21 Dec 2015 10:13
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: | UBS Asset Management * |
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. | |
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Royal Dutch Shell PLC |
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree: | |
(e) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure | 18th December 2015 |
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state "N/A" | Yes BG Group Plc |
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
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(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
(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:
| EUR 0.07 A ordinary | |||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 31,485,507 | 0.80 | 0 | 0.00 |
(2) Cash-settled derivatives:
| 73,149 | 0.00 | 0 | 0.00 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 344,796 | 0.00 | 0 | 0.00 |
TOTAL: | 31,903,452 | 0.80
| 0 | 0.00 |
Class of relevant security:
| EUR 0.07 B ordinary | |||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 30,382,449 | 1.24 | 0 | 0.00 |
(2) Cash-settled derivatives:
| 0 | 0.00 | 0 | 0.00 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00 | 0 | 0.00 |
TOTAL: | 30,382,449 | 1.24 | 0 | 0.00 |
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), 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 employee options)
Class of relevant security in relation to which subscription right exists: | |
Details, including nature of the rights concerned and relevant percentages: |
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(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 | Purchase/sale
| Number of securities | Price per unit |
EUR 0.07 A ordinary
| PURCHASE | 43,310 | 14.635000 GBP
|
EUR 0.07 A ordinary
| SALE | 168 | 14.550000 GBP
|
EUR 0.07 A ordinary
| SALE | 714 | 14.635000 GBP
|
EUR 0.07 B ordinary
| PURCHASE | 219 | 14.710000 GBP
|
EUR 0.07 B ordinary
| PURCHASE | 38,662 | 14.690000 GBP
|
EUR 0.07 B ordinary
| PURCHASE | 716,974 | 14.681956 GBP
|
EUR 0.07 B ordinary
| SALE | 489 | 14.690000 GBP
|
| TOTAL PURCHASE | 799,165 |
|
| TOTAL SALE | 1,371 |
|
(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 |
(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 |
(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) |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 3,890 | 16.208622 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 23 | 16.208696 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 331 | 16.208610 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 257 | 16.208638 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 12,524 | 16.208649 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 203 | 16.208670 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 2,382 | 16.208627 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 122 | 16.208607 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 299 | 16.208629 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 19 | 16.208421 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 390 | 16.208641 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 277 | 16.208664 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 1,004 | 16.208655 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 2,754 | 16.208653 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 48 | 16.208750 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 10 | 16.209000 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 1,122 | 16.208654 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 171 | 16.208596 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 100 | 16.208600 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 237,938 | 16.208624 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 36 | 16.208611 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 62 | 16.208548 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 6 | 16.208333 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 26,450 | 16.208651 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 376,418 | 16.208650 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 150 | 16.208667 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 1,102 | 16.208630 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 2,654 | 16.208621 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 212 | 16.208679 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 343 | 16.208659 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 478 | 16.208640 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 34 | 16.208529 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 3,405 | 16.208652 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 18,502 | 16.208700 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 196 | 16.208571 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 10,464 | 16.208625 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 782 | 16.208645 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 506 | 16.208636 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 1,121 | 16.208617 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 62 | 16.208710 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 129 | 16.208605 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 158 | 16.208608 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 863 | 16.208656 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 9,571 | 16.208648 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 258 | 16.208643 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 236 | 16.208644 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 33 | 16.208485 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 1,615 | 16.208619 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 6,557 | 16.208626 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 27 | 16.208519 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 47 | 16.208723 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 201 | 16.208657 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 1,227 | 16.208647 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 114 | 16.208684 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 179 | 16.208603 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 82 | 16.208537 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 136 | 16.208676 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 11,313 | 16.208623 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 231 | 16.208615 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 140 | 16.208714 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 54 | 16.208704 GBP |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 48 | 22.427083 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 12 | 22.426667 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 1,469 | 22.427059 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 12,953 | 22.427067 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 830 | 22.427060 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 29 | 22.426897 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 227 | 22.427048 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 169,967 | 22.427066 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 5,460 | 22.427064 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 345 | 22.427072 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 352 | 22.427074 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 81 | 22.427037 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 10,726 | 22.427065 EUR |
EUR 0.07 A ordinary
| CORPORATE ACTION (Div) | 3,857 | 22.427068 EUR |
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 person 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" |
|
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the person 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" |
|
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 21/12/2015 |
| Contact name: | Miss Kirsty Lahmar |
| Telephone number: | +44 20 7901 5887 |
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 disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
* this report is on behalf of:
UBS AG (UBS Asset Management operating in Switzerland)
UBS Asset Management (Americas) Inc.
UBS Asset Management (Australia) Ltd
UBS Asset Management (Hong Kong) Limited
UBS Asset Management (Singapore) Ltd
UBS Asset Management (Taiwan) Ltd
UBS Asset Management (UK) Ltd
UBS Asset Management France SA
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Full name of person making disclosure: | UBS Asset Management * |
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | Royal Dutch Shell Plc |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date |
EUR 0.07 A ordinary
| Exchangeable Bonds
| Purchased | 344796 | 23.779064 | - | 16-Nov-2018 |
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the interest or position can be fully understood: |
UBS Asset Management * have purchased 14,500,000 of Convertible Bond (XS1266674420). ConversionRatio:42.0538Conversion Price: 23.779064
|
It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be stated.
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.