UBS Securities LLC Form 8.5 (EPT/NON-RI) (9565I)
September 05 2016 - 6:24AM
UK Regulatory
TIDMARM
RNS Number : 9565I
UBS Securities LLC
05 September 2016
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 Securities LLC
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(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
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(c) Name of the party to the offer with which exempt ARM Holdings Plc offeree to SoftBank Group Corporation
principal trader is connected:
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(d) Date position held/dealing undertaken: 2 September 2016
For an open position disclosure, state the latest
practicable date prior to the disclosure
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(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. 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 security: ADR (Ord)
---------------------------------------------------------------------------- ----------------------------------------
Interests Short positions
---------------------------------------------------------------------------- -------------------- ------------------
Number % (Ord) Number % (Ord)
---------------------------------------------------------------------------- ---------- -------- -------- --------
(1) Relevant securities owned and/or controlled: 297124 0.06% 0 0.00%
(891372)
---------------------------------------------------------------------------- ---------- -------- -------- --------
(2) Cash-settled derivatives: 0 0.00% 0 0.00%
---------------------------------------------------------------------------- ---------- -------- -------- --------
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell: 0 0.00% 0 0.00%
---------------------------------------------------------------------------- ---------- -------- -------- --------
297124 0.06% 0 0.00%
TOTAL: (891372)
---------------------------------------------------------------------------- ---------- -------- -------- --------
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 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 Purchase/sale Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
------------------------- --------------- ------------------------ ----------------------- -----------------------
ADR (ord) Buy 189241 (567723) 67.7357 67.4400 USD
USD
------------------------- --------------- ------------------------ ----------------------- -----------------------
ADR (ord) Sell 189241 (567723) 67.7357 67.4400 USD
USD
------------------------- --------------- ------------------------ ----------------------- -----------------------
TOTAL BUY : 189241 (567723)
----------------------------------------- ------------------------ ----------------------- -----------------------
TOTAL SALE : 189241 (567723)
----------------------------------------- ------------------------ ----------------------- -----------------------
(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
------------------------- -------------------- ------------------------- ------------------------- ---------------
(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
--------------------------- ------------------------------- -------- -------------------------------
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"
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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: 05 September 2016
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Contact name: Tahmidul Haque
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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
END
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