UBS AG (EPT) Form 8.5 (EPT/RI) (8769E)
July 21 2016 - 6:45AM
UK Regulatory
TIDMARM
RNS Number : 8769E
UBS AG (EPT)
21 July 2016
FORM 8.5 (EPT/RI)
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)
1. KEY INFORMATION
(a) Name of exempt principal trader: UBS Investment Bank, London
------------------------------------------------------------- -------------------------------------------------------
(b) Name of offeror/offeree in relation to whose relevant ARM Holdings Plc
securities this form relates:
Use a separate form for each offeror/offeree
------------------------------------------------------------- -------------------------------------------------------
(c) Name of the party to the offer with which exempt ARM Holdings Plc offeree to SoftBank Group Corporation
principal trader is connected:
------------------------------------------------------------- -------------------------------------------------------
(d) Date dealing undertaken: 20 July 2016
------------------------------------------------------------- -------------------------------------------------------
(e) In addition to the company in 1(b) above, is the exempt NO
principal trader making disclosures
in respect of any other party to this offer?
If it is a cash offer or possible cash offer, state "N/A"
------------------------------------------------------------- -------------------------------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
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.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and sales
Class of relevant Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
----------------------- ----------------- ------------------------ ----------------------- -----------------------
0.05p ordinary Buy 5948494 16.74936 GBP 16.60500 GBP
----------------------- ----------------- ------------------------ ----------------------- -----------------------
0.05p ordinary Sell 2247480 21.99842 USD 16.60000 GBP
----------------------- ----------------- ------------------------ ----------------------- -----------------------
(b) Cash-settled derivative transactions
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
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 1481 16.694031 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 55568 16.70519382 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 59274 21.99841555 USD
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 232 16.70521552 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 63311 16.72 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 376179 16.70268768 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 6230 16.63390369 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 2746 16.70268755 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 1953 16.71228879 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 3041 16.66419928 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 18287 16.66419916 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 44962 16.66419932 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 100000 16.6616 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 100000 16.661645 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 10000 16.707078 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 949 16.64662803 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 30000 16.67666 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 146000 16.6166 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 100000 16.6722946 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 62975 16.69359881 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 184000 16.63749505 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 200000 16.649956 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 92000 16.64314 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 35309 16.66665 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 133600 16.64815 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 125220 16.627431 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 440000 16.685035 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 12100 16.64662975 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 35700 16.64662997 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 158616 16.608106 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 250000 16.64322 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 250000 16.66326 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 6015 16.661633 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 119450 16.65968 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 23875 16.65664 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 1692864 16.749358 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 10000 16.61207625 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 10000 16.71208875 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 1 16.64 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 46000 16.671655 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 46000 16.631615 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 46000 16.6266 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
(c) Stock-settled derivative transactions (including options)
(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) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
----------------------- -------------------- ----------------------- --------------------- -----------------------
(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
--------------------------- ------------------------------- -------- -------------------------------
3. 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:
Irrevocable commitments and letters of intent should not be included. If there are no such
agreements, arrangements or understandings, state "none "
----------------------------------------------------------------------------------------------
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"
-----------------------------------------------------------------------------------------------
None
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Date of disclosure: 21 July 2016
--------------------- --------------------
Contact name: Tahmidul Haque
--------------------- --------------------
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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