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Ongoing D&O Disclosures – Multiple

Insider/Shareholder Notice13 November 2020RUAHealthcare

Ongoing Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

Rua Bioscience Limited

Date this disclosure made:

13-Nov-20

Date of last disclosure:

22-Oct-20

Director or senior manager giving disclosure

Full name(s):

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 acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

Ordinary shares in Rua Bioscience

Limited

Nature of the affected relevant interest(s):

Registered and beneficial holder

For that relevant interest-

Number held in class before acquisition or disposal:

252,293

Number held in class after acquisition or disposal:

279,392

Current registered holder(s):

New share issue

Registered holder(s) once transfers are registered:

Panapa Ehau

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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,-

N/A

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

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:13-Nov-20

Nature of transaction:

Acquisition of legal and beneficial

interest in 27,099 ordinary shares in

accordance with Rua Bioscience

Limited's employee share bonus

offer

Name of any other party or parties to the transaction (if known):

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily by

converted into a cash value, describe the consideration:

Services provided to Rua Bioscience

Limited

Number of financial products to which the transaction related: 27,099

If the issuer has a financial products trading policy that prohibits directors or senior

managers from trading during any period without written clearance (a closed period)

include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:

Ordinary shares in Rua Bioscience

Limited

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

For that relevant interest,-

Number held in class:726

Current registered holder(s):Waiapu Investments Limited

For a derivative relevant interest,-

Type of derivative:N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:

Options that are convertible to

ordinary shares in Rua Bioscience

Limited under Rua Bioscience

Limited's employee share option

plan

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

For that relevant interest,-

Number held in class:

55,000 options potentially convertible

to 283,072 ordinary shares

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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's specified terms (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 relevant interest,-

N/A

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:13-Nov-20

or

Signature of person authorised to sign on behalf of director or officer:

Date of signature:

Name and title of authorised person:


Ongoing Disclosure Notice

Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

Rua Bioscience Limited

Date this disclosure made:

13-Nov-20

Date of last disclosure:

22-Oct-20

Director or senior manager giving disclosure

Full name(s):

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 acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

Ordinary shares in Rua Bioscience

Limited

Nature of the affected relevant interest(s):

Registered and beneficial holder

For that relevant interest-

Number held in class before acquisition or disposal:

40,000

Number held in class after acquisition or disposal:

110,320

Current registered holder(s):

New share issue

Registered holder(s) once transfers are registered:

Rob Mitchell

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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,-

N/A

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

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:13-Nov-20

Nature of transaction:

Acquisition of legal and beneficial

interest in 70,320 ordinary shares in

accordance with Rua Bioscience

Limited's employee share bonus

offer

Name of any other party or parties to the transaction (if known):

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily by

converted into a cash value, describe the consideration:

Services provided to Rua Bioscience

Limited

Number of financial products to which the transaction related: 70,320

If the issuer has a financial products trading policy that prohibits directors or senior

managers from trading during any period without written clearance (a closed period)

include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:

Options that are convertible to

ordinary shares in Rua Bioscience

Limited under Rua Bioscience

Limited's employee share option

plan

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

For that relevant interest,-

Number held in class:

55,000 options potentially convertible

to 301,453 ordinary shares

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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's specified terms (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 relevant interest,-

N/A

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:13-Nov-20

or

Signature of person authorised to sign on behalf of director or officer:

Date of signature:

Name and title of authorised person:


Ongoing Disclosure Notice

Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

Rua Bioscience Limited

Date this disclosure made:

13-Nov-20

Date of last disclosure:

22-Oct-20

Director or senior manager giving disclosure

Full name(s):

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 acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

Ordinary shares in Rua Bioscience

Limited

Nature of the affected relevant interest(s):

Registered and beneficial holder

For that relevant interest-

Number held in class before acquisition or disposal:

99,990

Number held in class after acquisition or disposal:

126,048

Current registered holder(s):

New share issue

Registered holder(s) once transfers are registered:

Hamish White

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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,-

N/A

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

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:13-Nov-20

Nature of transaction:

Acquisition of legal and beneficial

interest in 26,058 ordinary shares in

accordance with Rua Bioscience

Limited's employee share bonus

offer

Name of any other party or parties to the transaction (if known):

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily by

converted into a cash value, describe the consideration:

Services provided to Rua Bioscience

Limited

Number of financial products to which the transaction related: 26,058

If the issuer has a financial products trading policy that prohibits directors or senior

managers from trading during any period without written clearance (a closed period)

include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:

Options that are convertible to

ordinary shares in Rua Bioscience

Limited under Rua Bioscience

Limited's employee share option

plan

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

For that relevant interest,-

Number held in class:

55,000 options potentially convertible

to 283,072 ordinary shares

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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's specified terms (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 relevant interest,-

N/A

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:13-Nov-20

or

Signature of person authorised to sign on behalf of director or officer:

Date of signature:

Name and title of authorised person:

Ongoing Disclosure Notice
Disclosure of Directors and Senior Managers Relevant Interests

Sections 297(2) and 298(2), Financial Markets Conduct Act 2013

To NZX Limited; and

Name of listed issuer:

Rua Bioscience Limited

Date this disclosure made:

13-Nov-20

Date of last disclosure:

22-Oct-20

Director or senior manager giving disclosure

Full name(s):

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 acquisition or disposal of relevant interest (excluding specified derivatives)

Class of affected quoted financial products:

Ordinary shares in Rua Bioscience

Limited

Nature of the affected relevant interest(s):

Registered and beneficial holder

For that relevant interest-

Number held in class before acquisition or disposal:

20,880

Number held in class after acquisition or disposal:

46,938

Current registered holder(s):

New share issue

Registered holder(s) once transfers are registered:

Paul Naske

Summary of acquisition or disposal of specified derivatives relevant interest (if applicable)

Type of affected derivative:

N/A

Class of underlying financial products:

N/A

Details of affected derivative-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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,-

N/A

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

Details of transactions giving rise to acquisition or disposal

Total number of transactions to which notice relates: 1

Details of transactions requiring disclosure-
Date of transaction:13-Nov-20

Nature of transaction:

Acquisition of legal and beneficial

interest in 26,058 ordinary shares in

accordance with Rua Bioscience

Limited's employee share bonus

offer

Name of any other party or parties to the transaction (if known):

The consideration, expressed in New Zealand dollars, paid or received for the

acquisition or disposal. If the consideration was not in cash and cannot be readily by

converted into a cash value, describe the consideration:

Services provided to Rua Bioscience

Limited

Number of financial products to which the transaction related: 26,058

If the issuer has a financial products trading policy that prohibits directors or senior

managers from trading during any period without written clearance (a closed period)

include the following details—

Whether relevant interests were acquired or disposed of during a closed period:No

Whether prior written clearance was provided to allow the acquisition or disposal to

proceed during the closed period:

N/A

Date of the prior written clearance (if any):

N/A

Summary of other relevant interests after acquisition or disposal:

Class of quoted financial products:

Options that are convertible to

ordinary shares in Rua Bioscience

Limited under Rua Bioscience

Limited's employee share option

plan

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

For that relevant interest,-

Number held in class:

32,000 options potentially convertible

to 164,696 ordinary shares

Current registered holder(s):N/A

For a derivative relevant interest,-

Type of derivative:N/A

Details of derivative,-

The notional value of the derivative (if any) or the notional amount of underlying

financial 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's specified terms (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 relevant interest,-

N/A

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:13-Nov-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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