21st Sep 2016 11:33
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY ANEXEMPT 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 |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | ||
| Anheuser-Busch InBev SA_NV | ||
| Anheuser-Busch InBev SA_NV | ||
| 20/09/2016 | ||
| YES If YES, specify which: (SABMiller 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: | Common - BE0003793107 | |||||
Interests | Short Positions | |||||
Number | % | Number | % | |||
| 0 | 0% | 48,989 | 0.003 % | ||
| 0 | 0% | 0 | 0% | ||
| 355,800 | 0.022% | 356,700 | 0.022 % | ||
TOTAL: | 0 | 0% | 405,689 | 0.025% | ||
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: | N/A |
Details, including nature of the rights concerned and relevant percentages: | N/A |
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 relevant security | Purchases/sales | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
ADR - ISIN US03524A1088 | Purchase | 12 | 126.21 USD | 126.21 USD |
ADR - ISIN US03524A1088 | Sale | 12 | 126.21 USD | 126.21 USD |
(b) | Cash-settled derivative transactions |
Class of relevant security | Product descriptione.g. CFD | Nature of dealinge.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
N/A | N/A | N/A | N/A | N/A |
(c) | Stock-settled derivative transactions (including options) |
(i) | Writing, selling, purchasing or varying |
Class ofrelevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number ofsecurities to which option relates | Exercise priceper unit | Typee.g. American, European etc. | Expiry date | Option money paid/ received per unit |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
(ii) | Exercise |
Class of relevant security | Product descriptione.g. call option | Exercising/exercisedagainst | Number of securities | Exercise Price per unit |
N/A | N/A | N/A | N/A | N/A |
(d) | Other dealings (including subscribing for new securities) |
Class of relevant security | Nature of dealinge.g. subscription, conversion | Details | Price per unit (if applicable) |
N/A | N/A | N/A | N/A |
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 suchagreements, 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: | 21/09/2016 |
Contact name: | Harshini Gopa |
Telephone number: | +44207 996 3410 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory InformationService 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.
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 |
| |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | ||
| Anheuser-Busch InBev SA_NV | ||
2. | STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS) |
Class of relevant security | Product descriptione.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Typee.g.American,Europeanetc. | Expiry date |
ADR - ISIN US03524A1088 | Call Option | Long | 69,200 | 135 USD | AMERICAN | 20/01/2017 |
ADR - ISIN US03524A1088 | Call Option | Long | 116,000 | 120 USD | AMERICAN | 20/01/2017 |
ADR - ISIN US03524A1088 | Call Option | Long | 19,500 | 130 USD | AMERICAN | 21/10/2016 |
ADR - ISIN US03524A1088 | Call Option | Long | 85,400 | 130 USD | AMERICAN | 20/01/2017 |
ADR - ISIN US03524A1088 | Call Option | Long | 19,000 | 170 USD | AMERICAN | 19/01/2018 |
ADR - ISIN US03524A1088 | Put Option | Long | 19,500 | 125 USD | AMERICAN | 20/01/2017 |
ADR - ISIN US03524A1088 | Put Option | Long | 46,700 | 130 USD | AMERICAN | 20/01/2017 |
ADR - ISIN US03524A1088 | Call Option | Short | 1,200 | 145 USD | AMERICAN | 19/01/2018 |
ADR - ISIN US03524A1088 | Call Option | Short | 10,800 | 150 USD | AMERICAN | 19/01/2018 |
ADR - ISIN US03524A1088 | Call Option | Short | 1,000 | 155 USD | AMERICAN | 19/01/2018 |
ADR - ISIN US03524A1088 | Call Option | Short | 189,900 | 160 USD | AMERICAN | 19/01/2018 |
ADR - ISIN US03524A1088 | Call Option | Short | 87,600 | 165 USD | AMERICAN | 19/01/2018 |
ADR - ISIN US03524A1088 | Put Option | Short | 46,700 | 120 USD | AMERICAN | 20/01/2017 |
3. | AGREEMENTS TO PURCHASE OR SELL ETC. |
Full details should be given so that the nature of the interest or position can be fullyunderstood: |
None |
It is not necessary to provide details on a Supplemental Form (Open Positions) with regard tocash-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'sdealing disclosure requirements on +44(0)20 7638 0129.The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
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Related Shares:
SAB.L