UBS AG (EPT) Form 8.5 (EPT/NON-RI) (9276J)
18 June 2014 - 8:34PM
UK Regulatory
TIDMDXNS
RNS Number : 9276J
UBS AG (EPT)
18 June 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 Investment Bank, London
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(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
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(c) Name of the party to the offer with which exempt principal trader is connected: Carphone Warehouse Grp
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(d) Date position held/dealing undertaken: 17 June 2014
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(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect Carphone Warehouse Grp
of any other party to this offer?
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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: 23616 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: 23616 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:
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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 2968 0.47250 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 3970 0.47320 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 4687 0.47330 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 7034 0.47340 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 2849 0.47355 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 5487 0.47410 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 4172 0.47420 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 2000 0.47520 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 858 0.47550 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 3903 0.47680 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 3051 0.47690 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 5152 0.47710 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 451 0.47760 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 7004 0.47780 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 2682 0.47790 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 74681 0.47840 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3051 0.47260 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 16802 0.47280 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3970 0.47330 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5446 0.47340 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 4517 0.47360 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 15381 0.47430 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 17311 0.47450 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 1483 0.47460 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3331 0.47530 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3548 0.47560 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 13933 0.47660 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5106 0.47690 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3023 0.47700 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 8357 0.47720 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5425 0.47770 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 8351 0.47790 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 4185 0.47800 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 9883 0.47840 GBP
---------------------------- --------------- --------------------- ---------------
TOTAL BUY : 130949
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TOTAL SALE : 133103
-------------------------------------------- --------------------- ---------------
(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"
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None
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(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"
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None
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
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Date of disclosure: 18 June 2014
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Contact name: Gemma Crewdson
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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.
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
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