TIDMARM
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: BARCLAYS CAPITAL INC
(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 undertaken: 31 August 2016
(e) In addition to the company in 1(b) above, NO
is the exempt principaltrader
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: 240 0.00% 81,159 0.01%
(2) Cash-settled
derivatives:
0 0.00% 0 0.00%
(3) Stock-settled
derivatives
(including options)
and agreements to 160,200 0.01% 52,200 0.00%
purchase/sell:
TOTAL: 160,440 0.01% 133,359 0.01%
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/sale Total number of Highest price Lowest price
relevant per unit per unit
security securities paid/received paid/received
ADR Purchase 400 66.4000 USD 66.26 USD
ADR Sale 400 66.4000 USD 66.26 USD
(b) Cash-settled derivative transactions
Class of relevant Product Nature of Number of reference Price per unit
security description dealing securities
e.g. CFD e.g.
opening/closing
a long/short
position,
increasing/reducing
a long/short
position
(c) Stock-settled derivative transactions (including
options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
relates
ORD Call Purchasing 26,700 45 USD American 21 Oct 2016 19.0000 USD
Options
ORD Call Purchasing 2,200 48 USD American 20 Jan 2017 16.1000 USD
Options
(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? YES
Date of disclosure: 1 Sep 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.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION)
POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Identity of the person whose positions/dealings BARCLAYS CAPITAL INC
are being disclosed:
Name of offeror/offeree in relation to whose ARM HOLDINGS PLC
relevant securities this from relates:
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class Product Writing, Number Exercise Type Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
relates
ADR Put Purchased -1,000 38.0000 American 20 Jan 2017
Options
ADR Put Purchased -400 47.0000 American 20 Jan 2017
Options
ADR Call Purchased 100 36.0000 American 21 Oct 2016
Options
ADR Put Purchased -1,200 25.0000 American 20 Jan 2017
Options
ADR Put Purchased -4,000 50.0000 American 20 Jan 2017
Options
ADR Call Purchased 100 47.0000 American 21 Oct 2016
Options
ADR Put Written 1,100 33.0000 American 19 Jan 2018
Options
ADR Call Purchased 100 43.0000 American 21 Oct 2016
Options
ADR Call Purchased 100 47.0000 American 20 Jan 2017
Options
ADR Put Purchased -1,900 40.0000 American 20 Jan 2017
Options
ADR Call Purchased 3,800 50.0000 American 20 Jan 2017
Options
ADR Put Written 1,000 50.0000 American 19 Jan 2018
Options
ADR Put Written 39,700 45.0000 American 21 Oct 2016
Options
ADR Put Purchased -700 55.0000 American 21 Oct 2016
Options
ADR Call Purchased 1,000 43.0000 American 20 Jan 2017
Options
ADR Call Purchased 6,100 50.0000 American 21 Oct 2016
Options
ADR Call Written -900 48.0000 American 20 Jan 2017
Options
ADR Put Purchased -1,000 40.0000 American 19 Jan 2018
Options
ADR Call Written -3,800 45.0000 American 21 Oct 2016
Options
ADR Put Purchased -1,800 55.0000 American 20 Jan 2017
Options
ADR Call Written -700 55.0000 American 20 Jan 2017
Options
ADR Call Purchased 100 48.0000 American 21 Oct 2016
Options
ADR Call Purchased 200 60.0000 American 20 Jan 2017
Options
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the
interest or position can be fully understood:
It is not necessary to provide details on a Supplemental Form
(Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be
stated.
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/20160901005647/en/
This information is provided by Business Wire
(END) Dow Jones Newswires
September 01, 2016 07:26 ET (11:26 GMT)
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