1st Jul 2014 14:30
FORM 8.5 (EPT/NON-RI) - AMENDMENT
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: | BARCLAYS CAPITAL SECURITIES LTD | |||
| (b) | Name of offeror/offeree in relation to whose | TUI AG | |||
| relevant securities this form relates: | |||||
| (c) | Name of the party to the offer with which exempt | TUI TRAVEL PLC | |||
| principal trader is connected | |||||
| (d) | Date position held/dealing undertaken: | 27 June 2014 | |||
| (e) | Has the EPT previously disclosed, or is it | YES: | |||
| today disclosing, under the Code in respect | TUI TRAVEL PLC | ||||
| of any other party to this offer? |
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: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 433,458 | 0.16% | 478,541 | 0.18% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 469,027 | 0.17% | 343,334 | 0.13% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | TOTAL: | ||||||||||
| 902,485 | 0.33% | 821,875 | 0.30% | ||||||||
| Class of relevant security: | Convertible Bond DE000TUAG158 | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 2,868 | 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% | |||||||
| (4) | TOTAL: | ||||||||||
| 2,868 | 0.00% | 0 | 0.00% | ||||||||
| Class of relevant security: | Convertible Bond DE000TUAG117 | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 214 | 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% | |||||||
| (4) | TOTAL: | ||||||||||
| 214 | 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 | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| ORD | Purchase | 88 | 11.9450 EUR | ||||
| ORD | Purchase | 90 | 11.9300 EUR | ||||
| ORD | Purchase | 159 | 12.4900 EUR | ||||
| ORD | Purchase | 300 | 11.8950 EUR | ||||
| ORD | Purchase | 596 | 12.3400 EUR | ||||
| ORD | Purchase | 856 | 12.3800 EUR | ||||
| ORD | Purchase | 1,244 | 12.3308 EUR | ||||
| ORD | Purchase | 1,302 | 12.3650 EUR | ||||
| ORD | Purchase | 1,702 | 12.4740 EUR | ||||
| ORD | Purchase | 1,870 | 11.9250 EUR | ||||
| ORD | Purchase | 2,005 | 12.0871 EUR | ||||
| ORD | Purchase | 2,805 | 12.3200 EUR | ||||
| ORD | Purchase | 3,340 | 12.0906 EUR | ||||
| ORD | Purchase | 3,354 | 12.4850 EUR | ||||
| ORD | Purchase | 5,996 | 11.9677 EUR | ||||
| ORD | Purchase | 6,267 | 12.4320 EUR | ||||
| ORD | Purchase | 7,001 | 12.6266 EUR | ||||
| ORD | Purchase | 8,182 | 11.9864 EUR | ||||
| ORD | Purchase | 10,802 | 12.3776 EUR | ||||
| ORD | Purchase | 11,683 | 12.4662 EUR | ||||
| ORD | Purchase | 15,800 | 12.5001 EUR | ||||
| ORD | Purchase | 19,222 | 12.4289 EUR | ||||
| ORD | Purchase | 51,546 | 12.0396 EUR | ||||
| ORD | Purchase | 65,297 | 12.2148 EUR | ||||
| ORD | Purchase | 76,091 | 12.0054 EUR | ||||
| ORD | Purchase | 79,313 | 12.4924 EUR | ||||
| ORD | Sale | 88 | 11.9451 EUR | ||||
| ORD | Sale | 159 | 12.4900 EUR | ||||
| ORD | Sale | 596 | 12.3400 EUR | ||||
| ORD | Sale | 856 | 12.3800 EUR | ||||
| ORD | Sale | 1,302 | 12.3650 EUR | ||||
| ORD | Sale | 1,870 | 11.9250 EUR | ||||
| ORD | Sale | 2,803 | 11.8808 EUR | ||||
| ORD | Sale | 3,124 | 12.1377 EUR | ||||
| ORD | Sale | 3,340 | 12.0907 EUR | ||||
| ORD | Sale | 3,354 | 12.4850 EUR | ||||
| ORD | Sale | 5,333 | 12.5386 EUR | ||||
| ORD | Sale | 5,860 | 12.3762 EUR | ||||
| ORD | Sale | 8,000 | 12.5503 EUR | ||||
| ORD | Sale | 9,183 | 12.2512 EUR | ||||
| ORD | Sale | 9,407 | 12.0874 EUR | ||||
| ORD | Sale | 10,324 | 12.4131 EUR | ||||
| ORD | Sale | 15,671 | 12.2516 EUR | ||||
| ORD | Sale | 22,291 | 12.4267 EUR | ||||
| ORD | Sale | 28,573 | 12.5904 EUR | ||||
| ORD | Sale | 31,041 | 12.3378 EUR | ||||
| ORD | Sale | 32,000 | 12.5424 EUR | ||||
| ORD | Sale | 39,126 | 12.3797 EUR | ||||
| ORD | Sale | 50,000 | 12.4444 EUR | ||||
| ORD | Sale | 68,639 | 12.4723 EUR | ||||
| ORD | Sale | 100,000 | 12.2647 EUR | ||||
| ORD | Sale | 116,908 | 12.3263 EUR |
(b) Derivatives transactions (other than options)
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 100 | 12.0100 EUR | |||||
| ORD | SWAP | Long | 200 | 12.0050 EUR | |||||
| ORD | SWAP | Long | 272 | 12.2987 EUR | |||||
| ORD | CFD | Long | 1,870 | 11.9237 EUR | |||||
| ORD | SWAP | Long | 2,803 | 11.8809 EUR | |||||
| ORD | SWAP | Long | 10,677 | 12.3884 EUR | |||||
| ORD | CFD | Long | 15,097 | 12.5781 EUR | |||||
| ORD | SWAP | Long | 15,300 | 12.5047 EUR | |||||
| ORD | CFD | Long | 25,000 | 12.2936 EUR | |||||
| ORD | CFD | Long | 25,000 | 12.4308 EUR | |||||
| ORD | SWAP | Long | 28,573 | 12.5904 EUR | |||||
| ORD | CFD | Long | 50,000 | 12.2905 EUR | |||||
| ORD | CFD | Long | 50,000 | 12.3300 EUR | |||||
| ORD | CFD | Long | 26,698 | 12.1076 EUR | |||||
| ORD | CFD | Long | 100,000 | 12.2647 EUR | |||||
| ORD | SWAP | Short | 390 | 11.9030 EUR | |||||
| ORD | CFD | Short | 1,702 | 12.4740 EUR | |||||
| ORD | SWAP | Short | 8,182 | 11.9864 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9338 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9462 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9499 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9512 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9607 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9614 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9784 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9869 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9912 EUR | |||||
| ORD | CFD | Short | 10,000 | 11.9981 EUR | |||||
| ORD | CFD | Short | 10,802 | 12.3791 EUR | |||||
| ORD | CFD | Short | 25,000 | 12.0003 EUR | |||||
| ORD | CFD | Short | 25,000 | 12.0012 EUR |
(c) Options transactions in respect of existing securities
(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) Exercising
| Class of relevant security | Product description e.g. call option | 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) |
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 |
(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? | NO | ||
| Date of disclosure: | 1 Jul 2014 | ||
| Contact name: | Rajesh Muthanna | ||
| Telephone number: | 020 3555 4634 |
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.
Copyright Business Wire 2014
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