UBS AG (EPT) Form 8.5 (EPT/RI) (9986E)
July 22 2016 - 6:46AM
UK Regulatory
TIDMARM
RNS Number : 9986E
UBS AG (EPT)
22 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 Connected Advisor to ARM Holdings Plc offeree
principal trader is connected: to SoftBank Group Corporation
---------------------------------------------------------- ----------------------------------------------------------
(d) Date dealing undertaken: 21 July 2016
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(e) In addition to the company in 1(b) above, is the NO
exempt 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 1966277 16.82000 GBP 0.16720 GBP
----------------------- ----------------- ------------------------ ----------------------- -----------------------
0.05p ordinary Sell 2024472 22.16269 USD 0.16720 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 2376 16.767883 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 1105 16.76156561 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 817 16.759694 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 32261 16.7679 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 111944 16.77161 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 52899 16.76858428 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 5341 22.16269336 USD
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 153 16.75 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 70000 16.749574 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 1034 16.74658355 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 12039 16.764883 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 5000 16.75 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 50000 16.811795 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 4310 16.76832 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 46000 16.62162609 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 46000 16.67013609 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 117204 16.767095 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 123292 16.748178 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 5000 16.76 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: 22 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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