Last checked at 25 Nov 2011 17:43
Annex DTR3
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
|
3. | Name of person discharging managerial responsibilities/director
Preben Prebensen | 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
|
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
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 |
7. | Name of registered shareholders(s) and, if more than one, the number of shares held by each of them
Heartwood Nominees Ltd - 200,031 shares Bedell Trustees Ltd - 20,964 shares
| 8. | State the nature of the transaction
Acquisition of shares by participation in Dividend Reinvestment Plan ('DDRIP') on 2011 Final Dividend and purchase of shares |
9. | Number of shares, debentures or financial instruments relating to shares acquired
7,471 shares - DRIP 5,000 shares - purchase | 10. | Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
0.009%
|
11. | Number of shares, debentures or financial instruments relating to shares disposed
nil | 12. | Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
N/A
|
13. | Price per share or value of transaction
£6.555 - DRIP £6.135 - purchase
| 14. | Date and place of transaction
22 November 2011 - London 24 November 2011 - London
|
15. | Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
220,995 - 0.15%
| 16. | Date issuer informed of transaction
25 November 2011
|
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
|
19. | Total amount paid (if any) for grant of the option | 20. | Description of shares or debentures involved (class and number)
|
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
|
23. | Any additional information
| 24. | Name of contact and telephone number for queries
|
Name of authorised official of issuer responsible for making notification
John Hudspith Assistant Company Secretary Close Brothers Group plc
Date of notification 25 November 2011
|
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
|
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
|
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 |
7. | Name of registered shareholders(s) and, if more than one, the number of shares held by each of them
Greenwood Nominees Ltd A/C 311940 - 102,886 shares Bedell Trustees Ltd - 18,959 shares
| 8. | State the nature of the transaction
Acquisition of shares by participation in Dividend Reinvestment Plan on 2011 Final Dividend |
9. | Number of shares, debentures or financial instruments relating to shares acquired
3,941 | 10. | Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
0.003%
|
11. | Number of shares, debentures or financial instruments relating to shares disposed
Nil | 12. | Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
N/A
|
13. | Price per share or value of transaction
£ 6.555
| 14. | Date and place of transaction
22 November 2011 - London
|
15. | Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
121,845 - 0.08%
| 16. | Date issuer informed of transaction
25 November 2011
|
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
|
19. | Total amount paid (if any) for grant of the option | 20. | Description of shares or debentures involved (class and number)
|
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
|
23. | Any additional information
| 24. | Name of contact and telephone number for queries
|
Name of authorised official of issuer responsible for making notification
John Hudspith Assistant Company Secretary Close Brothers Group plc
Date of notification 25 November 2011
|
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. |
Annex DTR3
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
|
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
|
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 |
7. | Name of registered shareholders(s) and, if more than one, the number of shares held by each of them
Rock (Nominees) Limited Account ISA
| 8. | State the nature of the transaction
Reinvestment of final dividend |
9. | Number of shares, debentures or financial instruments relating to shares acquired
238 | 10. | Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
0.0002%
|
11. | Number of shares, debentures or financial instruments relating to shares disposed
N/A | 12. | Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
N/A
|
13. | Price per share or value of transaction
£6.6533
| 14. | Date and place of transaction
22 November 2011 - London
|
15. | Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
8,225 - 0.006%
| 16. | Date issuer informed of transaction
25 November 2011
|
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
|
19. | Total amount paid (if any) for grant of the option | 20. | Description of shares or debentures involved (class and number)
|
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
|
23. | Any additional information
| 24. | Name of contact and telephone number for queries
|
Name of authorised official of issuer responsible for making notification
John Hudspith Assistant Company Secretary Close Brothers Group plc
Date of notification 25 November 2011
|
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. |