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AJ Bell PLC
Director's Dealing • Dec 15, 2020
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Director's Dealing
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National Storage Mechanism | Additional information 
RNS Number : 7530I
AJ Bell PLC
15 December 2020
AJ Bell plc
("AJ Bell", the "Company")
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
The Company announces that it has been notified of the below transactions (Transactions).
(1) The senior managers/persons discharging managerial responsibility (PDMRs) who are named in column (1) of the below table purchased the number of shares set alongside their respective names in column (2) of the below table under the Company's Buy As You Earn scheme (BAYE) on 11 December 2020 at a price of £4.2959 per Ordinary Share.
| (1) | (2) |
| PDMR | Number of Ordinary Shares acquired |
| Charles Galbraith | 35 |
| Roger Stott | 35 |
| Bruce Robinson | 35 |
| Mo Tagari | 35 |
(2) Les Platts, a director/PDMR in the Company, has on 14 December 2020 in order to effect:
a) a "Bed and ISA" transaction, sold 23,860 ordinary shares of £0.000125 each in the Company (Ordinary Shares) at a price of £4.35 per Ordinary Share and then repurchased into his AJ Bell individual savings account (ISA) the same number of 23,860 Ordinary Shares at a price of £4.3501 per Ordinary Share;
b) a "Bed and SIPP" transaction, sold 35,790 Ordinary Shares at a price of £4.3525 per Ordinary Share and then repurchased into his AJ Bell self-invested personal pension account (SIPP) the same number of 35,790 Ordinary Shares at a price of £4.3525 per Ordinary Share.
(3) Laura Carstensen, a director/PDMR in the Company, has sold 52,045 Ordinary Shares of £0.000125 each in the Company (Ordinary Shares) at a price of £4.275 per Ordinary Share on 14 December 2020.
(4) Those persons who are named in column (1) of the below table, who are persons closely associated (PCA) with the PDMRs named in column (2) of the below table, sold the number of Ordinary Shares set alongside their respective names in column (3) of the below table at a price of £4.275 per Ordinary Share on 14 December 2020.
| (1) | (2) | (3) |
| PCA | PDMR | Number of Ordinary Shares sold |
| Julie Stott | Roger Stott | 356,000 |
| Laura Petherick | Louis Petherick | 30,000 |
(5) Charles Galbraith, a senior manager/PDMR in the Company, has exercised options under the Company Share Option Plan to acquire 5,714 Ordinary Shares at an exercise price of £0.63 per Ordinary Share, with 832 Ordinary Shares being immediately sold at a price of £4.3372 per Ordinary Share to pay the exercise price. Both transactions took place on 15 December 2020.
(6) Following completion of the Transactions, each of the PDMRs named in column (1) of the below table is interested in the number of Ordinary Shares in the Company and percentage of the Company's issued share capital set alongside their respective names in columns (2) and (3) of the below table.
| (1) | (2) | (3) |
| PDMR | Number of shares in which interested | % of issued share capital |
| Les Platts | 310,517 | 0.076 |
| Laura Carstensen | 0 | 0 |
| Roger Stott | 98,255 | 0.024 |
| Louis Petherick | 138,448 | 0.034 |
| Charles Galbraith | 2,030,497 | 0.494 |
| Bruce Robinson | 629,354 | 0.153 |
| Mo Tagari | 23,826 | 0.006 |
The notifications below, made in accordance with the requirements of the EU Market Abuse Regulation, provide further details.
