Last checked at 31 Jul 2019 10:27
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: | J.P. Morgan Securities Plc |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Aston Martin Lagonda Global Holdings plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Corporate Broker to Aston Martin Lagonda Global Holdings plc |
(d) Date dealing undertaken: | 30 July 2019 |
(e) In addition to the company in 1(b) above, is the 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" | 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 security | Purchases/ sales
| Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
Ordinary Share | Purchase
Sale | 261,221
176,448 | 5.9291 GBP
5.9040 GBP | 5.5386 GBP
5.5420 GBP |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
Ordinary Share | Equity Swap | Long
Short
| 1,946 1,472 1,375 1,099 701 2,380 37,471 4,745 4,415 482 2,895 200 500 16,235 9,031 651 779 24,794 1,680 566 44 1,623 5
2,651 3,860 10,161 500 23,175 3,071 2,010 4,446 75,000 956 2,885 1,092 69,912 | 5.6166 GBP 5.6354 GBP 5.6440 GBP 5.6530 GBP 5.6536 GBP 5.6562 GBP 5.6800 GBP 5.6809 GBP 5.6868 GBP 5.6880 GBP 5.6936 GBP 5.7112 GBP 5.7418 GBP 5.7543 GBP 5.7606 GBP 5.7635 GBP 5.7839 GBP 5.8075 GBP 5.8478 GBP 5.8564 GBP 5.8662 GBP 5.8789 GBP 5.9038 GBP
5.5525 GBP 5.5650 GBP 5.6522 GBP 5.6659 GBP 5.6800 GBP 5.6803 GBP 5.6839 GBP 5.6977 GBP 5.7296 GBP 5.7601 GBP 5.8214 GBP 5.8301 GBP 5.8935 GBP |
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
Ordinary Share |
(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
|
(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
|
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: | 31 July 2019 |
| Contact name: | Alwyn Basch |
| Telephone number: | 020 7742 7407 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
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.