TULLETT PREBON PLC (the "Company")
Annual Information Update for the 12 months up to and including 2 May 2007.
This Annual Information Update is required by and is being made pursuant to
Article 10 of the Prospectus Directive as implemented in the United Kingdom
(Prospectus Rule 5.2).
The information referred to below is not necessarily up to date as at the date
of this annual information update and the Company does not undertake any
obligation to update any such information in the future.
1. Tullett Prebon plc - Regulatory announcements
The following UK regulatory announcements have been made by the Company via a
Regulatory Information Service during the previous 12 months. Copies of these
announcements can be viewed at the London Stock Exchange's website at
www.londonstockexchange.com under the code "TLPR".
Date of Regulatory headline
publication
27/04/2007 Holding(s) in Company
24/04/2007 Holding(s) in Company
19/04/2007 Holding(s) in Company
18/04/2007 Confirmation of Approach to eSpeed Inc
18/04/2007 Annual Report and Accounts
30/03/2007 Holding(s) in Company
29/03/2007 Holding(s) in Company
28/03/2007 Holding(s) in Company
26/03/2007 Holding(s) in Company
23/03/2007 Holding(s) in Company
23/03/2007 Holding(s) in Company
22/03/2007 Holding(s) in Company
22/03/2007 Holding(s) in Company
22/03/2007 Holding(s) in Company
21/03/2007 Holding(s) in Company
21/03/2007 Holding(s) in Company
19/03/2007 Holding(s) in Company
19/03/2007 Holding(s) in Company
16/03/2007 Holding(s) in Company
15/03/2007 Holding(s) in Company
15/03/2007 Return of Capital of GBP301.5m to Shareholders
Effective
13/03/2007 Preliminary Results - year ended 31 December
2006
09/03/2007 Holding(s) in Company
06/03/2007 Holding(s) in Company
02/03/2007 Holding(s) in Company
26/02/2007 Holding(s) in Company
26/02/2007 Result of EGM
22/02/2007 Change of Name and Registered Office
21/02/2007 Holding(s) in Company
19/02/2007 Holding(s) in Company
13/02/2007 Notification of Preliminary Results for 2006
02/02/2007 Board Change
31/01/2007 GBP301.5 million Return of Capital
29/01/2007 Holding(s) in Company
29/01/2007 Holding(s) in Company
24/01/2007 Holding(s) in Company
18/01/2007 Holding(s) in Company
17/01/2007 Company Secretary Change
17/01/2007 Director/PDMR Shareholding
16/01/2007 Total Voting Rights
12/01/2007 Holding(s) in Company
11/01/2007 Acquisition(s)
10/01/2007 Holding(s) in Company
10/01/2007 Holding(s) in Company
08/01/2007 Holding(s) in Company
08/01/2007 Holding(s) in Company
08/01/2007 Holding(s) in Company
05/01/2007 Directorate Change
03/01/2007 Holding(s) in Company
03/01/2007 Holding(s) in Company
02/01/2007 Holding(s) in Company
02/01/2007 Holding(s) in Company
29/12/2006 Total Voting Rights
27/12/2006 Holding(s) in Company
21/12/2006 Holding(s) in Company
21/12/2006 Holding(s) in Company
19/12/2006 Statement re Admission
2. Tullett Prebon plc - Documents filed with the Registrar of Companies
The following documents have been filed by the Company with the Registrar of
Companies during the previous 12 months. Copies of these documents may be
obtained from Companies House (e-mail: enquiries@companies-house.gov.uk) at:
Companies House
Crown Way
Cardiff
CF14 3UZ
Or, if you are a registered user, through Companies House Direct at
www.direct.companieshouse.gov.uk.
