Last checked at 13 Jan 2012 13:07
PHOENIX GROUP HOLDINGS
DISCLOSURE FORM (DD)
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)
1. KEY INFORMATION
(a) Identity of the party to the offer or person acting in concert making the disclosure: | Citigroup Global Markets UK Equity Limited |
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient | Phoenix Group Holdings Plc |
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Phoenix Group Holdings Plc |
(d) Status of person making the disclosure: e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree) | Acting in concert with Phoenix |
(e) Date position held: | 12 January 2012 |
(f) Has the party previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | NO
|
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing
Class of relevant security: Ordinary (KYG7091M1096) | ||||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 373,472 | 0.22 | 149,379 | 0.09 |
(2) Derivatives (other than options):
| ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: | 373,472 | 0.22 | 149,379 | 0.09 |
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 (Open Positions).
Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form (SBL).
(b) Rights to subscribe for new securities (including directors' and other executive options)
Class of relevant security in relation to which subscription right exists: | |
Details, including nature of the rights concerned and relevant percentages: |
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.
3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
Class of relevant security | Purchases/ sales
| Total number of securities | Highest price per unit paid/received (in GBP) | Lowest price per unit paid/received (in GBP) |
Ordinary | Sale | 3,202 | 5.5100 | 5.5000 |
(b) Derivatives transactions (other than options)
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
|
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
|
(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
|
The currency of all prices and other monetary amounts should be stated.
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
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 or person acting in concert making the disclosure and any other person: If there are no such agreements, arrangements or understandings, state "none" |
No
|
(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 or person acting in concert making the disclosure 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" |
No
|
(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form (Open Positions) | NO |
Supplemental Form (SBL) | NO |
| Date of disclosure: | 13 January 2012 |
| Contact name: | Paul Scott |
| Telephone number: | 02895 954974 |
Dealing Disclosures
Persons dealing in relevant securities of Phoenix Group Holdings are not obliged to disclose any of their dealings under the provisions of the City Code.
However, market participants are requested to make disclosures of such dealings of relevant securities of Phoenix Group Holdings as if it were in an offer period under the City Code. For these purposes, the 'relevant securities' of the Company include its ordinary shares and warrants.
Public disclosures regarding dealings in securities of the Company should not be e-mailed to the Panel but released directly through a Regulatory Information Service.
Phoenix Group Holdings' website (at [www.thephoenixgroup.com/investor-relations/corporate-activity]) contains further details and the form of disclosure requested. If you are in any doubt as to whether or not you should disclose dealings, you should contact an independent financial adviser authorised by the FSA under the Financial Services and Markets Act 2000 (FSMA).