Ongoing D&O Disclosures – Multiple
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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