Source - RNS
RNS Number : 5665I
UBS AG (EPT)
31 August 2016
 

FORM 8.5 (EPT/RI)

 

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY

Rule 8.5 of the Takeover Code (the Code)

 

1.         KEY INFORMATION

 

(a) Name of exempt principal trader:

            UBS Investment Bank, London

(b) Name of offeror/offeree in relation to whose relevant securities this form relates:

     Use a separate form for each offeror/offeree

            ARM Holdings Plc

(c) Name of the party to the offer with which exempt principal trader is connected:

            ARM Holdings Plc offeree to SoftBank Group Corporation

(d) Date dealing undertaken:

            30 August 2016

(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer?

     If it is a cash offer or possible cash offer, state "N/A"

NO

 

2.         DEALINGS BY THE EXEMPT PRINCIPAL TRADER

 

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

 

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

 

(a)        Purchases and sales

 

Class of relevant security

Purchases/ sales

 

Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

0.05p ordinary

Buy

 

4542951

16.96500        GBP

16.87500        GBP

0.05p ordinary

Sell

 

1615245

16.97000        GBP

16.87500        GBP

 

(b)        Cash-settled derivative transactions

 

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

0.05p ordinary

CFD

 

Long

496127

16.97        GBP

0.05p ordinary

CFD

 

Long

50

16.88        GBP

0.05p ordinary

CFD

 

Short

135000

16.8984        GBP

0.05p ordinary

CFD

 

Short

377824

16.949661        GBP

0.05p ordinary

CFD

 

Short

520000

16.89289323        GBP

0.05p ordinary

CFD

 

Short

578

16.89352941        GBP

0.05p ordinary

CFD

 

Short

21196

16.88        GBP

0.05p ordinary

CFD

 

Short

200000

16.908341        GBP

0.05p ordinary

CFD

 

Short

20050

16.89        GBP

0.05p ordinary

CFD

 

Short

3008

16.89239        GBP

0.05p ordinary

CFD

 

Short

10000

16.89228107        GBP

0.05p ordinary

CFD

 

Short

10000

16.89211125        GBP

0.05p ordinary

CFD

 

Short

769970

16.8861        GBP

0.05p ordinary

CFD

 

Short

500000

16.8884        GBP

0.05p ordinary

CFD

 

Short

750000

16.945        GBP

0.05p ordinary

CFD

 

Short

3632

16.92047357        GBP

0.05p ordinary

CFD

 

Short

716

16.895        GBP

0.05p ordinary

CFD

 

Short

1198

16.96        GBP

 

(c)        Stock-settled derivative transactions (including options)

 

(i)         Writing, selling, purchasing or varying

 

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit









 

(ii)        Exercise

 

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit





 

 

 

(d)        Other dealings (including subscribing for new securities)

 

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)


 

 



 

 

3.         OTHER INFORMATION

 

(a)        Indemnity and other dealing arrangements

 

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader 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, state "none "

 

None

 

 

(b)        Agreements, arrangements or understandings relating to options or derivatives

 

Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to:

(i)  the voting rights of any relevant securities under any option; or

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

If there are no such agreements, arrangements or understandings, state "none"

 

None

 

 

Date of disclosure:

31 August 2016

Contact name:

Tahmidul Haque

Telephone number:

+44 (0)20 7568 1245

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]

 

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.

 

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


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