ENQUIRIES
AJ Bell
· Bruce Robinson, Company Secretary +44 (0) 780 234 4859
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| a) | Name | Charles Galbraith | |
| 2 | Reason for the notification | ||
| a) | Position/status | Managing Director, AJ Bell Youinvest/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Purchase of shares under BAYE | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.2959 | 35 | ||
| e) | Aggregated information - Aggregated volume - Aggregated Price |
N/A single transaction | |
| f) | Date of the transaction | 11 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| a) | Name | Roger Stott | |
| 2 | Reason for the notification | ||
| a) | Position/status | Group Finance Director/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Purchase of shares under BAYE | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.2959 | 35 | ||
| e) | Aggregated information - Aggregated volume - Aggregated Price |
N/A single transaction | |
| f) | Date of the transaction | 11 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| a) | Name | Bruce Robinson | |
| 2 | Reason for the notification | ||
| a) | Position/status | Group Legal Service Director and Company Secretary/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Purchase of shares under BAYE | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.2959 | 35 | ||
| e) | Aggregated information - Aggregated volume - Price - Aggregated total |
N/A single transaction | |
| f) | Date of the transaction | 11 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| a) | Name | Mohamed Tagari | |
| 2 | Reason for the notification | ||
| a) | Position/status | Chief Technology Officer/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Purchase of shares under BAYE | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.2959 | 35 | ||
| e) | Aggregated information - Aggregated volume - Price - Aggregated total |
N/A single transaction | |
| f) | Date of the transaction | 11 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Leslie Platts | |
| 2 | Reason for the notification | ||
| a) | Position/status | Chairman/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Sales of Ordinary Shares | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.35 | 23,860 | ||
| £4.3525 | 35,790 | ||
| e) | Aggregated information | ||
| Aggregated volume | 59,650 | ||
| Aggregated Price | £259,566.975 | ||
| f) | Date of the transaction | 14 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Leslie Platts | |
| 2 | Reason for the notification | ||
| a) | Position/status | Chairman/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Purchase of Ordinary Shares via ISA | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.3501 | 23,860 | ||
| e) | Aggregated information - Aggregated volume - Aggregated Price |
N/A single transaction | |
| f) | Date of the transaction | 14 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Leslie Platts | |
| 2 | Reason for the notification | ||
| a) | Position/status | Chairman/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Purchase of Ordinary Shares via SIPP | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.3525 | 35,790 | ||
| e) | Aggregated information - Aggregated volume - Aggregated Price |
N/A single transaction | |
| f) | Date of the transaction | 14 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Laura Carstensen | |
| 2 | Reason for the notification | ||
| a) | Position/status | Non-Executive Director/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Sale of Ordinary Shares | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.275 | 52,045 | ||
| e) | Aggregated information - Aggregated volume - Price - Aggregated total |
N/A single transaction | |
| f) | Date of the transaction | 14 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Julie Stott | |
| 2 | Reason for the notification | ||
| a) | Position/status | PCA with Roger Stott, Group Finance Director/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Sale of Ordinary Shares | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.275 | 356,000 | ||
| e) | Aggregated information - Aggregated volume - Aggregated Price |
N/A single transaction | |
| f) | Date of the transaction | 14 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Laura Helen Petherick | |
| 2 | Reason for the notification | ||
| a) | Position/status | PCA with Louis Petherick, Chief Risk Officer/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Sale of Ordinary Shares | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.275 | 30,000 | ||
| e) | Aggregated information - Aggregated volume - Price - Aggregated total |
N/A single transaction | |
| f) | Date of the transaction | 14 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| a) | Name | Charles Galbraith | |
| 2 | Reason for the notification | ||
| a) | Position/status | Managing Director, AJ Bell Youinvest/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Exercise of CSOP Options | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £0.63 | 5,714 | ||
| e) | Aggregated information - Aggregated volume - Aggregated Price |
N/A single transaction | |
| f) | Date of the transaction | 15 December 2020 | |
| g) | Place of the transaction | Outside of a trading venue |
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| a) | Name | Charles Galbraith | |
| 2 | Reason for the notification | ||
| a) | Position/status | Managing Director, AJ Bell Youinvest/PDMR | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | AJ Bell plc | |
| b) | Legal Entity Identifier | 213800VNKA7DPWXWJJ36 | |
| 4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares of £0.000125 each GB00BFZNLB60 |
|
| b) | Nature of the transaction | Sale of Ordinary Shares | |
| c) | Currency | GBP | |
| d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| £4.3372 | 832 | ||
| e) | Aggregated information - Aggregated volume - Aggregated Price |
N/A single transaction | |
| f) | Date of the transaction | 15 December 2020 | |
| g) | Place of the transaction | London Stock Exchange |
Name of officer of issuer responsible for making notification: Bruce Robinson (Company Secretary)
Date of notification: 15 December 2020
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