SKO
22/12/2015 16:47
SSH
NOT PRICE SENSITIVE
REL: 1647 HRS Serko Limited
SSH: SKO: SSH Notice - Robert Shaw and Sarah Shaw
Disclosure of movement of 1% or more in substantial holding
or change in nature of relevant interest, or both
Sections 277 and 278, Financial Markets Conduct Act 2013
To NZX Limited
and
To Serko Limited
Relevant event being disclosed: Movement of 1% or more in the substantial
holding
Date of relevant event: 22 December 2015
Date this disclosure made: 22 December 2015
Date last disclosure made: 24 June 2014
Substantial product holder(s) giving disclosure
Full name(s): Robert Shaw and Sarah Shaw
Summary of substantial holding
Class of quoted voting products: Ordinary share
Summary for Robert Shaw and Sarah Shaw
For this disclosure,--
(a) total number held in class: 12,884,296
(b) total in class: 72,780,065
(c) total percentage held in class: 17.703%
For last disclosure,--
(a) total number held in class: 12,370,010
(b) total in class: 61,375,818
(c) total percentage held in class: 20.155%
Details of transactions and events giving rise to relevant event
Details of the transactions or other events requiring disclosure:
Allotment on 22 December 2015 to Robert Shaw and Sarah Shaw as trustees of
the Ripon Trust of 514,286 new ordinary shares pursuant to a share placement
by Serko Limited announced on 21 December 2015. The aggregate issue price
paid by Robert Shaw for the 514,286 new ordinary shares was NZ$432,000.
For that relevant interest,--
(a) number held in class: 514,286
(b) percentage held in class: 0.707%
(c) current registered holder(s): no change since last disclosure
(d) registered holder(s) once transfers are registered: not applicable
Details after relevant event
Details for Robert Shaw and Sarah Shaw
Nature of relevant interest(s): Robert Shaw and Sarah Shaw as trustees of the
Ripon Trust (together with the other trustee Geoffrey Hosking) are the
registered holders and beneficial owners of 12,884,296 Shares (the Ripon
Trust Shares), and have the power to exercise a right to vote attached to,
and to dispose of, the Ripon Trust Shares. On 20 May 2014, Robert Shaw, Sarah
Shaw and Geoffrey Hosking as trustees of the Ripon Trust entered into a deed
of embargo with Serko, amongst others, (the Deed of Embargo) under which
Robert Shaw, Sarah Shaw and Geoffrey Hosking as trustees of the Ripon Trust
agreed and undertook not to sell or otherwise dispose of the Ripon Trust
Shares until the date falling two business days after Serko makes a
preliminary announcement for the financial year ending 31 March 2016. A copy
of the Deed of Embargo was attached to the last disclosure made on 24 June
2014.
For that relevant interest,--
(a) number held in class: 12,884,296
(b) percentage held in class: 17.703%
(c) current registered holder(s): no change since last disclosure
(d) registered holder(s) once transfers are registered: not applicable
For a derivative relevant interest, also--
(a) type of derivative: not applicable
(b) details of derivative: not applicable
(c) parties to the derivative: not applicable
(d) if the substantial product holder is not a party to the derivative, the
nature of the relevant interest in the derivative: not applicable
Additional information
Nature of connection between substantial security holders: Each of Robert
Shaw and Sarah Shaw is a trustee of the Ripon Trust.
Address(es) of substantial product holder(s): PO Box 47-638, Ponsonby,
Auckland
Contact details: Robert Shaw, +64 9 309 4754, [email protected]
Name of any other person believed to have given, or believed to be required
to give, a disclosure under the Financial Markets Conduct Act 2013 in
relation to the financial products to which this disclosure relates: Geoffrey
Hosking as trustee to the Ripon Trust Shares.
Disclosure has effect for purposes of directors' and senior managers'
disclosure
Robert Shaw is also a Director of Serko Limited. This disclosure also
constitutes disclosure for the purposes of the directors' and senior
managers' disclosure obligations.
Certification
I, Robert Shaw, 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.
End CA:00275611 For:SKO Type:SSH Time:2015-12-22 16:47:34
