Source - RNS
RNS Number : 5762K
Deutsche Bank AG
22 September 2016
 

 FORM  8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

 

 

 

 

1.         KEY INFORMATION

 

(a) Name of exempt principal trader:

Deutsche Bank AG Frankfurt

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

     Use a separate form for each offeror/offeree

Deutsche Boerse AG

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

Deutsche Boerse AG

(d) Date position held/dealing undertaken:

     For an opening position disclosure, state the latest practicable date prior to the disclosure

21/09/2016

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

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

No

 

2.         POSITIONS OF THE EXEMPT PRINCIPAL TRADER

 

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

 

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

 


Class of relevant security: Ordinary

 

 

 

Interests

Short positions

Number

%

Number

%

(1 Relevant securities owned and/or controlled:

 259,016

0.14

0

0.00

(2)Cash-settled derivatives:

 

  0

0.00

     1,177

0.00

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

0

0.00

    29,615

0.02

 

     TOTAL:

  259,016

0.14

    30,792

0.02

 

All interests and all short positions should be disclosed.

 

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

 

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

 

Class of relevant security in relation to which subscription right exists:


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


 

 

3.             DEALINGS (IF ANY) 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 3(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

EURO

Lowest price per unit paid/received

EURO

Ordinary

Sale

      3,460

76.1

76

 

 

(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

EURO






 

 

(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

Euro

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

Euro









 

 

(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)


 

 



 

 

4.         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

 

(c)        Attachments

 

Is a Supplemental Form 8 (Open Positions) attached?

YES

 

 

Date of disclosure:
22/09/2016
Contact name:

Osamede Aigbe

Telephone number:

00 44 207 545 8515

 

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 disclosure requirements on +44 (0)20 7638 0129

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

 

 

 

 

 

 

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

 

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

 

 

1.         KEY INFORMATION

 

Full name of person making disclosure:

Deutsche Bank AG FFT

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

Deutche Boerse AG

 

2.         STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

 

 

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type

Expiry date

EURO

e.g. American, European etc.

Ordinary

Call Option

Written

100

62

European

20161118

Ordinary

Call Option

Written

1,815

71

European

20161215

Ordinary

Call Option

Written

535

60

European

20161215

Ordinary

Call Option

Written

118

65

European

20161215

Ordinary

Call Option

Written

1,540

68

European

20161118

Ordinary

Call Option

Written

780

60

European

20170615

Ordinary

Call Option

Written

55

78

European

20161215

Ordinary

Call Option

Written

150

70

European

20161215

Ordinary

Call Option

Written

1,050

75

European

20161215

Ordinary

Call Option

Written

230

68

European

20161215

Ordinary

Call Option

Written

100

58

European

20161215

Ordinary

Reverse Convertible Put Option

Written

154

65

European

20161215

Ordinary

Reverse Convertible Put Option

Written

43

70

European

20161118

Ordinary

Reverse Convertible Put Option

Written

308

65

European

20161021

Ordinary

Reverse Convertible Put Option

Written

139

72

European

20161215

Ordinary

Reverse Convertible Put Option

Written

43

70

European

20171117

Ordinary

Reverse Convertible Put Option

Written

2,286

70

European

20161215

Ordinary

Reverse Convertible Put Option

Written

138

65

European

20171117

Ordinary

Reverse Convertible Put Option

Written

7,966

58

European

20161215

Ordinary

Reverse Convertible Put Option

Written

774

75

European

20161215

Ordinary

Reverse Convertible Put Option

Written

357

70

European

20161118

Ordinary

Reverse Convertible Put Option

Written

125

80

European

20170615

Ordinary

Reverse Convertible Put Option

Written

308

65

European

20161118

Ordinary

Reverse Convertible Put Option

Written

44

68

European

20161215

Ordinary

Reverse Convertible Put Option

Written

264

72

European

20170615

Ordinary

Reverse Convertible Put Option

Written

29

70

European

20170615

Ordinary

Reverse Convertible Put Option

Written

65

62

European

20170316

Ordinary

Reverse Convertible Put Option

Written

69

72

European

20170316

Ordinary

Reverse Convertible Put Option

Written

32

62

European

20161215

Ordinary

Bonus Certificate

Written

10,000

85

European

20161215




29,615




 

 

 

 

 

 

 

 

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
FEOBLLFLQKFXBBB