Computershare Trustees (Jersey) Limited UK Regulatory Announcement: Form 8.3 – Brewin Dolphin Holdings PLC

LONDON–(BUSINESS WIRE)–

FORM 8.3

DISCLOSURE OF OPEN POSITION TO THE PUBLIC / DISCLOSURE OF OPERATIONS BY

A PERSON HOLDING AN INTEREST IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of the discloser:

Computershare Trustees (Jersey) Limited as Trustee of Brewin Dolphin Holdings PLC Employee Share Ownership Trust

(b) Owner or control of disclosed holdings and short positions, if different from 1(a):

The designation of nominees or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

Beneficiaries means employees and former employees and their dependents, excluding persons resident in Jersey for the purposes of Jersey law.

Employees means the employees and executive directors of any group company.

Group Company means the Company and any company which is its subsidiary, its holding company or a subsidiary of its holding company as defined in Article 736 of CA 1985 (as amended).

Dependents are spouses, husbands, widows, widowers, and children or stepchildren under the age of 18.

(vs) Name of the offeror/recipient in relation to the securities concerned by this form:

Use a separate form for each offeror/participant

Brewin Dolphin Holdings PLC as beneficiary

(D) If an exempt fund manager is related to an offeror/beneficiary, state this and provide the identity of the offeror/beneficiary:

(e) Date of position occupied/negotiation carried out:

For an open position disclosure, indicate the last practicable date before disclosure

05/12/2022

(F) In addition to the company mentioned in 1(c) above, does the discloser make disclosures regarding any other party to the offer?

If it is a cash offer or a possible cash offer, indicate “N/A”

N / A

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or subscription rights to be disclosed in more than one class of relevant securities of the offeror or recipient named in 1(c), copy table 2(a) or (b) (depending on the case) for each additional category of relevant securities. Security.

(a) Interests and short positions in relevant securities of the offeror or recipient to which the disclosure relates following the transaction (if any)

Class of security concerned:

1p ordinary shares in Brewin Dolphin Holdings PLC

Interests

Short positions

Number

%

Number

%

(1) Securities concerned held and/or controlled:

12,069,557

3.9738%

(2) Derivatives settled in cash:

(3) Derivatives settled in shares (including options) and purchase/sale contracts:

TOTAL:

12,069,557

3.9738%

All interests and short positions must be disclosed.

Details of all open equity-settled derivative positions (including traded options) or agreements to buy or sell the relevant securities must be provided on Supplementary Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including options for directors and other employees)

Class of securities concerned in relation to which a subscription right exists:

Details, including the nature of the rights affected and the relevant percentages:

3. TRANSACTIONS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been transactions in more than one class of relevant securities of the originator or recipient named in 1(c), copy table 3(a), (b), (c) or (d) ) (as applicable) for each class of relevant securities traded.

The currency of all prices and other monetary amounts must be stated.

(a) Purchases and sales

Relevant security class

Buy Sell

Number of titles

Price per unit

(b) Cash-settled derivative transactions

Relevant security class

Product Description

for example CFDs

Type of transaction

e.g. open/close a long/short position, increase/decrease a long/short position

Number of reference titles

Price per unit

(vs) Equity-settled derivative transactions (including options)

(I) Write, sell, buy or vary

Relevant security class

Product Description for example call option

Write, buy, sell, vary etc.

Number of shares on which the option relates

Strike price per unit

Type

for example American, European, etc.

Expiration date

Option amount paid/received per unit

(ii) Exercise

Relevant security class

Product Description

for example call option

Exercise / exercise against

Number of titles

Strike price per share

(D) Other transactions (including subscription of new securities)

Relevant security class

Type of transaction

e.g. subscription, conversion

Details

Unit price (if applicable)

BRWORD 1P

Transfer of shares to satisfy awards exercised

(6,808)

n / A

4. OTHER INFORMATION

(a) Indemnity and other business arrangements

Details of any indemnity or option agreement, or any agreement or understanding, formal or informal, relating to the relevant securities which may be an inducement to trade or refrain from trading entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, indicate “none”

nothing

(b) Agreements, Arrangements or Agreements Relating to Options or Derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person regarding:

(I) the voting rights of any relevant security under any option; or

(ii) voting rights or the future acquisition or disposal of any relevant security to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, indicate “none”

nothing

(vs) Attachments

Is an additional form 8 (open positions) attached?

NOPE

Disclosure date:

May 13, 2022

Name of the contact:

Ana DaCosta

Phone number*:

+441534281808

Public disclosures under rule 8 of the code must be made to a regulatory information service.

The Panel’s Market Surveillance Unit can be consulted about the Code’s disclosure requirements on +44 (0)20 7638 0129.

*If the discloser is a natural person, it is not necessary to include a telephone number, provided that the contact details have been provided to the market surveillance unit of the panel.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

FM 12/05/2022

Category code: RET

Sequence number: 849600

Received time (offset from UTC): 20220513T105917+0100

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