Form 8.5 (EPT/NON-RI)- TUI AG

LONDON--()--

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 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:  

4 December 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: 1,350,357 0.47% 350,874 0.12%
           
(2) Derivatives (other than
options): 350,592 0.12% 1,242,740 0.43%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 1,700,949 0.59% 1,593,614 0.55%
           
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%

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 67 13.6850 EUR
ORD Purchase 200 13.7000 EUR
ORD Purchase 225 13.7286 EUR
ORD Purchase 286 13.9350 EUR
ORD Purchase 286 13.9755 EUR
ORD Purchase 377 13.7025 EUR
ORD Purchase 628 13.6617 EUR
ORD Purchase 781 13.7079 EUR
ORD Purchase 800 13.6711 EUR
ORD Purchase 1,074 13.9450 EUR
ORD Purchase 1,400 13.6450 EUR
ORD Purchase 1,543 13.7300 EUR
ORD Purchase 2,239 13.7303 EUR
ORD Purchase 2,980 13.7933 EUR
ORD Purchase 3,255 13.7857 EUR
ORD Purchase 10,000 13.8000 EUR
ORD Purchase 17,761 13.7705 EUR
ORD Purchase 22,171 13.7604 EUR
ORD Purchase 160,881 13.7843 EUR
ORD Sale 67 13.6850 EUR
ORD Sale 286 13.9350 EUR
ORD Sale 286 13.9755 EUR
ORD Sale 400 13.7000 EUR
ORD Sale 537 13.9450 EUR
ORD Sale 1,768 13.7300 EUR
ORD Sale 2,800 13.6450 EUR
ORD Sale 5,000 13.6500 EUR
ORD Sale 5,389 13.7054 EUR
ORD Sale 8,067 13.8095 EUR
ORD Sale 10,000 13.8000 EUR
ORD Sale 20,720 13.7926 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 2,644 13.7003 EUR
ORD SWAP Long 2,745 13.7105 EUR
ORD CFD Long 8,067 13.8095 EUR
ORD CFD Short 628 13.6617 EUR
ORD CFD Short 781 13.7096 EUR
ORD SWAP Short 800 13.6710 EUR
ORD CFD Short 160,881 13.7843 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:  

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 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.

Short Name: BARCLAYS PLC
Category Code: FEO
Sequence Number: 443581
Time of Receipt (offset from UTC): 20141205T111948+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC