Form 8.3 - Deutsche Boerse AG

LONDON--()--

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser:   Deka Investment GmbH
(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

-
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

Deutsche Boerse AG

(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:  
(e) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

16 June 2016
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES

If YES, specify which:

Intercontinental Exchange, Inc. & London Stock Exchange Group Plc

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(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:   Deutsche Boerse AG (DE0005810055)

 

Interests   Short positions
Number   % Number   %
(1) Relevant securities owned and/or controlled: 2.389.132 1.24    
(2) Cash-settled derivatives:        
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 15.940 0,0083    

TOTAL:

2.405.072 1.25    

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), 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 employee options)

Class of relevant security in relation to which subscription right exists:  
Details, including nature of the rights concerned and relevant percentages:  

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(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   Purchase/sale   Number of securities   Price per unit
Deutsche Boerse AG Ord. Shares (DE0005810055) SELL 4276 72,80 EUR

(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

(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)

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 person 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 person 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?  

YES

Date of disclosure:   17 June 2016
Contact name: Dirk Kaltschnee
Telephone number: +49697147-3625

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 disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Full name of person making disclosure:   Deka Investment GmbH
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: Deutsche Börse AG Ord. Shares

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security   Product description e.g. call option   Written or purchased   Number of securities to which option or derivative relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date / Trade Date
Deutsche Börse AG Ord. Shares (DE0005810055) Equity Linked Bond (DE000DK0B7R5)

 

 

Equity Linked Bond (DE000LB04RF5)

 

 

 

 

Equity Linked Bond (DE000LB04RF5)

 

 

Equity Linked Bond (DE000DK0F9R7)

Purchased

 

 

 

 

 

Purchased

 

 

 

 

 

 

 

Purchased

 

 

 

 

 

Purchased

4611

 

 

 

 

 

5312

 

 

 

 

 

 

 

2974

 

 

 

 

 

3043

43.52 EUR

 

 

 

 

100

 

 

 

 

 

 

 

83.60 EUR

 

 

 

 

66.10 EUR

Europe an

 

 

 

Europe an

 

 

 

 

 

 

European

 

 

 

 

European

03 November 2017 / 29 October 2014

 

 

 

 

 

 

 

 

 

26 August 2016 / 05 August 2015

 

 

 

18 November 2016 / 12 November 2015

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s 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: Deka Investment
Category Code: RET
Sequence Number: 532540
Time of Receipt (offset from UTC): 20160617T130423+0100

Contacts

Deka Investment GmbH

Contacts

Deka Investment GmbH