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GAM Holding AG — Investor Relations & Filings

Ticker · GAM ISIN · CH0102659627 LEI · 549300GGVID7ZGDMX291 SW Financial and insurance activities
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Filings indexed 55 across all filing types
Latest filing 2021-09-15 Regulatory Filings
Country CH Switzerland
Listing SW GAM

About GAM Holding AG

https://www.gam.com/

GAM Holding AG is an independent, pure-play global asset management group. The firm provides active investment management services to a wide range of clients, including institutions, financial intermediaries, and private investors. It offers distinctive investment strategies across multiple asset classes, with specialized capabilities in areas such as emerging market debt, multi-asset solutions, and sustainable investing. The company's core mission is to protect and enhance its clients' financial future through responsible and diligent investment approaches.

Recent filings

Filing Released Lang Actions
Form 8.3 - GYG plc / Harwood Capital LLP
Regulatory Filings Classification · 95% confidence The document explicitly states it is a 'FORM 8.3' titled 'PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE' under 'Rule 8.3 of the Takeover Code'. This form relates to disclosures required during a takeover situation concerning the offeree 'GYG plc'. While it involves director/insider-like activity (dealing disclosure), the specific context of the Takeover Code disclosure (Form 8.3) is not covered by the provided specific codes like DIRS (Director's Dealing) or TAR (M&A Activity). Since it is a mandatory regulatory disclosure related to a takeover/dealing, and it is not a standard financial report (10-K, IR, ER), the most appropriate general regulatory filing category that encompasses specific, non-standard regulatory notices is RNS (Regulatory Filings), which serves as the fallback for miscellaneous regulatory announcements not covered elsewhere. However, given the content is a direct dealing disclosure related to a potential takeover, it is highly specific. Reviewing the definitions, 'DIRS' is for personal share transactions by directors, and 'TAR' is for M&A activity. Form 8.3 is a mandatory disclosure during a takeover bid. Since there is no specific code for 'Takeover Code Disclosure', and it is a regulatory filing, RNS is the best fit as a general regulatory announcement, although it strongly relates to M&A (TAR). Given the structure and mandatory nature of the filing under the Takeover Code, RNS is the safest general classification for a specific regulatory form not explicitly listed.
2021-09-15 English
Form 8.3 - GYG plc / Harwood Capital LLP
Regulatory Filings Classification · 95% confidence The document is explicitly titled 'FORM 8.3' and references 'Rule 8.3 of the Takeover Code'. This form is a 'PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE' related to an offer involving 'GYG plc'. This type of disclosure, mandated by a specific regulatory body (The Takeover Panel), concerns insider dealings or significant ownership changes during a takeover scenario. While it involves dealings, the specific regulatory form (Form 8.3) is a specialized disclosure that doesn't fit neatly into the general 'Director's Dealing' (DIRS) category, which usually refers to standard insider transaction reports (like Form 3, 4, 5 in the US context). Given the options, this highly specific regulatory filing related to a takeover bid, which is not a standard financial report (10-K, IR, ER) or a general announcement (RNS), is best classified under the most specific available category that covers significant ownership changes or transactions related to corporate actions, which in this case points towards filings related to share ownership or transactions. However, looking closely at the definitions, 'Director's Dealing' (DIRS) is for personal share transactions by directors. This is a disclosure by GAM Holding AG regarding its position in an offer for GYG plc. Since it is a mandatory disclosure under the Takeover Code, and it details interests and dealings in securities during an offer, it is a specific type of regulatory filing. Since there is no specific 'Takeover Disclosure' code, and it details dealings and positions, it is closest to DIRS, but DIRS is too narrow. The document is fundamentally a regulatory disclosure mandated by the Takeover Panel. The most appropriate general regulatory filing category that captures mandatory, non-standard disclosures is RNS (Regulatory Filings), as it is being distributed via RNS and is a specific regulatory notice. However, since it details dealings and positions, and the context is a takeover, it is a specific type of insider/major shareholder disclosure. Given the options, and recognizing this is a mandatory disclosure about interests in securities during an offer, it is a highly specific regulatory filing. If we must choose from the list, and it is not a standard DIRS (Director's Dealing), it falls under the general regulatory announcement category, RNS, or potentially MRQ (Major Shareholding Notification) if the 1% threshold is the key. Since it is explicitly a Form 8.3 under the Takeover Code, it is a specific regulatory filing. I will classify it as RNS as the catch-all for specific regulatory notices not covered elsewhere, as it is distributed via RNS and is a mandatory disclosure under the UK Takeover Code.
2021-08-05 English
Form 8.3 - GYG plc / Harwood Capital LLP
