17th Apr 2014 10:50
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 |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Dixons Retail Plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Carphone Warehouse Grp Plc |
(d) Date position held/dealing undertaken: | 16 April 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | Yes Carphone Warehouse Grp Plc |
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: | 29411 | 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: | 29411 | 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
| 2980 | 0.44440 GBP |
2.5p ordinary | Buy
| 7020 | 0.44475 GBP |
2.5p ordinary | Buy
| 2936 | 0.44500 GBP |
2.5p ordinary | Buy
| 8511 | 0.44555 GBP |
2.5p ordinary | Buy
| 2653 | 0.44570 GBP |
2.5p ordinary | Buy
| 5206 | 0.44580 GBP |
2.5p ordinary | Buy
| 20393 | 0.44610 GBP |
2.5p ordinary | Buy
| 9365 | 0.44640 GBP |
2.5p ordinary | Buy
| 5198 | 0.44660 GBP |
2.5p ordinary | Buy
| 3755 | 0.44690 GBP |
2.5p ordinary | Buy
| 22021 | 0.44710 GBP |
2.5p ordinary | Buy
| 3550 | 0.44730 GBP |
2.5p ordinary | Buy
| 4375 | 0.44790 GBP |
2.5p ordinary | Buy
| 8090 | 0.44930 GBP |
2.5p ordinary | Buy
| 2721 | 0.44935 GBP |
2.5p ordinary | Buy
| 5023 | 0.44965 GBP |
2.5p ordinary | Buy
| 5722 | 0.44970 GBP |
2.5p ordinary | Buy
| 2721 | 0.44975 GBP |
2.5p ordinary | Buy
| 13617 | 0.44980 GBP |
2.5p ordinary | Buy
| 18195 | 0.45010 GBP |
2.5p ordinary | Buy
| 2763 | 0.45015 GBP |
2.5p ordinary | Buy
| 11006 | 0.45020 GBP |
2.5p ordinary | Buy
| 2705 | 0.45075 GBP |
2.5p ordinary | Buy
| 9874 | 0.45080 GBP |
2.5p ordinary | Buy
| 2830 | 0.45095 GBP |
2.5p ordinary | Buy
| 16591 | 0.45200 GBP |
2.5p ordinary | Buy
| 17433 | 0.45300 GBP |
2.5p ordinary | Buy
| 6656 | 0.45380 GBP |
2.5p ordinary | Buy
| 23125 | 0.45400 GBP |
2.5p ordinary | Buy
| 6200 | 0.45450 GBP |
2.5p ordinary | Buy
| 3831 | 0.45680 GBP |
2.5p ordinary | Buy
| 9426 | 0.45800 GBP |
2.5p ordinary | Buy
| 17007 | 0.45850 GBP |
2.5p ordinary | Sell
| 2962 | 0.44450 GBP |
2.5p ordinary | Sell
| 42281 | 0.44660 GBP |
2.5p ordinary | Sell
| 8559 | 0.44670 GBP |
2.5p ordinary | Sell
| 935 | 0.44720 GBP |
2.5p ordinary | Sell
| 4005 | 0.44730 GBP |
2.5p ordinary | Sell
| 3550 | 0.44740 GBP |
2.5p ordinary | Sell
| 4393 | 0.44800 GBP |
2.5p ordinary | Sell
| 19387 | 0.44820 GBP |
2.5p ordinary | Sell
| 4079 | 0.44920 GBP |
2.5p ordinary | Sell
| 9353 | 0.44930 GBP |
2.5p ordinary | Sell
| 11819 | 0.44990 GBP |
2.5p ordinary | Sell
| 5196 | 0.45130 GBP |
2.5p ordinary | Sell
| 5279 | 0.45170 GBP |
2.5p ordinary | Sell
| 3319 | 0.45210 GBP |
2.5p ordinary | Sell
| 11670 | 0.45220 GBP |
2.5p ordinary | Sell
| 15998 | 0.45250 GBP |
2.5p ordinary | Sell
| 5785 | 0.45260 GBP |
2.5p ordinary | Sell
| 5617 | 0.45360 GBP |
2.5p ordinary | Sell
| 6656 | 0.45400 GBP |
2.5p ordinary | Sell
| 4865 | 0.45460 GBP |
2.5p ordinary | Sell
| 10975 | 0.45470 GBP |
2.5p ordinary | Sell
| 13172 | 0.45500 GBP |
2.5p ordinary | Sell
| 5953 | 0.45510 GBP |
2.5p ordinary | Sell
| 5808 | 0.45610 GBP |
2.5p ordinary | Sell
| 5489 | 0.45620 GBP |
2.5p ordinary | Sell
| 3831 | 0.45700 GBP |
2.5p ordinary | Sell
| 5525 | 0.45750 GBP |
2.5p ordinary | Sell
| 2244 | 0.45760 GBP |
2.5p ordinary | Sell
| 22095 | 0.45780 GBP |
2.5p ordinary | Sell
| 934 | 0.45785 GBP |
2.5p ordinary | Sell
| 5750 | 0.45820 GBP |
2.5p ordinary | Sell
| 1873 | 0.45830 GBP |
2.5p ordinary | Sell
| 16000 | 0.45860 GBP |
2.5p ordinary | Sell
| 8142 | 0.45900 GBP |
TOTAL BUY :
| 283499 | ||
TOTAL SALE :
| 283499 |
(b) Derivatives transactions (other than options)
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) 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: | 17 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 [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:
DXNS.L