UBS AG (EPT) Form 8.5 (EPT/RI) (5843I)
June 02 2014 - 4:25AM
UK Regulatory
TIDMDXNS
RNS Number : 5843I
UBS AG (EPT)
02 June 2014
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
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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 dealing undertaken: 30 May 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. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant Purchases/ sales Total number of Highest price per Lowest price per unit
security securities unit paid/received paid/received
------------------------ ------------------ ----------------------- ---------------------- -----------------------
0.599379
2.5p ordinary Buy 5353 0.64125 EUR EUR
------------------------ ------------------ ----------------------- ---------------------- -----------------------
2.5p ordinary Buy 7347921 0.4879 0.48000 GBP
GBP
------------------------ ------------------ ----------------------- ---------------------- -----------------------
0.64125 0.599379
2.5p ordinary Sell 5353 EUR EUR
------------------------ ------------------ ----------------------- ---------------------- -----------------------
2.5p ordinary Sell 8782098 0.48800 0.48000 GBP
GBP
------------------------ ------------------ ----------------------- ---------------------- -----------------------
2.5p ordinary Sell 123842 0.812957 0.812957
USD USD
------------------------ ------------------ ----------------------- ---------------------- -----------------------
(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
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Long 1600000 0.4803 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Long 123842 0.812957 USD
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Long 37154 0.4842 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Long 36790 0.484941 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Long 88345 0.485 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Short 20398 0.4838 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Short 12493 0.485146 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Short 26646 0.483322 GBP
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2.5p ordinary CFD Short 454906 0.48415823 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
2.5p ordinary CFD Short 66768 0.4848 GBP
------------------------- -------------------- ------------------------- ------------------------- ---------------
(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 2(a), (b), (c) or (d) (as appropriate) for each additional
class of relevant security dealt in.
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:
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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Date of disclosure: 02 June 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
END
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