UBS AG (EPT) Form 8.5 (EPT/NON-RI) (7695F)
April 29 2014 - 6:19AM
UK Regulatory
TIDMDXNS
RNS Number : 7695F
UBS AG (EPT)
29 April 2014
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 AG London Branch
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(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Dixons Retail Plc
Use a separate form for each offeror/offeree
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(c) Name of the party to the offer with which exempt principal trader is connected: Carphone Warehouse Grp Plc
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(d) Date position held/dealing undertaken: 28 April 2014
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(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect Carphone Warehouse Grp Plc
of any other party to this offer?
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2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(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:
-------------------------------------------------- -----------------------------------
Interests Short positions
-------------------------------------------------- --------------- ------------------
Number % Number %
-------------------------------------------------- ------- ------ --------- -------
(1) Relevant securities owned and/or controlled: 76055 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
(2) Derivatives (other than options): 0 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
(3) Options and agreements to purchase/sell: 0 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
TOTAL: 76055 0.00% 0 0.00%
-------------------------------------------------- ------- ------ --------- -------
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, 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 executive options)
Class of relevant security in relation to which subscription right exists:
----------------------------------------------------------------------------
Details, including nature of the rights concerned and relevant percentages:
----------------------------------------------------------------------------
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.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 22240 0.44970 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 933 0.44980 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 20333 0.44990 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 71476 0.45000 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 14859 0.45010 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 698 0.45020 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 3944 0.45030 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 18173 0.45040 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 5154 0.45050 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 14960 0.45070 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 9102 0.45090 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 11591 0.45110 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 5439 0.45120 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 2810 0.45150 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Buy 18737 0.45170 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 4791 0.44990 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 35475 0.45000 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 12327 0.45010 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 22774 0.45020 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3216 0.45025 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 15568 0.45030 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 2096 0.45040 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 2812 0.45045 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 17342 0.45050 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 4748 0.45060 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 16558 0.45070 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 41742 0.45080 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 775 0.45085 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 2709 0.45090 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 280 0.45095 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3538 0.45100 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 4602 0.45110 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 7270 0.45115 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 16091 0.45120 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5439 0.45160 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 14943 0.45180 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 3794 0.45190 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5094 0.45250 GBP
---------------------------- --------------- --------------------- ---------------
2.5p ordinary Sell 5125 0.45260 GBP
---------------------------- --------------- --------------------- ---------------
TOTAL BUY : 220449
-------------------------------------------- --------------------- ---------------
TOTAL SALE : 249109
-------------------------------------------- --------------------- ---------------
(b) Derivatives transactions (other than options)
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) Options transactions in respect of existing securities
(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) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
e.g. call option
--------------------------- -------------------- --------------------- ------------------------
(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
--------------------------- ------------------------------- -------- -------------------------------
The currency of all prices and other monetary amounts should be
stated.
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.
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:
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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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
---------------------------------------------------- ---
Date of disclosure: 29 April 2014
--------------------- -------------------------------
Contact name: Gemma Crewdson
--------------------- -------------------------------
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
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