UBS AG (EPT) Form 8.5 (EPT/RI) - Kaz Minerals Plc (1553V)
April 12 2021 - 5:22AM
UK Regulatory
TIDMKAZ
RNS Number : 1553V
UBS AG (EPT)
12 April 2021
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 Kaz Minerals plc
relates:
Use a separate form for each offeror/offeree
-----------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: Kaz Minerals plc
-----------------------------
(d) Date dealing undertaken: 09 April 2021
-----------------------------
(e) In addition to the company in 1(b) above, is the exempt principal trader making NO:
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
20p ordinary Buy 333959 8.68800 GBP 8.62430 GBP
----------------- ------------------------ ----------------------- -----------------------
20p ordinary Sell 822259 8.68800 GBP 8.62045 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
20p ordinary CFD Long 106705 8.620452 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 3 8.633333 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 1 8.65 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 5036 8.678407 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 3783 8.686577 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 484 8.658959 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 309 8.636 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 25000 8.6263648 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 14000 8.64290571428571 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 3099 8.688 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 2560 8.635426 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 2140 8.66576635514019 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 394 8.687034 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 8958 8.687179 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 12695 8.659433 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 1646 8.673551 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 2978 8.67104942108798 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 9389 8.65774515486207 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 9408 8.636026 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 519 8.685834 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 32 8.676 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 586043 8.6278635 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 4211 8.654 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Long 74 8.638 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 563 8.635229 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 7009 8.682862 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 3695 8.639057 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 10036 8.656028 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 17130 8.63873 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 1265 8.642433 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 4160 8.688 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 140085 8.652555 GBP
-------------------- ----------------------- ----------------------- ---------------------
20p ordinary CFD Short 127224 8.624304 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
(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: 12 April 2021
Contact name: Richard Howard
--------------------
Telephone number: +44 (0)207 568 9128
--------------------
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 .
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