Disclosure of Senior Managers Relevant Interest
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:
ArborGen Holdings Limited
Date this disclosure made:
23 July 2021
Date of last disclosure:
15 July 2021
Director or senior manager giving disclosure
Full name(s):
Andrew Mark Baum
Name of listed issuer:
ArborGen Holdings Limited
Name of related body corporate (if applicable):
N/A
Position held in listed issuer:
Chief Executive Officer
Summary of acquisition or disposal of relevant interest (excluding specified derivatives)
Class of affected quoted financial products:
ARB Ordinary Shares
Nature of the affected relevant interest(s):
Right to acquire restricted share units (RSUs)
convertible into ARB Ordinary Shares, subject to
performance targets and vesting criteria being met
For that relevant interest-
Number held in class before acquisition or disposal:
RSUs: 972,160
Ordinary Shares: 702,427
Number held in class after acquisition or disposal:
2022 RSUs: up to 1,101,811 2021
RSUs (awarded): 972,160
Ordinary Shares: 702,427
Current registered holder(s):
Andrew Mark Baum
Registered holder(s) once transfers are registered:
Andrew Mark Baum
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative(if any):
The price specified in the terms of the derivative (if any):
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:
For that derivative,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:19 July 2021
Nature of transaction:
Entry into Conditional Restricted Share Unit Agreement
(RSU Agreement) to receive ArborGen RSUs, subject
to the ArborGen group's achievement of certain
financial performance hurdles in accordance with the
ArborGen 2022 LTI Plan.
Any RSUs awarded under the RSU Agreement will
vest as ARB Ordinary Shares in three equal tranches
on three separate vesting dates, provided that the
holder of the RSU remains employed by the ArborGen
group on the applicable vesting date.
Name of any other party or parties to the transaction (if known):N/A
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:
No cash consideration is payable for the RSUs. The
consideration for the RSUs is the services to be
rendered by the participant over the 2022 LTI Plan
period.
Number of financial products to which the transaction related:
A maximum of 1,101,811 RSUs
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:N/A
Nature of relevant interest:N/A
For that relevant interest,-
Number held in class:N/A
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative (if any):
The price's specified terms (if any):
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:
For that derivative relevant interest,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
23 July 2021
Name and title of authorised person:
Sharon Ludher-Chandra Company Secretary
---
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:
ArborGen Holdings Limited
Date this disclosure made:
23 July 2021
Date of last disclosure:
27 July 2020
Director or senior manager giving disclosure
Full name(s):
Ana Gabriela Monnerat Carvalho
Name of listed issuer:
ArborGen Holdings Limited
Name of related body corporate (if applicable):
N/A
Position held in listed issuer:
General Manager, Brazil
Summary of acquisition or disposal of relevant interest (excluding specified derivatives)
Class of affected quoted financial products:
ARB Ordinary Shares
Nature of the affected relevant interest(s):
Right to acquire restricted share units (RSUs)
convertible into ARB Ordinary Shares, subject to
performance targets and vesting criteria being met
For that relevant interest-
Number held in class before acquisition or disposal:
RSUs: Nil
Ordinary Shares: N/A as no acquisition or disposal of
ARB Ordinary Shares
Number held in class after acquisition or disposal:
RSUs: up to 169,164
Ordinary Shares: N/A as no acquisition or disposal of
ARB Ordinary Shares
Current registered holder(s):
N/A
Registered holder(s) once transfers are registered:
N/A
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative(if any):
The price specified in the terms of the derivative (if any):
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:
For that derivative,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:19 July 2021
Nature of transaction:
Entry into Conditional Restricted Share Unit Agreement
(RSU Agreement) to receive ArborGen RSUs, subject
to the ArborGen group's achievement of certain
financial performance hurdles in accordance with the
ArborGen 2022 LTI Plan.
Any RSUs awarded under the RSU Agreement will
vest as ARB Ordinary Shares in three equal tranches
on three separate vesting dates, provided that the
holder of the RSU remains employed by the ArborGen
group on the applicable vesting date.
Name of any other party or parties to the transaction (if known):N/A
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:
No cash consideration is payable for the RSUs. The
consideration for the RSUs is the services to be
rendered by the participant over the 2022 LTI Plan
period.
