Company Announcements
Henderson Group - Update of Securities
Related Companies
Update of number of securities quoted on ASX,
Voting Rights and Capital
1 July 2015
The attached form provides an update to the number of CDIs quoted on the ASX and the net transfers from the CDI register during June 2015.
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 30 June 2015, Henderson Group plc's capital consisted of 1,140,854,910 shares with voting rights. Henderson Group plc holds nil shares in Treasury.
The above figure, 1,140,854,910, 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 FCA's Disclosure and Transparency Rules.
Rule 2.7, 3.10.3, 3.10.4, 3.10.5
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.
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Name of entity |
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Henderson Group plc. |
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ABN |
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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).
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1 |
+Class of +securities issued or to be issued
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CHESS Depositary Interests (CDIs) |
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2 |
Number of +securities issued or to be issued (if known) or maximum number which may be issued
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717,609,591 (55,163,942) 662,445,649 |
At 31 May 2015 Net transfers At 30 June 2015 |
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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)
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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 |
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5 |
Issue price or consideration
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N/A |
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6 |
Purpose of the issue (If issued as consideration for the acquisition of assets, clearly identify those assets)
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Net transfers of securities between CDIs and ordinary shares listed on LSE |
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7 |
Dates of entering +securities into uncertificated holdings or despatch of certificates
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Various dates during June 2015 |
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Number |
+Class |
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8 |
Number and +class of all +securities quoted on ASX (including the securities in clause 2 if applicable)
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662,445,649 |
CDIs |
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Number |
+Class |
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9 |
Number and +class of all +securities not quoted on ASX (including the securities in clause 2 if applicable)
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1,140,854,910 |
Fully paid ordinary shares quoted on the LSE |
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10 |
Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) |
Same as existing securities |
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Part 2 ‑ Bonus issue or pro rata issue
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11 |
Is security holder approval required?
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12 |
Is the issue renounceable or non-renounceable? |
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13 |
Ratio in which the +securities will be offered |
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14 |
+Class of +securities to which the offer relates |
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15 |
+Record date to determine entitlements |
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16 |
Will holdings on different registers (or subregisters) be aggregated for calculating entitlements? |
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Policy for deciding entitlements in relation to fractions
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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. |
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19 |
Closing date for receipt of acceptances or renunciations |
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20 |
Names of any underwriters
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21 |
Amount of any underwriting fee or commission |
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22 |
Names of any brokers to the issue
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23 |
Fee or commission payable to the broker to the issue |
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24 |
Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of +security holders |
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25 |
If the issue is contingent on +security holders' approval, the date of the meeting |
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26 |
Date entitlement and acceptance form and prospectus or Product Disclosure Statement will be sent to persons entitled |
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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 |
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28 |
Date rights trading will begin (if applicable) |
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29 |
Date rights trading will end (if applicable)
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30 |
How do +security holders sell their entitlements in full through a broker? |
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31 |
How do +security holders sell part of their entitlements through a broker and accept for the balance? |
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32 |
How do +security holders dispose of their entitlements (except by sale through a broker)? |
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33 |
+Despatch date
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Part 3 ‑ Quotation of securities
You need only complete this section if you are applying for quotation of securities
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34 |
Type of securities (tick one)
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(a) |
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Securities described in Part 1 |
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(b) |
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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
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Tick to indicate you are providing the information or documents |
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35 |
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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 |
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36 |
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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 |
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37 |
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A copy of any trust deed for the additional +securities |
Entities that have ticked box 34(b)
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38 |
Number of securities for which +quotation is sought
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39 |
Class of +securities for which quotation is sought
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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 |
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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)
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Number |
+Class |
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42 |
Number and +class of all +securities quoted on ASX (including the securities in clause 38)
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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: 1 July 2015
(Director/Deputy Company Secretary)
Print name: Matthew Purkis
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