UBS AG (EPT) Form 8.5 (EPT/RI) (6857F)
July 29 2016 - 5:29AM
UK Regulatory
TIDMARM
RNS Number : 6857F
UBS AG (EPT)
29 July 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 ARM Holdings Plc
securities this form relates:
Use a separate form for each offeror/offeree
---------------------------------------------------------- ----------------------------------------------------------
(c) Name of the party to the offer with which exempt Connected Advisor to ARM Holdings Plc offeree
principal trader is connected: to SoftBank Group Corporation
---------------------------------------------------------- ----------------------------------------------------------
(d) Date dealing undertaken: 28 July 2016
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(e) In addition to the company in 1(b) above, is the NO
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"
---------------------------------------------------------- ----------------------------------------------------------
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 Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
----------------------- ----------------- ------------------------ ----------------------- -----------------------
0.05p ordinary Buy 2954513 16.77510 GBP 16.69000 GBP
----------------------- ----------------- ------------------------ ----------------------- -----------------------
0.05p ordinary Sell 623678 16.73500 GBP 16.69500 GBP
----------------------- ----------------- ------------------------ ----------------------- -----------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Long 1568 16.7 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Long 48388 16.7182691 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Long 322 16.70990683 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Long 1653 16.70319419 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Long 4533 16.70988529 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Long 1040 16.70988462 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 28000 16.7367 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 1140000 16.7334 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 399 16.75250627 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 446 16.69208625 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 5000 16.71611525 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 1158 16.7 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 1568 16.7547 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 70000 16.714555 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 50000 16.7751 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 452000 16.718820236 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 110000 16.7299 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
0.05p ordinary CFD Short 100000 16.72671 GBP
------------------------- -------------------- ------------------------ ------------------------ -----------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
------------- ------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
----------------------- -------------------- ----------------------- --------------------- -----------------------
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
--------------------------- ------------------------------- -------- -------------------------------
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
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(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
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Date of disclosure: 29 July 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 monitoring@disclosure.org.uk
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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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