Initial D&O Disclosures – Multiple
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Panapa Ehau
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Director of Rua Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:252,293
Nature of relevant interest: Registered and beneficial holder
Current registered holder: Panapa Ehau
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:726
Nature of relevant interest:
Director and shareholder of Waiapu
Investments Limited (WIL). WIL is
the registered holder and beneficial
owner of 726 shares in Rua
Bioscience Limited
Current registered holder: Waiapu Investments Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Options that are convertible to
ordinary shares in Rua Bioscience
Limited under Rua Bioscience
Limited's employee share option
plan
Number held in class:
55,000 options potentially convertible
to 283,072 ordinary shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua
Bioscience Limited's employee share
option plan
Current registered holder: N/A
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Rights to ordinary shares in Rua
Bioscience Limited under Rua
Bioscience Limited's employee share
bonus offer
Number held in class:Right to 27,099 shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua
Bioscience Limited's employee share
bonus offer
Current registered holder: N/A
Details of derivative
The notional value of the derivative (if any) or the notional amount of underlying
products (if any):
N/A
A statement as to whether the derivative is cash settled or physically settled:N/A
Maturity date of the derivative (if any):N/A
Expiry date of the derivative (if any):N/A
The price specified in the terms of the derivative(if any):N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all
persons for whom it is made.
Signature of director or officer:
Date of signature:22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Rob Mitchell
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Chief Executive Officer of Rua
Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:40,000
Nature of relevant interest: Registered and beneficial holder
Current registered holder: Rob Mitchell
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Options that are convertible to
ordinary shares in Rua Bioscience
Limited under Rua Bioscience
Limited's employee share option plan
Number held in class:
55,000 options potentially convertible
to 301,453 ordinary shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua Bioscience
Limited's employee share option plan
Current registered holder: N/A
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Rights to ordinary shares in Rua
Bioscience Limited under Rua
Bioscience Limited's employee share
bonus offer
Number held in class:Right to 70,320 shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua Bioscience
Limited's employee share bonus offer
Current registered holder: N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:
N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all persons
for whom it is made.
Signature of director or officer:
Date of signature:
22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Brett Gamble
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Director of Rua Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:
1,536,123
Nature of relevant interest:
Director and 50% shareholder of
Aoraki Holdings (No 2) Limited
Current registered holder:
Aoraki Holdings (No 2) Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:
269,791
Nature of relevant interest:
Director and shareholder of Positano
Holdings Limited
Current registered holder:
Positano Holdings Limited
Details of derivative
The notional value of the derivative (if any) or the notional amount of underlying
products (if any):
N/A
A statement as to whether the derivative is cash settled or physically settled:
N/A
Maturity date of the derivative (if any):
N/A
Expiry date of the derivative (if any):
N/A
The price specified in the terms of the derivative(if any):
N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all
persons for whom it is made.
Signature of director or officer:
Date of signature:
22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Paul Naske
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Chief Operating Officer of Rua
Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:20,880
Nature of relevant interest: Registered and beneficial holder
Current registered holder: Paul Naske
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Options that are convertible to
ordinary shares in Rua Bioscience
Limited under Rua Bioscience
Limited's employee share option plan
Number held in class:
32,000 options potentially convertible
to 164,696 ordinary shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua Bioscience
Limited's employee share option plan
Current registered holder: N/A
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Rights to ordinary shares in Rua
Bioscience Limited under Rua
Bioscience Limited's employee share
bonus offer
Number held in class:Right to 26,058 shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua Bioscience
Limited's employee share bonus offer
Current registered holder: N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:
N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all persons
for whom it is made.
Signature of director or officer:
Date of signature:
22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Martin Smith
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Director of Rua Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:2,544,732
Nature of relevant interest:
Joint shareholder (in Martin's
capacity as trustee of the Wakaroma
Trust)
Current registered holder:
Martin Smith, Aneta Bird and Sara
Maree Lunam as trustees of the
Wakaroma Trust
Details of derivative
The notional value of the derivative (if any) or the notional amount of underlying
products (if any):
N/A
A statement as to whether the derivative is cash settled or physically settled:N/A
Maturity date of the derivative (if any):N/A
Expiry date of the derivative (if any):N/A
The price specified in the terms of the derivative(if any):N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all
persons for whom it is made.
