TIDMARM
FORM 8.5 (EPT/NON-RI) - Amendment to s2(a) and 3(a)
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: BARCLAYS CAPITAL SECURITIES LTD
(b) Name of offeror/offeree ARM HOLDINGS PLC
in relation to whose
relevant securities
this form relates:
(c) Name of the party to the ARM HOLDINGS PLC
offer with which exempt
principal trader is connected
(d) Date position held/dealing 19 July 2016
undertaken:
(e) In addition to the NO
company in 1(b)
above, is the exempt principal
trader making disclosures
in respect
of any other party to the offer?
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
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.
(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 ORD
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 7,301,897 0.44% 3,548,156 0.25%
(2) Cash-settled derivatives:
1,338,932 0.10% 3,653,840 0.26%
(3) Stock-settled derivatives (including options)
and agreements to purchase/DEALING: 0 0.00% 0 0.00%
TOTAL: 7,478,226 0.53% 7,201,996 0.51%
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 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 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 Purchase/DEALING Total number of Highest price Lowest price
relevant per unit per unit
security securities paid/received paid/received
ORD Purchase 7,503,244 16.7250 GBP 16.63 GBP
ORD Sale 2,878,274 16.7030 GBP 16.629 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD CFD Long 986 16.6872 GBP
ORD SWAP Long 1,023 16.6856 GBP
ORD CFD Long 2,750 16.6985 GBP
ORD CFD Long 2,833 16.6290 GBP
ORD CFD Long 2,885 16.7030 GBP
ORD CFD Long 4,155 16.6517 GBP
ORD SWAP Long 5,801 16.6905 GBP
ORD CFD Long 25,025 16.6796 GBP
ORD CFD Long 26,982 16.6726 GBP
ORD CFD Long 47,457 16.6775 GBP
ORD SWAP Long 127,620 16.6671 GBP
ORD SWAP Long 324,212 16.6831 GBP
ORD SWAP Short 1,700 16.6811 GBP
ORD CFD Short 5,000 16.7115 GBP
ORD SWAP Short 5,500 16.6854 GBP
ORD CFD Short 6,800 16.6794 GBP
ORD CFD Short 6,800 16.6912 GBP
ORD SWAP Short 7,091 16.6901 GBP
ORD SWAP Expires Short 7,600 16.7167 GBP
21/10/2017
ORD CFD Short 17,590 16.7306 GBP
ORD CFD Short 24,317 16.7126 GBP
ORD SWAP Short 24,454 16.6504 GBP
ORD SWAP Short 46,300 16.6832 GBP
ORD CFD Short 50,000 16.6548 GBP
ORD SWAP Expires Short 50,000 16.8168 GBP
20/10/2017
ORD CFD Short 50,634 16.6863 GBP
ORD SWAP Expires Short 55,000 16.7050 GBP
21/08/2017
ORD CFD Short 31,477 16.7248 GBP
ORD CFD Short 100,000 16.7030 GBP
ORD SWAP Short 113,300 16.6586 GBP
ORD SWAP Short 158,971 16.7031 GBP
ORD SWAP Expires Short 200,000 16.6917 GBP
21/08/2017
ORD SWAP Expires Short 200,000 16.7000 GBP
21/08/2017
ORD SWAP Expires Short 200,000 16.7250 GBP
21/08/2017
ORD SWAP Short 250,000 16.6726 GBP
ORD SWAP Expires Short 255,000 16.7129 GBP
21/08/2017
ORD CFD Short 350,000 16.7067 GBP
ORD SWAP Short 350,000 16.7067 GBP
ORD SWAP Short 1,203,685 16.7059 GBP
ORD SWAP Short 1,826,000 16.6883 GBP
(c) Stock-settled derivative transactions (including
options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number Exercise Type Expiry date Option
relevant description purchasing, of price e.g. money
security e.g. selling, securities per unit American, paid/
call varying to European received
option etc. which etc. per
option unit
relates
(ii) Exercise
Class of relevant Product Exercising/ Number Exercise price
security description exercised of securities per unit
e.g. call against
option
(d) Other dealings (including subscribing for new
securities)
Class of relevant Nature of dealing Details Price per unit (if
security e.g. subscription, applicable)
conversion
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:
Irrevocable commitments and letters of intent
should not be included. 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: 8 Aug 2016
Contact name: Pinar Coktas
Telephone number: 020 7116 1165
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.
View source version on businesswire.com:
http://www.businesswire.com/news/home/DEALING/en/
This information is provided by Business Wire
(END) Dow Jones Newswires
August 08, 2016 09:38 ET (13:38 GMT)
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