Date Type Description
15/03/2007 CERT15 REDUCTION OF ISSUED CAPITAL
15/03/2007 OC138 REDUCTION OF ISS CAPITAL AND MINUTE (OC)
15/03/2007 RES06 DISAPP PRE-EMPT RIGHTS 26/02/07;
AUTH ALLOT OF SECURITY 26/02/07 ;
REDUCE ISSUED CAPITAL 26/02/07
13/03/2007 RES10 SHAR VAL FROM 325 TO 25 26/02/07;
DISAPP PRE-EMPT RIGHTS 26/02/07 ;
AUTH ALLOT OF SECURITY 26/02/07
05/03/2007 MEM/ARTS MEMORANDUM OF ASSOCIATION
ARTICLES OF ASSOCIATION
21/02/2007 288b DIRECTOR RESIGNED
07/02/2007 88(2)O AD 19/12/06---------
£ SI 212338139@7
07/02/2007 123 NC INC ALREADY ADJUSTED
13/12/2006
07/02/2007 RES04 DISAPP PRE-EMPT RIGHTS 13/12/06;
AUTH ALLOT OF SECURITY 13/12/06 ;
NC INC ALREADY ADJUSTED 13/12/06
07/02/2007 122 NC DEC ALREADY ADJUSTED
16/01/2007
18/01/2007 288b SECRETARY RESIGNED
18/01/2007 288a SECRETARY APPOINTED
23/01/2007 88(2)R AD 13/12/06---------
£ SI 1398@.01=13
£ IC 690148960/690148973
23/01/2007 122 CONSO
12/01/2007
23/01/2007 RES09 CONSOLODATION 13/12/06;
DISAPP PRE-EMPT RIGHTS 13/12/06 ;
MAX 21233813 - 105%
16/01/2007 288a DIRECTOR APPOINTED
08/01/2007 288a DIRECTOR APPOINTED
08/01/2007 288a DIRECTOR APPOINTED
08/01/2007 288a DIRECTOR APPOINTED
08/01/2007 288a DIRECTOR APPOINTED
08/01/2007 288a DIRECTOR APPOINTED
08/01/2007 288a DIRECTOR APPOINTED
19/12/2006 CERT15 REDUCTION OF ISSUED CAPITAL
19/12/2006 OC138 REDUCTION OF ISS CAPITAL AND MINUTE (OC)
19/12/2006 RES05 MISC 23/11/06;
REDUCE ISSUED CAPITAL 23/11/06;
NC DEC ALREADY ADJUSTED 23/11/06
20/12/2006 RES04 DISAPP PRE-EMPT RIGHTS 23/06/06;
AUTH ALLOT OF SECURITY 23/06/06;
NC INC ALREADY ADJUSTED 23/06/06
15/12/2006 CERTNM COMPANY NAME CHANGED
NEW CST PLC
CERTIFICATE ISSUED ON 15/12/06;
RESOLUTION PASSED ON 23/06/06
09/12/2006 RES06 REDUCE ISSUED CAPITAL 23/11/06
29/11/2006 288b DIRECTOR RESIGNED;SECRETARY RESIGNED
29/11/2006 288a DIRECTOR APPOINTED
29/11/2006 288a SECRETARY APPOINTED
13/07/2006 288a DIRECTOR APPOINTED
12/07/2006 88(2)R AD 23/06/06---------
£ SI 50002@1=50002
£ IC 1/50003
04/07/2006 MEM/ARTS MEMORANDUM OF ASSOCIATION
04/07/2006 123 NC INC ALREADY ADJUSTED
23/06/2006
04/07/2006 RES01 RE SCHEME OF ARRANGEMEN 23/06/06;
DISAPP PRE-EMPT RIGHTS 23/06/06;
AUTH ALLOT OF SECURITY 23/06/06;
ADOPT ARTICLES 23/06/06
29/06/2006 288a DIRECTOR APPOINTED
29/06/2006 288a DIRECTOR APPOINTED;SECRETARY APPOINTED
29/06/2006 288b DIRECTOR RESIGNED
29/06/2006 288b DIRECTOR RESIGNED;SECRETARY RESIGNED
26/06/2006 CERT8 AUTHORISATION TO COMMENCE BUSINESS AND BORROW
26/06/2006 117 APPLICATION COMMENCE BUSINESS
27/06/2006 225 ACC. REF. DATE SHORTENED FROM 31/05/07 TO 31/12/06
27/06/2006 287 REGISTERED OFFICE CHANGED ON 27/06/06 FROM:
9 CHEAPSIDE
LONDON
EC2V 6AD
05/05/2006 NEWINC INCORPORATION DOCUMENTS
CERTIFICATE OF INCORPORATION
STATEMENT OF DIRECTORS & REGISTERED OFFICE
DECLARATION OF COMPLIANCE
MEMORANDUM OF ASSOCIATION
ARTICLES OF ASSOCIATION
3. Tullett Prebon plc - Documents filed with the Financial Services Authority
The following document has been filed by the Company with the Financial
Services Authority during the previous 12 months. This document may be
viewed at:
Document Viewing Facility
Financial Services Authority
25 The North Colonnade
Canary Wharf
London
E14 5HS
Copies of this document are also available on request from the Company's
Registered Office at Cable House, 54-62 New Broad Street, London EC2M 1ST.
