Last checked at 27 Jun 2014 16:59
FORM 8.5 (EPT/NON-RI) AMENDMENT
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: | BARCLAYS CAPITAL SECURITIES LTD | |
| (b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | DIALOG SEMICONDUCTOR PLC
| |
| (c) Name of the party to the offer with which exempt principal trader is connected: | DIALOG SEMICONDUCTOR PLC | |
| (d) Date position held/dealing undertaken: | 26 June 2014 | |
| (e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | YES: AMS AG
|
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: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 421,884 | 0.59% | 31,078 | 0.04% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 30,997 | 0.04% | 373,222 | 0.53% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | TOTAL: | ||||||||||
| 452,881 | 0.64% | 404,300 | 0.57% | ||||||||
| Convertible Bond | |||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 0 | 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% | |||||||
| (4) | TOTAL: | ||||||||||
| 0 | 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 | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| Convertible Bond | Sale | 1,000,000 | 130.0000 USD | ||||
| ORD | Purchase | 35 | 25.3057 EUR | ||||
| ORD | Purchase | 229 | 25.8417 EUR | ||||
| ORD | Purchase | 336 | 24.5301 EUR | ||||
| ORD | Purchase | 1,199 | 25.2257 EUR | ||||
| ORD | Purchase | 2,091 | 25.7167 EUR | ||||
| ORD | Purchase | 2,234 | 25.6710 EUR | ||||
| ORD | Purchase | 3,329 | 25.3886 EUR | ||||
| ORD | Purchase | 3,832 | 25.9357 EUR | ||||
| ORD | Purchase | 4,701 | 25.3213 EUR | ||||
| ORD | Purchase | 11,568 | 25.3131 EUR | ||||
| ORD | Purchase | 16,253 | 25.6384 EUR | ||||
| ORD | Purchase | 23,670 | 24.0836 EUR | ||||
| ORD | Purchase | 57,443 | 25.3052 EUR | ||||
| ORD | Sale | 148 | 26.1100 EUR | ||||
| ORD | Sale | 222 | 26.1400 EUR | ||||
| ORD | Sale | 250 | 25.4415 EUR | ||||
| ORD | Sale | 504 | 26.0100 EUR | ||||
| ORD | Sale | 826 | 26.1350 EUR | ||||
| ORD | Sale | 1,886 | 25.7692 EUR | ||||
| ORD | Sale | 2,405 | 26.1679 EUR | ||||
| ORD | Sale | 2,859 | 25.6438 EUR | ||||
| ORD | Sale | 2,998 | 25.0985 EUR | ||||
| ORD | Sale | 4,222 | 25.5042 EUR | ||||
| ORD | Sale | 4,320 | 25.3886 EUR | ||||
| ORD | Sale | 4,738 | 26.0000 EUR | ||||
| ORD | Sale | 4,895 | 25.6877 EUR | ||||
| ORD | Sale | 6,528 | 24.9119 EUR | ||||
| ORD | Sale | 9,991 | 25.1698 EUR | ||||
| ORD | Sale | 18,898 | 25.2669 EUR | ||||
| ORD | Sale | 80,626 | 25.0307 EUR |
(b) Derivatives transactions (other than options)
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 1 | 25.0000 EUR | |||||
| ORD | SWAP | Long | 2 | 24.9900 EUR | |||||
| ORD | SWAP | Long | 4 | 24.9925 EUR | |||||
| ORD | SWAP | Long | 200 | 25.9950 EUR | |||||
| ORD | CFD | Long | 1,138 | 25.9918 EUR | |||||
| ORD | CFD | Long | 6,528 | 24.9119 EUR | |||||
| ORD | SWAP | Long | 11,390 | 24.5300 EUR | |||||
| ORD | SWAP | Long | 26,783 | 25.3200 EUR | |||||
| ORD | CFD | Long | 59,620 | 24.9140 EUR | |||||
| ORD | SWAP | Short | 35 | 25.3057 EUR | |||||
| ORD | SWAP | Short | 200 | 25.7100 EUR | |||||
| ORD | CFD | Short | 336 | 24.5301 EUR | |||||
| ORD | CFD | Short | 874 | 25.3201 EUR | |||||
| ORD | CFD | Short | 5,741 | 25.6078 EUR | |||||
| ORD | SWAP | Short | 25,196 | 25.3621 EUR | |||||
| ORD | SWAP | Short | 41,909 | 25.2280 EUR |
(c) Options transactions in respect of existing securities
(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 |
(ii) Exercising
| Class of relevant security | Product description e.g. call option | 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) |
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” |
| 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 |
(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 27 Jun 2014 | ||
| Contact name: | Rajesh Muthanna | ||
| Telephone number: | 020 3555 4634 |
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.
Copyright Business Wire 2014