UBS AG (EPT) Form 8.5 (EPT/NON-RI) (5458F)
April 25 2014 - 4:52AM
UK Regulatory
TIDMDXNS
RNS Number : 5458F
UBS AG (EPT)
25 April 2014
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: UBS AG London Branch
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(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Dixons Retail Plc
Use a separate form for each offeror/offeree
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(c) Name of the party to the offer with which exempt principal trader is connected: Carphone Warehouse Grp Plc
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(d) Date position held/dealing undertaken: 24 April 2014
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(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect Carphone Warehouse Grp Plc
of any other party to this offer?
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2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(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:
-------------------------------------------------- -----------------------------------
Interests Short positions
-------------------------------------------------- --------------- ------------------
Number % Number %
-------------------------------------------------- ------- ------ --------- -------
(1) Relevant securities owned and/or controlled: 35660 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
(2) Derivatives (other than options): 0 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
(3) Options and agreements to purchase/sell: 0 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
TOTAL: 35660 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, 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 executive options)
Class of relevant security in relation to which subscription right exists:
----------------------------------------------------------------------------
Details, including nature of the rights concerned and relevant percentages:
----------------------------------------------------------------------------
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.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 4391 0.44770 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 6637 0.44850 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 5000 0.44940 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 3455 0.44960 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 12841 0.45000 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 4937 0.45020 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 33 0.45030 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 4914 0.45080 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 10168 0.45090 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 33885 0.45100 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 5696 0.45140 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 2616 0.45260 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 3525 0.45300 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 9355 0.45410 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 7650 0.45530 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 1694 0.44780 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 2343 0.44860 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5079 0.44870 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5000 0.44950 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 2329 0.45000 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5000 0.45010 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 8806 0.45020 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5000 0.45030 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5612 0.45040 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5987 0.45070 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 10980 0.45100 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 4321 0.45110 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 11405 0.45120 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5696 0.45150 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 38404 0.45160 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5212 0.45220 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 2616 0.45270 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3648 0.45310 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5078 0.45540 GBP
---------------------------- --------------- --------------------- ---------------
TOTAL BUY : 115103
-------------------------------------------- --------------------- ---------------
TOTAL SALE : 134210
-------------------------------------------- --------------------- ---------------
(b) Derivatives transactions (other than options)
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
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Options transactions in respect of existing securities
(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) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
e.g. call option
--------------------------- -------------------- --------------------- ------------------------
(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
--------------------------- ------------------------------- -------- -------------------------------
The currency of all prices and other monetary amounts should be
stated.
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.
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:
If there are no such agreements, arrangements or understandings, state "none"
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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"
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None
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
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Date of disclosure: 25 April 2014
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Contact name: Gemma Crewdson
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Telephone number: +44 (0)20 7568 1245
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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
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