Number of financial products to which the transaction related:
A maximum of 169,164 RSUs
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:N/A
Nature of relevant interest:N/A
For that relevant interest,-
Number held in class:N/A
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative (if any):
The price's specified terms (if any):
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:
For that derivative relevant interest,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
23 July 2021
Name and title of authorised person:
Sharon Ludher-Chandra Company Secretary
---
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:
ArborGen Holdings Limited
Date this disclosure made:
23 July 2021
Date of last disclosure:
15 July 2021
Director or senior manager giving disclosure
Full name(s):
Kathy Reeves Parker
Name of listed issuer:
ArborGen Holdings Limited
Name of related body corporate (if applicable):
N/A
Position held in listed issuer:
Vice President, Finance & Accounting
Summary of acquisition or disposal of relevant interest (excluding specified derivatives)
Class of affected quoted financial products:
ARB Ordinary Shares
Nature of the affected relevant interest(s):
Right to acquire restricted share units (RSUs)
convertible into ARB Ordinary Shares, subject to
performance targets and vesting criteria being met
For that relevant interest-
Number held in class before acquisition or disposal:
RSUs: 284,800
Ordinary Shares: 142,400
Number held in class after acquisition or disposal:
2022 RSUs: up to 322,783 2021
RSUs (awarded): 284,800
Ordinary Shares: 142,400
Current registered holder(s):
Kathy Parker
Registered holder(s) once transfers are registered:
Kathy Parker
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative(if any):
The price specified in the terms of the derivative (if any):
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:
For that derivative,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:19 July 2021
Nature of transaction:
Entry into Conditional Restricted Share Unit Agreement
(RSU Agreement) to receive ArborGen RSUs, subject
to the ArborGen group's achievement of certain
financial performance hurdles in accordance with the
ArborGen 2022 LTI Plan.
Any RSUs awarded under the RSU Agreement will
vest as ARB Ordinary Shares in three equal tranches
on three separate vesting dates, provided that the
holder of the RSU remains employed by the ArborGen
group on the applicable vesting date.
Name of any other party or parties to the transaction (if known):N/A
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:
No cash consideration is payable for the RSUs. The
consideration for the RSUs is the services to be
rendered by the participant over the 2022 LTI Plan
period.
Number of financial products to which the transaction related:
A maximum of 322,783 RSUs
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:N/A
Nature of relevant interest:N/A
For that relevant interest,-
Number held in class:N/A
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative (if any):
The price's specified terms (if any):
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:
For that derivative relevant interest,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
23 July 2021
Name and title of authorised person:
Sharon Ludher-Chandra Company Secretary
---
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:
ArborGen Holdings Limited
Date this disclosure made:
23 July 2021
Date of last disclosure:
15 July 2021
Director or senior manager giving disclosure
Full name(s):
John Ashley Pait, III
Name of listed issuer:
ArborGen Holdings Limited
Name of related body corporate (if applicable):
N/A
Position held in listed issuer:
Vice President, Sales & Marketing
Summary of acquisition or disposal of relevant interest (excluding specified derivatives)
Class of affected quoted financial products:
ARB Ordinary Shares
Nature of the affected relevant interest(s):
Right to acquire restricted share units (RSUs)
convertible into ARB Ordinary Shares, subject to
performance targets and vesting criteria being met
For that relevant interest-
Number held in class before acquisition or disposal:
RSUs: 423,950
Ordinary Shares: 211,975
Number held in class after acquisition or disposal:
2022 RSUs: up to 480,489 2021
RSUs (awarded): 423,950
Ordinary Shares: 211,975
Current registered holder(s):
John Pait
Registered holder(s) once transfers are registered:
John Pait
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative(if any):
The price specified in the terms of the derivative (if any):
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:
For that derivative,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:19 July 2021
Nature of transaction:
Entry into Conditional Restricted Share Unit Agreement
(RSU Agreement) to receive ArborGen RSUs, subject
to the ArborGen group's achievement of certain
financial performance hurdles in accordance with the
ArborGen 2022 LTI Plan.
Any RSUs awarded under the RSU Agreement will
vest as ARB Ordinary Shares in three equal tranches
on three separate vesting dates, provided that the
holder of the RSU remains employed by the ArborGen
group on the applicable vesting date.
Name of any other party or parties to the transaction (if known):N/A
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:
No cash consideration is payable for the RSUs. The
consideration for the RSUs is the services to be
rendered by the participant over the 2022 LTI Plan
period.
Number of financial products to which the transaction related:
A maximum of 480,489 RSUs
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:N/A
Nature of relevant interest:N/A
For that relevant interest,-
Number held in class:N/A
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):
A statement as to whether the derivative is cash settled or physically settled:
Maturity date of the derivative (if any):
Expiry date of the derivative (if any):
The price's specified terms (if any):
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:
For that derivative relevant interest,-
Parties to the derivative:
If the director or senior manager is not a party to the derivative, the nature of the
relevant interest in the derivative:
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:
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
23 July 2021
Name and title of authorised person:
Sharon Ludher-Chandra Company Secretary
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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