UBS AG (EPT) Form 8.5 (EPT/NON-RI) (0847F)
17 April 2014 - 7:51PM
UK Regulatory
TIDMDXNS
RNS Number : 0847F
UBS AG (EPT)
17 April 2014
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: UBS AG London Branch
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Dixons Retail Plc
Use a separate form for each offeror/offeree
----------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: Carphone Warehouse Grp Plc
----------------------------
(d) Date position held/dealing undertaken: 16 April 2014
----------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect Carphone Warehouse Grp 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:
Interests Short positions
--------------- ------------------
Number % Number %
------- ------ --------- -------
(1) Relevant securities owned and/or controlled: 29411 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%
------- ------ --------- -------
TOTAL: 29411 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 security Purchase/sale Number of securities Price per unit
2.5p ordinary Buy 2980 0.44440 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 7020 0.44475 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 2936 0.44500 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 8511 0.44555 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 2653 0.44570 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 5206 0.44580 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 20393 0.44610 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 9365 0.44640 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 5198 0.44660 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 3755 0.44690 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 22021 0.44710 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 3550 0.44730 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 4375 0.44790 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 8090 0.44930 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 2721 0.44935 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 5023 0.44965 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 5722 0.44970 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 2721 0.44975 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 13617 0.44980 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 18195 0.45010 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 2763 0.45015 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 11006 0.45020 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 2705 0.45075 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 9874 0.45080 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 2830 0.45095 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 16591 0.45200 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 17433 0.45300 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 6656 0.45380 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 23125 0.45400 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 6200 0.45450 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 3831 0.45680 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 9426 0.45800 GBP
--------------- --------------------- ---------------
2.5p ordinary Buy 17007 0.45850 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 2962 0.44450 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 42281 0.44660 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 8559 0.44670 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 935 0.44720 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 4005 0.44730 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 3550 0.44740 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 4393 0.44800 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 19387 0.44820 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 4079 0.44920 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 9353 0.44930 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 11819 0.44990 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5196 0.45130 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5279 0.45170 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 3319 0.45210 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 11670 0.45220 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 15998 0.45250 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5785 0.45260 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5617 0.45360 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 6656 0.45400 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 4865 0.45460 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 10975 0.45470 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 13172 0.45500 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5953 0.45510 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5808 0.45610 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5489 0.45620 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 3831 0.45700 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5525 0.45750 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 2244 0.45760 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 22095 0.45780 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 934 0.45785 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 5750 0.45820 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 1873 0.45830 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 16000 0.45860 GBP
--------------- --------------------- ---------------
2.5p ordinary Sell 8142 0.45900 GBP
--------------- --------------------- ---------------
TOTAL BUY : 283499
-------------------------------------------- --------------------- ---------------
TOTAL SALE : 283499
-------------------------------------------- --------------------- ---------------
(b) Derivatives transactions (other than options)
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
(ii) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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: 17 April 2014
Contact name: Gemma Crewdson
-------------------------------
Telephone number: +44 (0)20 7568 1245
-------------------------------
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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
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