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Form 8.5 (EPT/NON-RI) - CARPHONE WAREHOUSE GROUP PLC

1 Aug 2014 12:01

FORM 8.5 (EPT/NON-RI)

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 CARPHONE WAREHOUSE GROUP PLC
relevant securities this form relates:
(c) Name of the party to the offer with which exempt DIXONS RETAIL PLC
principal trader is connected
(d) Date position held/dealing undertaken: 31 July 2014
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect DIXONS RETAIL PLC
of any other party to this offer?

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: 2,180,620 0.38% 478,017 0.08%
(2) Derivatives (other than
options): 273,619 0.05% 1,998,988 0.35%
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
(4)
TOTAL: 2,454,239 0.43% 2,477,005 0.43%

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
ORD Purchase 289 3.3470 GBP
ORD Purchase 349 3.3800 GBP
ORD Purchase 3,046 3.3250 GBP
ORD Purchase 19,053 3.3323 GBP
ORD Purchase 47,756 3.3219 GBP
ORD Sale 997 3.2997 GBP
ORD Sale 11,305 3.3435 GBP
ORD Sale 12,395 3.3468 GBP
ORD Sale 29,661 3.3110 GBP
ORD Sale 32,134 3.3227 GBP
ORD Sale 53,934 3.3181 GBP

(b) Derivatives transactions (other than options)

Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD CFD Long 7,785 3.3046 GBP
ORD SWAP Long 22,444 3.2952 GBP
ORD SWAP Long 23,700 3.3449 GBP
ORD CFD Long 42,800 3.3214 GBP
ORD SWAP Long 43,697 3.3267 GBP
ORD CFD Short 999 3.3413 GBP
ORD SWAP Short 1,129 3.3203 GBP
ORD CFD Short 2,283 3.3391 GBP
ORD CFD Short 19,716 3.3212 GBP
ORD SWAP Short 46,077 3.3261 GBP

(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: 1 Aug 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

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