Goldman Sachs & Co. Form 8.5 (EPT/NON-RI) (9921E)
July 22 2016 - 5:19AM
UK Regulatory
TIDMARM
RNS Number : 9921E
Goldman Sachs & Co.
22 July 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 (GS) GOLDMAN, SACHS
trader: & CO.
-------------------------------- --------------------
(b) Name of offeror/offeree ARM HOLDINGS PLC
in relation to whose relevant
securities this form relates:
Use a separate form for
each offeror/offeree
-------------------------------- --------------------
(c) Name of the party to ARM HOLDINGS PLC
the offer with which exempt
principal trader is connected:
-------------------------------- --------------------
(d) Date position held/dealing 21 July 2016
undertaken:
For an opening position
disclosure, state the latest
practicable date prior to
the disclosure
-------------------------------- --------------------
(e) In addition to the company N/A
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"
-------------------------------- --------------------
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 0.05p ordinary and ADRs
security:
--------------------------- -----------------------------------
Interests Short positions
--------------- ------------------
Number % Number %
--------------------------- -------- ----- ---------- ------
(1) Relevant securities
owned and/or controlled: 504,543 0.03 802,830 0.05
--------------------------- -------- ----- ---------- ------
(2) Cash-settled
derivatives: 168,114 0.01 12,807 0.00
--------------------------- -------- ----- ---------- ------
(3) Stock-settled
derivatives (including
options) and agreements
to purchase/sell: 0 0.00 0 0.00
--------------------------- -------- ----- ---------- ------
TOTAL: 672,657 0.05 815,637 0.06
--------------------------- -------- ----- ---------- ------
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 Purchases/ Total number Highest Lowest
relevant sales of securities price per price per
security unit paid/received unit paid/received
------------ ----------- --------------- -------------------- --------------------
ADR / (1.00 Purchases 4,269 (12,807) 66.1600 66.1600
: 3.00) USD USD
------------ ----------- --------------- -------------------- --------------------
ADR / (1.00 Sales 432 (1,296) 66.1900 66.1600
: 3.00) USD USD
------------ ----------- --------------- -------------------- --------------------
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number Price
relevant description e.g. opening/closing of reference per unit
security e.g. CFD a long/short securities
position, increasing/reducing
a long/short
position
------------ ------------- ------------------------------- -------------- ----------
ADR / (1.00 CFD / Opening a short 4,269 66.1600
: 3.00) (1.00 position (12,807) USD
: 3.00)
------------ ------------- ------------------------------- -------------- ----------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of securities price e.g. date money
relevant e.g. selling, to which per American, paid/
security call varying etc. option unit European received
option relates etc. per
unit
---------- ------------- -------------- --------------- --------- ----------- ------- ----------
(ii) Exercise
Class of Product Exercising Number Exercise
relevant description / exercised of securities price per
security e.g. call against unit
option
---------- ------------- ------------- --------------- -----------
(d) Other dealings (including subscribing for new securities)
Class of Nature of dealing Details Price per
relevant e.g. subscription, unit (if
security conversion 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) NO
attached?
------------------------------------------ ---
Date of disclosure: 22 July 2016
--------------------- -------------------------
Contact name: Joanna Foley and Lindsay
Matcham
--------------------- -------------------------
+44(20) 7051 9996 /
Telephone number: +44(20) 7774 4316
--------------------- -------------------------
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 monitoring@disclosure.org.uk. 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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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