Signature of director or officer:
Date of signature:22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Anna Stove
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Director of Rua Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:763,896
Nature of relevant interest: Registered and beneficial holder
Current registered holder: Anna Stove
Details of derivative
The notional value of the derivative (if any) or the notional amount of underlying
products (if any):
N/A
A statement as to whether the derivative is cash settled or physically settled:N/A
Maturity date of the derivative (if any):N/A
Expiry date of the derivative (if any):N/A
The price specified in the terms of the derivative(if any):N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all
persons for whom it is made.
Signature of director or officer:
Date of signature:22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Trevor Burt
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):Breakaway Investments Limited
Position held in listed issuer:
Chairperson and director of Rua
Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:763,896
Nature of relevant interest:
Shareholder and beneficial owner of
Breakaway Investments Limited
Current registered holder: Breakaway Investments Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Options that are convertible to
ordinary shares in Rua Bioscience
Limited under Rua Bioscience
Limited's employee share option plan
Number held in class:
55,000 options potentially convertible
to 283,072 ordinary shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua Bioscience
Limited's employee share option plan
Current registered holder: N/A
Details of derivative
The notional value of the derivative (if any) or the notional amount of underlying products
(if any):
N/A
A statement as to whether the derivative is cash settled or physically settled:N/A
Maturity date of the derivative (if any):N/A
Expiry date of the derivative (if any):N/A
The price specified in the terms of the derivative(if any):N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:
N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all persons
Signature of director or officer:
Date of signature:
22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Manu Caddie
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Kaihautu - Head of Innovation and
Regulation of Rua Bioscience
Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:9,395,515
Nature of relevant interest:
Director and shareholder of New
Zealand Nutraceuticals Limited
(NZNL). NZNL is a limited partner of
Hikurangi Bioactives Limited
Partnership (HBLP) with a 40%
economic interest in HBLP. HBLP is
the registered holder and beneficial
owner of 23,488,787 ordinary
shares in Rua Bioscience Limited
Current registered holder: HBLP
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Options that are convertible to
ordinary shares in Rua Bioscience
Limited under Rua Bioscience
Limited's employee share option
plan
Number held in class:
55,000 options potentially
convertible to 283,072 ordinary
shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua
Bioscience Limited's employee
share option plan
Current registered holder: N/A
Details of derivative
The notional value of the derivative (if any) or the notional amount of underlying
products (if any):
N/A
A statement as to whether the derivative is cash settled or physically settled:N/A
Maturity date of the derivative (if any):N/A
Expiry date of the derivative (if any):N/A
The price specified in the terms of the derivative(if any):N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:
N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all
persons for whom it is made.
Signature of director or officer:
Date of signature:
22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Initial Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests
Sections 297(1) and 298(1), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited
Date this disclosure made:
22-Oct-20
Date on which issuer listed or appointment made:
22-Oct-20
Director or senior manager giving disclosure
Full name:
Hamish White
Name of listed issuer:
Rua Bioscience Limited
Name of related body corporate (if applicable):
Position held in listed issuer:
Chief Financial Officer of Rua
Bioscience Limited
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Ordinary shares in Rua Bioscience
Limited
Number held in class:99,990
Nature of relevant interest: Registered and beneficial holder
Current registered holder: Hamish White
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Options that are convertible to
ordinary shares in Rua Bioscience
Limited under Rua Bioscience
Limited's employee share option plan
Number held in class:
55,000 options potentially convertible
to 283,072 ordinary shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua Bioscience
Limited's employee share option plan
Current registered holder: N/A
Summary of relevant interest (excluding specified derivatives)
Class of quoted financial product:
Rights to ordinary shares in Rua
Bioscience Limited under Rua
Bioscience Limited's employee share
bonus offer
Number held in class:Right to 26,058 shares
Nature of relevant interest:
Entitlement to become legal and
beneficial owner subject to the
meeting of vesting and other terms
and conditions under Rua Bioscience
Limited's employee share bonus offer
Current registered holder: N/A
Any other details needed to understand how the amount of the consideration payable
under the derivative or the value of the derivative is affected by the value of the
underlying financial products:
N/A
For that derivative,-
Parties to the derivative:
N/A
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
N/A
Certification
I, certify that, to the best of my knowledge and belief, the information contained in this
disclosure is correct and that I am duly authorised to make this disclosure by all persons
for whom it is made.
Signature of director or officer:
Date of signature:
22-Oct-20
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
Data sourced from publicly available filings. Our datasets may not be complete. Automated analysis can produce errors. If you believe any data on this page is incorrect, please contact us at hello@nzxplorer.co.nz. For informational purposes only. Not investment advice.
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