Date Description
18/04/2007 Annual Report and Accounts for the year ended 31 December 2006
4. Collins Stewart Tullett plc - Regulatory announcements
Prior to delisting on 15 December 2006, Collins Stewart Tullett plc
(subsequently renamed Tullett Prebon Group Holdings plc) was the ultimate
parent company of the Tullett Prebon Group. Tullett Prebon plc assumed that
position with effect from 19 December 2006.
The following UK regulatory announcements were made by Collins Stewart Tullett
plc via a Regulatory Information Service during the previous 12 months.
Date of Regulatory Headline
publication
15/12/2006 Holding(s) in Company
15/12/2006 Scheme of Arrangement
15/12/2006 Miscellaneous
05/12/2006 Holding(s) in Company
04/12/2006 Holding(s) in Company
30/11/2006 Holding(s) in Company
27/11/2006 Holding(s) in Company
23/11/2006 Result of Meeting
20/11/2006 Holding(s) in Company
20/11/2006 Holding(s) in Company
13/11/2006 Directorate Change
10/11/2006 Market Maker Holding
06/11/2006 Holding(s) in Company
31/10/2006 Posting of demerger documents
27/10/2006 Acquisition(s)
27/10/2006 Acquisition(s)
23/10/2006 Holding(s) in Company
11/10/2006 Statement re Press Comment
10/10/2006 Directorate Change
06/10/2006 Holding(s) in Company
05/10/2006 Holding(s) in Company
02/10/2006 Holding(s) in Company
28/09/2006 Holding(s) in Company
22/09/2006 Holding(s) in Company
18/09/2006 Interim Results
12/09/2006 Holding(s) in Company
01/09/2006 Holding(s) in Company
30/08/2006 Notice of Results
23/08/2006 Holding(s) in Company
12/08/2006 Holding(s) in Company
10/08/2006 Holding(s) in Company
18/07/2006 Holding(s) in Company
30/06/2006 Blocklisting - Interim Review
23/06/2006 Holding(s) in Company
21/06/2006 Holding(s) in Company
19/06/2006 Holding(s) in Company
14/06/2006 Holding(s) in Company
08/06/2006 Result of AGM
08/06/2006 AGM Statement
01/06/2006 Holding(s) in Company
19/05/2006 Director/PDMR Shareholding
11/05/2006 Director/PDMR Shareholding
11/05/2006 Director/PDMR Shareholding
08/05/2006 Holding(s) in Company
5. Collins Stewart Tullett plc - Documents filed with the Registrar of
Companies
The following documents have been filed by Collins Stewart Tullett plc with the
Registrar of Companies during the previous 12 months. Copies of these
documents may be obtained from Companies House (e-mail:
enquiries@companies-house.gov.uk) at:
Companies House
Crown Way
Cardiff
CF14 3UZ
Or, if you are a registered user, through Companies House Direct at
www.direct.companieshouse.gov.uk.
