6th Jan 2016 12:03
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 Investment Bank, London |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Home Retail Group Plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Connected advisor to J Sainsbury Plc offeror to Home Retail Group Plc |
(d) Date position held/dealing undertaken: For an open position disclosure, state the latest practicable date prior to the disclosure | 05 January 2016 |
(e) In addition to the company in 1(b) above, is the exempt 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" | YES J Sainsbury Plc |
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:
| ||||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 56134 | 0.01% | 50000 | 0.01% |
(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% |
TOTAL: | 56134 | 0.01% | 50000 | 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 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 security | Purchase/sale
| Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
10p ordinary | Buy
| 2032 | 1.02650 GBP | |
10p ordinary | Buy
| 2095 | 1.02950 GBP | |
10p ordinary | Buy
| 2620 | 1.03750 GBP | |
10p ordinary | Buy
| 211 | 1.04050 GBP | |
10p ordinary | Buy
| 2308 | 1.04250 GBP | |
10p ordinary | Buy
| 2013 | 1.05300 GBP | |
10p ordinary | Buy
| 2433 | 1.05850 GBP | |
10p ordinary | Buy
| 2334 | 1.06150 GBP | |
10p ordinary | Buy
| 2700 | 1.08950 GBP | |
10p ordinary | Buy
| 2288 | 1.11900 GBP | |
10p ordinary | Buy
| 520 | 1.11950 GBP | |
10p ordinary | Buy
| 2350 | 1.12350 GBP | |
10p ordinary | Buy
| 921 | 1.25100 GBP | |
10p ordinary | Buy
| 50 | 1.34450 GBP | |
10p ordinary | Buy
| 1023 | 1.35450 GBP | |
10p ordinary | Buy
| 1532 | 1.35500 GBP | |
10p ordinary | Buy
| 1095 | 1.35600 GBP | |
10p ordinary | Buy
| 1374 | 1.35700 GBP | |
10p ordinary | Buy
| 1128 | 1.35800 GBP | |
10p ordinary | Buy
| 1111 | 1.36800 GBP | |
10p ordinary | Buy
| 381 | 1.36900 GBP | |
10p ordinary | Buy
| 3718 | 1.37000 GBP | |
10p ordinary | Buy
| 1169 | 1.37100 GBP | |
10p ordinary | Buy
| 1327 | 1.37200 GBP | |
10p ordinary | Buy
| 2451 | 1.37400 GBP | |
10p ordinary | Buy
| 1160 | 1.37600 GBP | |
10p ordinary | Buy
| 1172 | 1.37650 GBP | |
10p ordinary | Buy
| 2528 | 1.37700 GBP | |
10p ordinary | Buy
| 18 | 1.37850 GBP | |
10p ordinary | Buy
| 1234 | 1.38000 GBP | |
10p ordinary | Buy
| 1357 | 1.38800 GBP | |
10p ordinary | Buy
| 1603 | 1.38900 GBP | |
10p ordinary | Buy
| 870 | 1.39100 GBP | |
10p ordinary | Buy
| 21392 | 1.39300 GBP | |
10p ordinary | Sell
| 10274 | 1.34500 GBP | |
10p ordinary | Sell
| 12617 | 1.34700 GBP | |
10p ordinary | Sell
| 14573 | 1.34750 GBP | |
10p ordinary | Sell
| 7967 | 1.34900 GBP | |
10p ordinary | Sell
| 4569 | 1.35000 GBP | |
10p ordinary | Sell
| 1014 | 1.36800 GBP | |
10p ordinary | Sell
| 1340 | 1.37050 GBP | |
10p ordinary | Sell
| 1127 | 1.37200 GBP | |
10p ordinary | Sell
| 8586 | 1.37650 GBP | |
TOTAL BUY :
| 72518 | |||
TOTAL SALE :
| 62067 |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
|
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
|
(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
|
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/NO |
| Date of disclosure: | 06 January 2016 |
| Contact name: | Fabien Scott |
| 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 [email protected]
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.
Related Shares:
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