26th Aug 2009 17:13
NOTIFICATION OF TRANSACTIONS OF DIRECTORS, PERSONS DISCHARGING MANAGERIAL RESPONSIBILITY OR CONNECTED PERSONS
This form is intended for use by an issuer to make a RIS notification required by DR 3.1.4R(1).
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(1) |
An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
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(2) |
An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8,13, 14, 16, 23 and 24. |
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(3) |
An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
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(4) |
An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |
Please complete all relevant boxes in block capital letters.
1. Name of the issuer
HENDERSON GROUP PLC
2.State whether the notification relates to (i) a transaction notified in accordance with DR 3.1.4R(1)(a); or
(ii) DR 3.1.4(R)(1)(b) a disclosure made in accordance with section 324 (as extended by section 328) of the Companies Act 1985; or
(iii) both (i) and (ii)
(ii) DIRECTOR
3. Name of person discharging managerial responsibilities/director
SHIRLEY JILL GARROOD
4. State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person
NOTIFICATION IS IN RESPECT OF THE SHAREHOLDER NAMED IN 3 ABOVE
5. Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a non-beneficial interest
BENEFICIAL
6. Description of shares (including class), debentures or derivatives or financial instruments relating to shares
ORDINARY SHARES OF TWELVE AND A HALF PENCE EACH
7. Name of registered shareholders(s) and, if more than one, the number of shares held by each of them
HARGREAVES LANSDOWN NOMINEES LIMITED - 486,384 ORDINARY SHARES OF 12.5 PENCE EACH
HARGREAVES LANSDOWN PENSION TRUSTEES LIMITED - 289,792 ORDINARY SHARES OF 12.5 PENCE EACH
8 State the nature of the transaction
INITIAL DIRECTOR'S INTEREST NOTICE
9. Number of shares, debentures or financial instruments relating to shares acquired
-
10. Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage)
-
11. Number of shares, debentures or financial instruments relating to shares disposed
-
12. Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
-
13. Price per share or value of transaction
-
14. Date and place of transaction
26 AUGUST 2009
15. Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
776,176 (486,384 ORDINARY SHARES HELD BY HARGREAVES LANSDOWN NOMINEES LIMITED AND 289,792 ORDINARY SHARES HELD BY HARGREAVES LANSDOWN PENSION TRUSTEES LIMITED IN A SELF-INVESTED PERSONAL PENSION)
16. Date issuer informed of transaction
26 AUGUST 2009
If a person discharging managerial responsibilities has been granted options by the issuer complete the following boxes
17 Date of grant
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18. Period during which or date on which it can be exercised
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19. Total amount paid (if any) for grant of the option
-
20. Description of shares or debentures involved (class and number)
A) HENDERSON GROUP LONG TERM INCENTIVE PLAN (LTIP)
2007 LTIP: performance share awards capable of vesting in March 2010 subject to relative TSR performance over 3 years 2007 to 2009.
2008 LTIP: performance share awards capable of vesting in February 2011 subject to relative TSR performance over 3 years 2008 to 2010.
2009 LTIP: performance share awards capable of vesting in May 2012 subject to performance conditions including relative TSR performance over 3 years 2009 to 2011.
Interest in LTIP on appointment on 26 August 2009:
2007 LTIP: 175,000 performance shares
2008 LTIP: 175,000 performance shares
2009 LTIP: 825,000 performance shares
B) HENDERSON GROUP COMPANY SHARE OPTION PLAN (CSOP)
2009 CSOP: Share options capable of vesting in March 2012 subject to remaining in employment. Exercise price: 72.6 pence per share.
Interest in 2009 CSOP on appointment on 26 August 2009: 41,000 share options
C) HENDERSON GROUP DEFERRED EQUITY PLAN (DEP)
Restricted shares paid in lieu of STI payments with no performance hurdles and matching shares conditional on remaining in employment.
2007 DEP: capable of vesting in March 2010
2008 DEP: capable of vesting in March 2011
2009 DEP: 50% capable of vesting in each of March 2010 and March 2011
Interest in DEP on appointment on 26 August 2009:
2007 DEP: 52,865 restricted shares and 13,216 matching shares
2008 DEP: 92,307 restricted shares and 23,076 matching shares
2009 DEP: 75,068 restricted shares
D) HENDERSON GROUP EMPLOYEE SHARE OWNERSHIP PLAN (ESOP)
Shares purchased with part of post-tax STI payment and held in trust and matching shares conditional on remaining in employment.
Interest in ESOP on appointment on 26 August 2009:
2007 ESOP: 47,335 shares and 51,212 matching shares capable of vesting June 2010
2008 ESOP: 27,692 shares and 27,692 matching shares capable of vesting June 2011
E) HENDERSON GROUP ORDINARY SHARESAVE PLAN (SAYE)
Savings-related share option scheme capable of vesting in June 2012 at an exercise price of 58.2 pence per share
Interest in SAYE on appointment on 26 August 2009: 2009 Sharesave: 15,721 options
F) HENDERSON GROUP BUY AS YOU EARN PLAN (BAYE)
Savings-related share purchase plan via monthly deductions from salary. Shares held in trust accordance with the BAYE rules.
Interest in BAYE on appointment on 26 August 2009
6,381 partnership shares
10,873 matching shares
10,657 free shares
5,884 dividend shares
21. Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise
-
22. Total number of shares or debentures over which options held following notification
AS ABOVE
23. Any additional information
-
24. Name of contact and telephone number for queries
M J PURKIS - 020 7818 2959
Name and signature of duly authorised officer of issuer responsible for making notification
M J PURKIS
Date of notification
26 AUGUST 2009
Related Shares:
HGG.L