UBS AG (EPT) Form 8.5 (EPT/RI) (9637I)
September 05 2016 - 6:57AM
UK Regulatory
TIDMARM
RNS Number : 9637I
UBS AG (EPT)
05 September 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
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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 dealing undertaken: 02 September 2016
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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. 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 7294815 17.02000 GBP 17.00000 GBP
----------------------- ----------------- ------------------------ ----------------------- -----------------------
0.05p ordinary Sell 4407943 17.01449 GBP 17.00000 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 13064 17.00379746 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 45180 17.00379726 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 68 17.01130304 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 2060 17.006796 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 3330 17.01 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Long 22637 17.00444891 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 100000 17.0085 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 2048543 17.0 GBP
------------------------- -------------------- ------------------------ ------------------------- ----------------
0.05p ordinary CFD Short 50000 17.01212625 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: 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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