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Initial D&O Disclosures – Multiple

Insider/Shareholder Notice21 October 2020RUAHealthcare

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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