20th Aug 2021 17:10
AMENDMENT
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | J.P. Morgan Securities Plc |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Ultra Electronics Holdings plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Corporate Broker to Ultra Electronics Holdings plc. |
(d) Date dealing undertaken: | 18 August 2021 |
(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" | N/A |
2. DEALINGS 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 | Purchases/ sales
| Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
5p ordinary | Purchase
Sale | 163,865
115,764 | 33.8000 GBP
33.8300 GBP | 33.5105 GBP
33.5073 GBP |
(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 |
5p ordinary | Equity Swap | Decrease Long
Decrease Short
Increase Long
Increase Short
Opening a Long Position
Opening a Short Position
| 435 15 708
2,288 6
1,779 169 164 3,292 126 2,083 180 650 1,219 738
13,400 4,400 13,500 4,400 13,400 698 52,834 7,505 8,900 8,800 13,500 26,900
164 624 789 229 110 63,993 44,007 792 2,582 4,262 216 2,065 388 54 9
306 606 891 33 240 2,492 2,749 2,854 2,113 | 33.5105 GBP 33.5407 GBP 33.6241 GBP
33.5074 GBP 33.5895 GBP
33.5170 GBP 33.5183 GBP 33.5296 GBP 33.5334 GBP 33.5387 GBP 33.5817 GBP 33.5842 GBP 33.6102 GBP 33.6231 GBP 33.6244 GBP
33.5267 GBP 33.5530 GBP 33.5667 GBP 33.5767 GBP 33.6363 GBP 33.6419 GBP 33.6420 GBP 33.6474 GBP 33.6661 GBP 33.6867 GBP 33.7192 GBP 33.7382 GBP
33.5259 GBP 33.5284 GBP 33.5426 GBP 33.5582 GBP 33.5598 GBP 33.5840 GBP 33.6020 GBP 33.6310 GBP 33.6383 GBP 33.6400 GBP 33.6537 GBP 33.6590 GBP 33.6831 GBP 33.7598 GBP 33.7698 GBP
33.5688 GBP 33.5954 GBP 33.6024 GBP 33.6202 GBP 33.6273 GBP 33.6280 GBP 33.6319 GBP 33.6400 GBP 33.6402 GBP |
(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) |
|
3. 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
|
| Date of disclosure: | 20 August 2021 |
| Contact name: | Alwyn Basch |
| Telephone number: | 020 7742 7407 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
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.
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