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:
2-Nov-21
Date of last disclosure:
13-Nov-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:
279,392
Number held in class after acquisition or disposal:
473,498
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
DocuSign Envelope ID: E89E1523-8873-420C-8F20-7A1F9D853E70
Details of transactions requiring disclosure-
Date of transaction:12-Oct-21
Nature of transaction:
Acqusition of legal and beneficial
interest in 194,106 ordinary shares in
accordance with Rua Buoscience
Limited's employee share option
plan.
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: 194,106
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 followin
g 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
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:2-Nov-21
DocuSign Envelope ID: E89E1523-8873-420C-8F20-7A1F9D853E70
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
DocuSign Envelope ID: E89E1523-8873-420C-8F20-7A1F9D853E70
Ongoing Disclosure Notice
Disclosure of Directors and Senior Mana
gers Relevant Interests
Sections 297(2) and 298(2), Financial Markets Conduct Act 2013
To NZX Limited; and
Name of listed issuer:
Rua Bioscience Limited (Rua)
Date this disclosure made:
2-Nov-21
Date of last disclosure:
26-Aug-21
Director or senior manager giving disclosure
Full name(s):
Rob Mitchell
Name of listed issuer:
Rua
Name of related body corporate (if applicable):
Position held in listed issuer:
Chief Executive Officer of Rua
Summary of acquisition or disposal of relevant interest (excluding specified derivatives)
Class of affected quoted financial products:
Ordinary shares in Rua
Nature of the affected relevant interest(s):
Registered and beneficial holder
For that relevant interest-
Number held in class before acquisition or disposal:
169,140
Number held in class after acquisition or disposal:
288,251
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,-
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:12-Oct-21
Nature of transaction:
Acqusition of legal and beneficial
interest in 119,111 ordinary shares in
accordance with Rua Buoscience
Limited's employee share option
plan.
Name of any other party or parties to the transaction (if known):New share issue
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: 119,111
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:N/A
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
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:2-Nov-21
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
2 Nov 2021
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:
2-Nov-21
Date of last disclosure:
13-Nov-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:
126,048
Number held in class after acquisition or disposal:
320,154
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:12-Oct-21
Nature of transaction:
Acqusition of legal and beneficial
interest in 194,106 ordinary shares in
accordance with Rua Buoscience
Limited's employee share option
plan.
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: 194,106
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 followin
g 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
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:2-Nov-21
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:
2-Nov-21
Date of last disclosure:
13-Nov-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:
46,938
Number held in class after acquisition or disposal:
159,872
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:12-Oct-21
Nature of transaction:
Acqusition of legal and beneficial
interest in 112,934 ordinary shares in
accordance with Rua Buoscience
Limited's employee share option
plan.
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: 112,934
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 followin
g 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
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:2-Nov-21
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:
2-Nov-21
Date of last disclosure:
22-Oct-20
Director or senior manager giving disclosure
Full name(s):
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 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:
763,896
Number held in class after acquisition or disposal:
958,002
Current registered holder(s):
New share issue
Registered holder(s) once transfers are registered:
Breakaway Investments Limited
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
DocuSign Envelope ID: 9513A4B7-6633-452B-9645-9AD3C5F441DC
Details of transactions requiring disclosure-
Date of transaction:12-Oct-21
Nature of transaction:
Acqusition of legal and beneficial
interest in 194,106 ordinary shares in
accordance with Rua Buoscience
Limited's employee share option
plan.
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 by Trevor Burt
Number of financial products to which the transaction related: 194,106
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 followin
g 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
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:2-Nov-21
or
Signature of person authorised to sign on behalf of director or officer:
Date of signature:
Name and title of authorised person:
DocuSign Envelope ID: 9513A4B7-6633-452B-9645-9AD3C5F441DC
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:
2-Nov-21
Date of last disclosure:
8-Jun-21
Director or senior manager giving disclosure
Full name(s):
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
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:
0
Number held in class after acquisition or disposal:
194,106
Current registered holder(s):
New share issue
Registered holder(s) once transfers are registered:
Manu Caddie
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:12-Oct-21
Nature of transaction:
Acqusition of legal and beneficial
interest in 194,106 ordinary shares in
accordance with Rua Buoscience
Limited's employee share option
plan.
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: 194,106
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 followin
g 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:
Manu is a director and 50%
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 17,616,591 ordinary shares
in Rua Bioscience Limited.
For that relevant interest,-
Number held in class:7,046,636
Current registered holder(s):HBLP
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:2-Nov-21
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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