Source - RNS
RNS Number : 5912M
UBS AG (EPT)
14 October 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

            Deutsche Boerse AG

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

LSE Group Plc offeree to Deutsche Boerse AG

(d) Date dealing undertaken:

            13 October 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"

YES

LSE Group Plc

 

 

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

Ordinary

Buy

 

11741

68.57000        EUR

67.24500        EUR

Ordinary

Sell

 

6305

68.57000        EUR

67.24500        EUR

Tendered ordinary

Buy

 

27686

70.45000        EUR

69.27000        EUR

Tendered ordinary

Sell

 

34141

70.45000        EUR

69.27000        EUR

 

(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

Ordinary

CFD

 

Long

301

67.3947        EUR

Ordinary

CFD

 

Long

218

67.4354        EUR

Ordinary

CFD

 

Long

70

67.493571        EUR

Ordinary

CFD

 

Long

1598

67.69644556        EUR

Ordinary

CFD

 

Long

26

67.47 EUR

Ordinary

CFD

 

Long

100

67.42 EUR

Ordinary

CFD

 

Long

337

67.74 EUR

Tendered ordinary

CFD

 

Long

640

69.5367        EUR

Tendered ordinary

CFD

 

Long

2686

69.7187137        EUR

Tendered ordinary

CFD

 

Long

288

69.712951        EUR

Tendered ordinary

CFD

 

Long

423

70.05882979        EUR

Ordinary

CFD

 

Short

993

67.45907351        EUR

Ordinary

CFD

 

Short

600

67.542483        EUR

Ordinary

CFD

 

Short

490

67.2924        EUR

Ordinary

CFD

 

Short

340

67.526294        EUR

Ordinary

CFD

 

Short

4624

67.515331        EUR

Ordinary

CFD

 

Short

807

67.74 EUR

Ordinary

CFD

 

Short

232

68.1988        EUR

Tendered ordinary

CFD

 

Short

34

69.73647059        EUR

Tendered ordinary

CFD

 

Short

878

69.84369        EUR

Tendered ordinary

CFD

 

Short

240

69.62 EUR

Tendered ordinary

CFD

 

Short

12087

70.2117        EUR

 

(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:

14 October 2016

Contact name:

Tahmidul Islam

Telephone number:

+44 (0)20 7568 3970

 

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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