5th Dec 2014 12:11
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: | BARCLAYS CAPITAL SECURITIES LTD | |
| (b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | TUI TRAVEL PLC | |
| (c) Name of the party to the offer with which exempt principal trader is connected: | TUI TRAVEL PLC | |
| (d) Date position held/dealing undertaken: | 4 Dec 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: TUI AG |
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: | 9,240,645 | 0.76% | 155,939 | 0.01% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 55,367 | 0.00% | 7,985,113 | 0.66% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | |||||||||||
| TOTAL: | 9,296,012 | 0.76% | 8,141,052 | 0.67% | |||||||
| Class of relevant security: | Convertible Bond XS0503743949 | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 100,000 | 0.23% | 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: | 100,000 | 0.23% | 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 | 136 | 4.4440 GBP | ||||||
| ORD | Purchase | 152 | 4.4350 GBP | ||||||
| ORD | Purchase | 262 | 4.4580 GBP | ||||||
| ORD | Purchase | 273 | 4.4540 GBP | ||||||
| ORD | Purchase | 302 | 4.4790 GBP | ||||||
| ORD | Purchase | 344 | 4.4240 GBP | ||||||
| ORD | Purchase | 355 | 4.4120 GBP | ||||||
| ORD | Purchase | 355 | 4.4210 GBP | ||||||
| ORD | Purchase | 402 | 4.4220 GBP | ||||||
| ORD | Purchase | 418 | 4.4370 GBP | ||||||
| ORD | Purchase | 452 | 4.4550 GBP | ||||||
| ORD | Purchase | 478 | 4.4360 GBP | ||||||
| ORD | Purchase | 488 | 4.4250 GBP | ||||||
| ORD | Purchase | 508 | 4.4150 GBP | ||||||
| ORD | Purchase | 513 | 4.3870 GBP | ||||||
| ORD | Purchase | 513 | 4.3880 GBP | ||||||
| ORD | Purchase | 605 | 4.4300 GBP | ||||||
| ORD | Purchase | 733 | 4.4320 GBP | ||||||
| ORD | Purchase | 759 | 4.4610 GBP | ||||||
| ORD | Purchase | 802 | 4.4290 GBP | ||||||
| ORD | Purchase | 992 | 4.4650 GBP | ||||||
| ORD | Purchase | 1,200 | 4.4523 GBP | ||||||
| ORD | Purchase | 1,490 | 4.3988 GBP | ||||||
| ORD | Purchase | 2,001 | 4.4400 GBP | ||||||
| ORD | Purchase | 2,002 | 4.4470 GBP | ||||||
| ORD | Purchase | 2,100 | 4.4430 GBP | ||||||
| ORD | Purchase | 2,206 | 4.4025 GBP | ||||||
| ORD | Purchase | 2,349 | 4.4030 GBP | ||||||
| ORD | Purchase | 3,020 | 4.4522 GBP | ||||||
| ORD | Purchase | 4,988 | 4.4422 GBP | ||||||
| ORD | Purchase | 6,355 | 4.4466 GBP | ||||||
| ORD | Purchase | 10,568 | 4.4524 GBP | ||||||
| ORD | Purchase | 12,876 | 4.4487 GBP | ||||||
| ORD | Purchase | 25,422 | 4.4236 GBP | ||||||
| ORD | Purchase | 30,639 | 4.4497 GBP | ||||||
| ORD | Purchase | 91,284 | 4.4514 GBP | ||||||
| ORD | Sale | 136 | 4.4440 GBP | ||||||
| ORD | Sale | 152 | 4.4350 GBP | ||||||
| ORD | Sale | 222 | 4.4010 GBP | ||||||
| ORD | Sale | 302 | 4.4790 GBP | ||||||
| ORD | Sale | 355 | 4.4120 GBP | ||||||
| ORD | Sale | 369 | 4.4275 GBP | ||||||
| ORD | Sale | 393 | 4.4490 GBP | ||||||
| ORD | Sale | 452 | 4.4550 GBP | ||||||
| ORD | Sale | 457 | 4.4510 GBP | ||||||
