Last checked at 8 Aug 2019 10:04
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: | 7 August 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 (GBP) | Lowest price per unit paid/received (GBP) |
Ordinary Share | Purchase
Sale | 108,697
794,505 | 4.7490
4.7570 | 4.5280
4.5300 |
(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
| 11 15 1,884 10,708 2,668 3,975 1,839 30,676 25,047 14,271 225 41,249 11 10,909 25,908 161,944 22,629 2,040 1,578 2,324 13,745 6,221 1,713 1,274 117 329,725 2,514 59 4,597 2,127 901 162
338 3,035 3,496 11,066 16,751 3,900 1,464 | 4.5649 GBP 4.5719 GBP 4.5792 GBP 4.5820 GBP 4.5898 GBP 4.5995 GBP 4.6072 GBP 4.6114 GBP 4.6132 GBP 4.6134 GBP 4.6135 GBP 4.6174 GBP 4.6184 GBP 4.6199 GBP 4.6217 GBP 4.6226 GBP 4.6282 GBP 4.6284 GBP 4.6336 GBP 4.6338 GBP 4.6340 GBP 4.6348 GBP 4.6397 GBP 4.6437 GBP 4.6459 GBP 4.6489 GBP 4.6492 GBP 4.6532 GBP 4.6556 GBP 4.6621 GBP 4.6649 GBP 4.7490 GBP
4.5490 GBP 4.5721 GBP 4.6128 GBP 4.6281 GBP 4.6340 GBP 4.6344 GBP 4.6419 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: | 8 August 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.