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23 May 2014 11:12
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FORM 8.5 (EPT/RI)
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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)
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1. KEY INFORMATION
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(a) Name of exempt principal trader: | UBS Investment Bank, London |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Dixons Retail Plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Carphone Warehouse Grp Plc |
(d) Date dealing undertaken: | 22 May 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 Carphone Warehouse Grp Plc |
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2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
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(a) Purchases and sales
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Class of relevant security | Purchases/ sales Β | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
2.5p ordinary | Buy Β | 2759537 | 0.4666 GBP | 0.4600 GBP |
2.5p ordinary | Buy Β | 547 | 0.7254546 EUR | 0.5871429 EUR |
2.5p ordinary | Sell Β | 4210446 | 0.4665 GBP | 0.4601 GBP |
2.5p ordinary | Sell Β | 547 | 0.7254546 EUR | 0.5871429 EUR |
2.5p ordinary | Sell Β | 13606 | 0.7828788 USD | 0.7828788 USD |
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(b) Derivatives transactions (other than options)
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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 |
2.5p ordinary | CFD Β | Long | 177903 | 0.464061 GBP |
2.5p ordinary | CFD Β | Long | 13606 | 0.78287878 USD |
2.5p ordinary | CFD Β | Long | 145740 | 0.463906 GBP |
2.5p ordinary | CFD Β | Long | 568195 | 0.46401214 GBP |
2.5p ordinary | CFD Β | Long | 1997000 | 0.4633 GBP |
2.5p ordinary | CFD Β | Short | 265 | 0.4644 GBP |
2.5p ordinary | CFD Β | Short | 258080 | 0.464307 GBP |
2.5p ordinary | CFD Β | Short | 1022387 | 0.464839 GBP |
2.5p ordinary | CFD Β | Short | 94452 | 0.4625 GBP |
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(c) Options transactions in respect of existing securities
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(i) Writing, selling, purchasing or varying
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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 |
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(ii) Exercising
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Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
Β Β |
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(d) Other dealings (including subscribing for new securities)
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Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
Β Β |
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The currency of all prices and other monetary amounts should be stated.
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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.
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3. OTHER INFORMATION
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(a) Indemnity and other dealing arrangements
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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 " |
Β None Β |
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(b) Agreements, arrangements or understandings relating to options or derivatives
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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" |
Β None |
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| Date of disclosure: | 23 May 2014 |
| Contact name: | Gemma Crewdson |
| Telephone number: | +44 (0)20 7568 1245 |
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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.
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The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
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