| ORD | Sale | 508 | 4.4150 GBP | ||||||
| ORD | Sale | 513 | 4.3870 GBP | ||||||
| ORD | Sale | 513 | 4.3880 GBP | ||||||
| ORD | Sale | 585 | 4.4515 GBP | ||||||
| ORD | Sale | 738 | 4.4330 GBP | ||||||
| ORD | Sale | 739 | 4.4480 GBP | ||||||
| ORD | Sale | 744 | 4.4690 GBP | ||||||
| ORD | Sale | 959 | 4.4410 GBP | ||||||
| ORD | Sale | 982 | 4.4158 GBP | ||||||
| ORD | Sale | 1,037 | 4.4520 GBP | ||||||
| ORD | Sale | 1,103 | 4.4540 GBP | ||||||
| ORD | Sale | 1,211 | 4.4287 GBP | ||||||
| ORD | Sale | 1,542 | 4.4380 GBP | ||||||
| ORD | Sale | 1,661 | 4.4360 GBP | ||||||
| ORD | Sale | 1,819 | 4.4700 GBP | ||||||
| ORD | Sale | 1,863 | 4.4570 GBP | ||||||
| ORD | Sale | 1,897 | 4.4450 GBP | ||||||
| ORD | Sale | 2,001 | 4.4400 GBP | ||||||
| ORD | Sale | 2,182 | 4.4580 GBP | ||||||
| ORD | Sale | 2,325 | 4.4610 GBP | ||||||
| ORD | Sale | 2,349 | 4.4030 GBP | ||||||
| ORD | Sale | 2,533 | 4.4210 GBP | ||||||
| ORD | Sale | 2,680 | 4.4240 GBP | ||||||
| ORD | Sale | 2,881 | 4.4103 GBP | ||||||
| ORD | Sale | 2,920 | 4.4090 GBP | ||||||
| ORD | Sale | 2,922 | 4.4238 GBP | ||||||
| ORD | Sale | 3,064 | 4.4110 GBP | ||||||
| ORD | Sale | 3,064 | 4.4340 GBP | ||||||
| ORD | Sale | 3,066 | 4.4220 GBP | ||||||
| ORD | Sale | 3,795 | 4.4355 GBP | ||||||
| ORD | Sale | 4,342 | 4.4420 GBP | ||||||
| ORD | Sale | 4,538 | 4.4100 GBP | ||||||
| ORD | Sale | 4,853 | 4.4310 GBP | ||||||
| ORD | Sale | 4,893 | 4.4000 GBP | ||||||
| ORD | Sale | 5,139 | 4.4470 GBP | ||||||
| ORD | Sale | 5,141 | 4.4250 GBP | ||||||
| ORD | Sale | 5,279 | 4.4230 GBP | ||||||
| ORD | Sale | 5,767 | 4.4320 GBP | ||||||
| ORD | Sale | 6,423 | 4.4148 GBP | ||||||
| ORD | Sale | 6,488 | 4.4280 GBP | ||||||
| ORD | Sale | 6,711 | 4.4370 GBP | ||||||
| ORD | Sale | 7,951 | 4.4407 GBP | ||||||
| ORD | Sale | 8,856 | 4.4290 GBP | ||||||
| ORD | Sale | 9,013 | 4.4200 GBP | ||||||
| ORD | Sale | 9,580 | 4.4270 GBP | ||||||
| ORD | Sale | 15,027 | 4.4300 GBP | ||||||
| ORD | Sale | 20,466 | 4.4260 GBP | ||||||
| (b) | Derivatives transactions (other than options) | ||||||||
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | CFD | Long | 2,685 | 4.4150 GBP | |||||
| ORD | CFD | Long | 10,212 | 4.4182 GBP | |||||
| ORD | CFD | Short | 545 | 4.4613 GBP | |||||
| ORD | CFD | Short | 2,001 | 4.4233 GBP | |||||
| ORD | CFD | Short | 2,001 | 4.4403 GBP | |||||
| ORD | CFD | Short | 2,108 | 4.4211 GBP | |||||
| ORD | CFD | Short | 2,271 | 4.4033 GBP | |||||
| ORD | CFD | Short | 3,020 | 4.4522 GBP | |||||
| ORD | SWAP | Short | 7,212 | 4.4703 GBP | |||||
| ORD | CFD | Short | 12,876 | 4.4487 GBP | |||||
| ORD | CFD | Short | 30,639 | 4.4497 GBP | |||||
| ORD | CFD | Short | 31,402 | 4.4285 GBP | |||||
| ORD | CFD | Short | 91,284 | 4.4513 GBP |
(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: | 5 Dec 2014 | |
| Contact name: | Jay Supaya | |
| Telephone number: | 0207 773 0635 |
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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