Blocklisting Interim Review: 6 May 2014

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Blocklisting Interim Review: 6 May 2014

Blocklisting six-monthly return

Date: 6 May 2014

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

Performance Share Option Plan

3. Period of return:

From 4 November 2013 To 3 May 2014

4. Balance under scheme from previous return:

87,273 – first return

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

87,273

7. Balance under scheme not yet issued/allotted at end of period

0 – listing cancelled

8. Number and class of securities originally listed and the date of admission

87,273 ordinary 4p shares, 4 November 2013

9. Total number of securities in issue at the end of the period

15,545,473 ordinary 4p shares

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7886 2842

London

Panmure Gordon & Co
One New Change
(Entrance on Watling Street)
London
EC4M 9AF
UK
+44 (0)20 7886 2500

Leeds

Panmure Gordon & Co
Park House,
Park Square West
Leeds
LS1 2PW
UK
+44 (0)113 357 1150

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Additional Listing: 31 October 2013

Application has been made to the Alternative Investment Market of the London Stock Exchange (“AIM”) for a Block Listing of 87,273 ordinary shares of 4p each.

These shares, ranking pari passu in all respects with the existing ordinary shares in issue, will be allotted pursuant to the rules of the Company’s Performance Share Option Plan (“the Plan”).

The shares may not all be allotted immediately but as and when required in accordance with the Plan rules.

It is expected that the shares will be admitted to trading on 4 November 2013.

Blocklisting Interim Review: 7 May 2013

Blocklisting six-monthly return

Date: 7 May 2013

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

Performance Share Plan

3. Period of return:

From 04 November 2012 To 03 May 2013

4. Balance under scheme from previous return:

197,912

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

0

7 Balance under scheme not yet issued/allotted at end of period

197,912

8. Number and class of securities originally listed and the date of admission

4,500,000 Ordinary 4p shares, 4 May 2012

9. Total number of securities in issue at the end of the period

154,581,167

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7886 2500

Blocklisting interim Review: 20 February 2013

Blocklisting six-monthly return

Date: 20 February 2013

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

Performance Share Option Plan

3. Period of return:

From 20 August 2012 To 19 February 2013

4. Balance under scheme from previous return:

872,731

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

0

7 Balance under scheme not yet issued/allotted at end of period

872,731

8. Number and class of securities originally listed and the date of admission

1,745,462 Ordinary 4p shares, 20 August 2008

9. Total number of securities in issue at the end of the period

154,581,167 (of which 220,099 are treasury shares)

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7886 2842

Blocklisting Interim Review: 23 January 2013

Blocklisting six-monthly return

Date: 23 January 2012

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

Accrued Bonus Plan

3. Period of return:

From 23 July 2012 To 22 January 2013

4. Balance under scheme from previous return:

1,050

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

0

7. Balance under scheme not yet issued/allotted at end of period

0 – listing cancelled

8. Number and class of securities originally listed and the date of admission

500,000 Ordinary 4p shares, 23 July 2007

135,000 Ordinary 4p shares, 12 April 2010

9. Total number of securities in issue at the end of the period

154,581,167 (of which 220,099 are treasury shares)

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7459 3600

Blocklisting Interim Review: 18 January 2013

Blocklisting six-monthly return

Date: 18 January 2013

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

2002 Unapproved Share Option Plan (“Unapproved”); 2002 Approved Share Option Plan (“Approved”)

3. Period of return:

From 18 July 2012 To 17 January 2013

4. Balance under scheme from previous return:

Unapproved = 1,626,602; Approved = 261,179

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

Unapproved = 0; Approved = 0

7 Balance under scheme not yet issued/allotted at end of period

Unapproved = 1,626,602; Approved 261,179

8. Number and class of securities originally listed and the date of admission

250,000 Ordinary 4p shares, 18 July 2005

1,500,000 Ordinary 4p shares, 14 March 2006

2,200,000 Ordinary 4p shares, 28 April 2006

9. Total number of securities in issue at the end of the period

154,581,167 (of which 220,099 are treasury shares)

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7886 2500

Blocklisting interim review: 5 November 2012

Blocklisting six-monthly return

Date:   5 November 2012

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

Performance Share Plan

3. Period of return:

From   04 May 2012             To        03 November 2012

4. Balance under scheme from previous return:

0 – first return

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

4,500,000

6. Number of securities issued/allotted under scheme during period:

4,302,088

7 Balance under scheme not yet issued/allotted at end of period

197,912

8. Number and class of securities originally listed and the date of admission

4,500,000 Ordinary 4p shares, 4 May 2012

9. Total number of securities in issue at the end of the period

154,581,167 (of which 220,099 are treasury shares)

Name of contact        Sarah Wigley, Company Secretary

Telephone number of contact          020 7886 2842

Blocklisting interim review: 20 August 2012

Blocklisting six-monthly return

Date: 20 August 2012

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

Performance Share Option Plan

3. Period of return:

From 20 February 2012 To 19 August 2012

4. Balance under scheme from previous return:

872,731

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

0

7 Balance under scheme not yet issued/allotted at end of period

872,731

8. Number and class of securities originally listed and the date of admission

1,745,462 Ordinary 4p shares, 20 August 2008

9. Total number of securities in issue at the end of the period

154,581,167 (of which 220,099 are treasury shares)

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7459 3600

Blocklisting interim review: 23 July 2012

Blocklisting six-monthly return

Date: 23 July 2012

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

Accrued Bonus Plan

3. Period of return:

From 23 January 2012 To 22 July 2012

4. Balance under scheme from previous return:

51,224

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

50,174

7. Balance under scheme not yet issued/allotted at end of period

1,050

8. Number and class of securities originally listed and the date of admission

500,000 Ordinary 4p shares, 23 July 2007
135,000 Ordinary 4p shares, 12 April 2010

9. Total number of securities in issue at the end of the period

154,581,167 (of which 220,099 are treasury shares)

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7459 3600

Blocklisting interim review: 18 July 2012

Blocklisting six-monthly return

Date: 18 July 2012

1. Name of applicant:

Panmure Gordon & Co. plc

2. Name of scheme

2002 Unapproved Share Option Plan (“Unapproved”); 2002 Approved Share Option Plan (“Approved”)

3. Period of return:

From 18 January 2012 To 17 July 2012

4. Balance under scheme from previous return:

Unapproved = 1,626,602; Approved = 261,179

5. The amount by which the block scheme has been increased, if the scheme has been increased since the date of the last return

n/a

6. Number of securities issued/allotted under scheme during period:

Unapproved = 0; Approved = 0

7 Balance under scheme not yet issued/allotted at end of period

Unapproved = 1,626,602; Approved 261,179

8. Number and class of securities originally listed and the date of admission

250,000 Ordinary 4p shares, 18 July 2005
1,500,000 Ordinary 4p shares, 14 March 2006
2,200,000 Ordinary 4p shares, 28 April 2006

9. Total number of securities in issue at the end of the period

154,581,167 (of which 220,099 are treasury shares)

Name of contact Sarah Wigley, Company Secretary

Telephone number of contact 020 7459 3600