for quotation now

Example: In the case of restricted securities, end of restriction period

 

(if issued upon conversion of another security, clearly identify that other security)

 

 

 



 

 



Number

+Class

42

Number and +class of all +securities quoted on ASX (including the securities in clause 38)

 

 

 

 

 

 

 


Quotation agreement

 

1              +Quotation of our additional +securities is in ASX's absolute discretion.  ASX may quote the +securities on any conditions it decides. 

 

2              We warrant the following to ASX.

 

·              The issue of the +securities to be quoted complies with the law and is not for an illegal purpose.

 

·              There is no reason why those +securities should not be granted +quotation.

 

·              An offer of the +securities for sale within 12 months after their issue will not require disclosure under section 707(3) or section 1012C(6) of the Corporations Act. 

Note: An entity may need to obtain appropriate warranties from subscribers for the securities in order to be able to give this warranty

·              Section 724 or section 1016E of the Corporations Act does not apply to any applications received by us in relation to any +securities to be quoted and that no-one has any right to return any +securities to be quoted under sections 737, 738 or 1016F of the Corporations Act at the time that we request that the +securities be quoted.

·              We warrant that if confirmation is required under section 1017F of the Corporations Act in relation to the +securities to be quoted, it has been provided at the time that we request that the +securities be quoted

 

·              If we are a trust, we warrant that no person has the right to return the +securities to be quoted under section 1019B of the Corporations Act at the time that we request that the +securities be quoted.

 

3              We will indemnify ASX to the fullest extent permitted by law in respect of any claim, action or expense arising from or connected with any breach of the warranties in this agreement.

 

4              We give ASX the information and documents required by this form.  If any information or document not available now, will give it to ASX before +quotation of the +securities begins.  We acknowledge that ASX is relying on the information and documents.  We warrant that they are (will be) true and complete.

 

 

Sign here:              ............................................................    Date: 2 April 2013

                                (Director/Deputy Company Secretary)

 

 

Print name:            Matthew Purkis

 

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This information is provided by RNS
The company news service from the London Stock Exchange
 
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Henderson Group - Update of Securities - RNS