Date Type Description
01/03/2007 287 REGISTERED OFFICE CHANGED ON 01/03/07 FROM:
9TH FLOOR
88 WOOD STREET
LONDON
EC2V 7QR
21/02/2007 CERTNM COMPANY NAME CHANGED
COLLINS STEWART TULLETT PLC
CERTIFICATE ISSUED ON 21/02/07;
RESOLUTION PASSED ON 09/02/07
12/02/2007 288a SECRETARY APPOINTED
07/02/2007 363a RETURN MADE UP TO 11/01/07; FULL LIST OF
MEMBERS
07/02/2007 353 LOCATION OF REGISTER OF MEMBERS
10/01/2007 RES13 SCHEME OF ARRANGEMENT 23/11/06
20/12/2006 88(2)R AD 05/12/06---------
£ SI 1@.25
£ IC 1/1
15/12/2006 CERT15 REDUCTION OF ISSUED CAPITAL
15/12/2006 OC SCHEME OF ARRANGEMENT
15/12/2006 OC138 REDUCTION OF ISS CAPITAL AND MINUTE (OC)
£ IC 53084534/ 1
15/12/2006 RES04 SCHEME OF ARRANGEMENT 23/11/06;
AUTH ALLOT OF SECURITY 23/11/06 ;
REDUCE ISSUED CAPITAL 23/11/06 ;
NC INC ALREADY ADJUSTED 23/11/06
09/12/2006 MEM/ARTS ARTICLES OF ASSOCIATION
29/11/2006 288b DIRECTOR RESIGNED
20/10/2006 288a DIRECTOR APPOINTED
15/06/2006 AA GROUP OF COMPANIES' ACCOUNTS MADE UP TO 31/12/05
15/06/2006 RES09 APPTS,RESIGNS,ACCS APPV 08/06/06;
DISAPP PRE-EMPT RIGHTS 08/06/06;
AUTH ALLOT OF SECURITY 08/06/06 ;
212338139 SHARES AT 25P 08/06/06
15/06/2006 RES09 212338139 SHARES AT 25P 08/06/06
6. Collins Stewart Tullett plc - Documents filed with the Financial Services
Authority
The following documents have been filed by Collins Stewart Tullett plc with the
Financial Services Authority during the previous 12 months. These documents
may be viewed at:
Document Viewing Facility
Financial Services Authority
25 The North Colonnade
Canary Wharf
London
E14 5HS
Copies of these documents are also available on request from the Company's
Registered Office at Cable House, 54-62 New Broad Street, London EC2M 1ST.
Date Description
08/05/2006 Annual Report and Accounts for the year ended 31
December 2005
09/06/2006 Copy of resolutions passed on 8 June 2006
02/11/2006 Circular of proposed acquisition and notice of EGM
7. Further information
A copy of this Annual Information Update is available on request from the
Company's registered office:
Cable House
54-62 New Broad Street
London
EC2M 1ST
For further information please contact Alistair Peel at Cable House, 54-62 New
Broad Street, London, EC2M 1ST or at a.peel@tullettprebon.com.
2 May 2007
*A Private Investor is a recipient of the information who meets all of the conditions set out below, the recipient:
Obtains access to the information in a personal capacity;
Is not required to be regulated or supervised by a body concerned with the regulation or supervision of investment or financial services;
Is not currently registered or qualified as a professional securities trader or investment adviser with any national or state exchange, regulatory authority, professional association or recognised professional body;
Does not currently act in any capacity as an investment adviser, whether or not they have at some time been qualified to do so;
Uses the information solely in relation to the management of their personal funds and not as a trader to the public or for the investment of corporate funds;
Does not distribute, republish or otherwise provide any information or derived works to any third party in any manner or use or process information or derived works for any commercial purposes.
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