LONDON--(BUSINESS WIRE)--
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 relevant securities
this form relates:
Use a separate form for each offeror/offeree |
TUI AG |
|
(c) Name of the party to the offer with which exempt principal trader is connected: |
TUI TRAVEL PLC |
|
(d) Date position held/dealing undertaken: |
22 August 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 TRAVEL 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: | ORD | ||||||||||
Interests | Short Positions | ||||||||||
Number | (%) | Number | (%) | ||||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 683,565 | 0.25% | 603,473 | 0.21% | |||||||
(2) | Derivatives (other than | ||||||||||
options): | 601,775 | 0.21% | 594,198 | 0.21% | |||||||
(3) | Options and agreements to | ||||||||||
purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
(4) | |||||||||||
TOTAL: | 1,285,340 | 0.46% | 1,197,671 | 0.43% | |||||||
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% |
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 | 129 | 11.2600 EUR | ||||||
ORD | Purchase | 146 | 11.2300 EUR | ||||||
ORD | Purchase | 292 | 11.2100 EUR | ||||||
ORD | Purchase | 292 | 11.2325 EUR | ||||||
ORD | Purchase | 292 | 11.2650 EUR | ||||||
ORD | Purchase | 340 | 11.2800 EUR | ||||||
ORD | Purchase | 494 | 11.2250 EUR | ||||||
ORD | Purchase | 530 | 11.2050 EUR | ||||||
ORD | Purchase | 1,161 | 11.2262 EUR | ||||||
ORD | Purchase | 1,413 | 11.2521 EUR | ||||||
ORD | Purchase | 1,878 | 11.2246 EUR | ||||||
ORD | Purchase | 2,049 | 11.2280 EUR | ||||||
ORD | Purchase | 3,170 | 11.2279 EUR | ||||||
ORD | Purchase | 3,627 | 11.2484 EUR | ||||||
ORD | Purchase | 9,139 | 11.2267 EUR | ||||||
ORD | Purchase | 12,992 | 11.2474 EUR | ||||||
ORD | Purchase | 16,381 | 11.2243 EUR | ||||||
ORD | Sale | 129 | 11.2600 EUR | ||||||
ORD | Sale | 292 | 11.2100 EUR | ||||||
ORD | Sale | 292 | 11.2325 EUR | ||||||
ORD | Sale | 292 | 11.2650 EUR | ||||||
ORD | Sale | 340 | 11.2800 EUR | ||||||
ORD | Sale | 530 | 11.2050 EUR | ||||||
ORD | Sale | 570 | 11.2053 EUR | ||||||
ORD | Sale | 680 | 11.1997 EUR | ||||||
ORD | Sale | 1,405 | 11.1865 EUR | ||||||
ORD | Sale | 3,319 | 11.2609 EUR | ||||||
ORD | Sale | 4,537 | 11.2200 EUR | ||||||
ORD | Sale | 5,613 | 11.1811 EUR | ||||||
ORD | Sale | 12,402 | 11.2318 EUR | ||||||
ORD | Sale | 20,885 | 11.2340 EUR | ||||||
ORD | Sale | 40,000 | 11.2074 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 | 5,613 | 11.1812 EUR | |||||
ORD | CFD | Long | 40,000 | 11.2074 EUR | |||||
ORD | SWAP | Short | 494 | 11.2261 EUR | |||||
ORD | CFD | Short | 3,627 | 11.2484 EUR | |||||
ORD | SWAP | Short | 4,531 | 11.2441 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: |
27 August 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 monitoring@disclosure.org.uk. 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.