Regulatory Filings Classification · 95% confidence The document explicitly states it is a 'FORM 8.3' titled 'PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE' under 'Rule 8.3 of the Takeover Code'. This form relates to disclosures concerning interests in securities during a takeover scenario. While it is a regulatory filing, the specific nature of disclosing director/insider dealings or major shareholdings during a takeover context points towards insider transaction reporting, but the provided categories do not have a specific 'Takeover Disclosure' code. The content details positions and dealings of a person (GAM Holding AG) in the securities of an offeror/offeree (GYG plc). This is a specific type of insider transaction disclosure related to corporate control activity. Given the options, 'Director's Dealing' (DIRS) is the closest analogue for personal/insider security transactions, although this is technically a major shareholder disclosure under the Takeover Code. However, the document is clearly a formal regulatory disclosure disseminated via RNS. Since it is a specific regulatory filing that doesn't fit 10-K, ER, or IR, and it details security transactions/positions, it is best classified as a specific regulatory filing disseminated via RNS. Since the document is a complete disclosure form (not an announcement *about* a report), and it details transactions/positions, it is a specific regulatory filing. Given the options, 'RNS' (General Regulatory Filings) is the most appropriate fallback for a specific, non-standard SEC/local filing type that is clearly a regulatory announcement, especially since it is distributed via the RNS system.
2021-08-03 English
Form 8.3 - GYG plc / Harwood Capital LLP
Major Shareholding Notification Classification · 95% confidence The document is explicitly titled 'FORM 8.3 - PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE' and references 'Rule 8.3 of the Takeover Code'. This form is used to disclose insider dealings or significant ownership changes related to a takeover offer. This type of disclosure, especially when referencing specific regulatory forms related to takeovers and insider positions, falls under the category of Director's Dealing (DIRS) or, more broadly, a specific regulatory filing. Since 'Director's Dealing' (DIRS) covers personal share transactions by executives/directors, and this form details the position and dealings of GAM Holding AG concerning GYG plc, it aligns closely with insider/significant shareholder transaction reporting. However, given the specific context of a takeover code disclosure (Form 8.3), it is a highly specific regulatory filing. Comparing the definitions, 'Director's Dealing' (DIRS) is the closest fit for reporting personal/related party transactions in securities, even if the filer is an entity rather than a director. If DIRS is too narrow, 'Regulatory Filings' (RNS) is the fallback. Since the content is a direct disclosure of ownership and dealing under a specific regulatory rule (Takeover Code Rule 8.3), it is best classified as a specific type of regulatory disclosure. Given the options, 'Director's Dealing' (DIRS) is often used broadly for insider/significant holder transaction reports, but 'Regulatory Filings' (RNS) is the most accurate catch-all for specific, non-standard regulatory forms like this one, especially since it is distributed via RNS. Let's re-evaluate: DIRS is for 'personal share transactions by company directors and executives (insider trades)'. This is a disclosure by an entity (GAM Holding AG) regarding its position in an offeree (GYG plc) under the Takeover Code. This is a mandatory disclosure related to a potential takeover situation. This is a specific regulatory filing that doesn't fit perfectly into DIRS, ER, or 10-K. Therefore, the most appropriate general category for a specific, mandatory regulatory disclosure not covered elsewhere is RNS.
2021-08-03 English
Form 8.3 - GYG plc / Harwood Capital LLP
Regulatory Filings Classification · 95% confidence The document is explicitly titled 'FORM 8.3 PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE' and references 'Rule 8.3 of the Takeover Code (the "Code")'. This form relates to disclosures required during a takeover or merger situation concerning interests in relevant securities. While it involves dealing disclosure, the specific context of the Takeover Code (Rule 8.3) points towards regulatory filings related to M&A activity or general regulatory disclosure. Since the definitions provided do not have a specific code for 'Takeover Code Disclosure Form 8.3', the most appropriate classification is 'Regulatory Filings' (RNS) as it is a mandatory public disclosure to an RNS service regarding securities interests during a potential offer, which is a general regulatory requirement not covered by the more specific categories like DIRS (Director's Dealing) or TAR (M&A Activity announcement itself). The document is a formal regulatory filing disseminated via RNS.
2021-07-29 English
Form 8.3 - Proactis plc / Cafe Bidco Limited
Regulatory Filings Classification · 95% confidence The document is explicitly titled 'FORM 8.3 - PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE' and references 'Rule 8.3 of the Takeover Code'. This form relates to disclosures of interests and dealings in securities during a takeover situation. While it is a regulatory filing, the specific nature of disclosing director/insider dealings or major shareholdings during a takeover context points towards insider transaction reporting, which is closely related to 'Director's Dealing' (DIRS) or general regulatory disclosure. However, Form 8.3 is a specific disclosure required under the UK Takeover Code, which deals with interests in securities during an offer. Given the options, this is a highly specific regulatory disclosure concerning interests/dealings related to an offer. Since there is no specific code for 'Takeover Code Disclosure Form 8.3', and it involves personal/entity dealings in securities, it is closest to 'Director's Dealing' (DIRS) if the discloser is an insider, or it falls under the general 'Regulatory Filings' (RNS) category. Since the document explicitly details dealings (Sale of 3,920,396 shares) and positions related to an offer, and it is a formal disclosure mandated by a regulatory body (The Panel), it fits best under the general regulatory announcement category, RNS, as it is not a standard DIRS form (Form 3/4/5 equivalent) but a specific takeover-related disclosure. Furthermore, the document ends with RNS distribution boilerplate. Therefore, RNS is the most appropriate fallback for this specific, non-standard filing type.
2021-05-05 English

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