EPT Disclosure
January 28 2010 - 6:19AM
UK Regulatory
TIDMCBRY
RNS Number : 2728G
Spear, Leeds & Kellogg
28 January 2010
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS
WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RI STATUS
BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
(Rule 38.5(b) of the Takeover Code)
1. KEY INFORMATION
+------------------------------------+---------------------------------+
| Name of person dealing (Note 1) | Spear Leeds & Kellogg |
| | Specialists, LLC |
| | |
+------------------------------------+---------------------------------+
| Company dealt in | CADBURY PLC |
| | |
+------------------------------------+---------------------------------+
| Class of relevant security to | ADRs (1.00 : 4.00) |
| which the dealings being disclosed | |
| relate (Note 1) | |
| | |
+------------------------------------+---------------------------------+
| Date of dealing | 27 January 2010 |
+------------------------------------+---------------------------------+
2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
(a) Interests and short positions (following dealing) in the class of
relevant security dealt in (Note 3)
+--------------------------------+-------------------------+-------------------------+
| | Long | Short |
+--------------------------------+-------------------------+-------------------------+
| | Number (%) | Number (%) |
+--------------------------------+-------------------------+-------------------------+
| (1) Relevant securities | 0 (0.00%) | 1684 (0.00%) |
+--------------------------------+-------------------------+-------------------------+
| (2) Derivatives (other than | 0 (0.00%) | 0 (0.00%) |
| options) | | |
+--------------------------------+-------------------------+-------------------------+
| (3) Options and agreements to | 0 (0.00%) | 0 (0.00%) |
| purchase/sell | | |
+--------------------------------+-------------------------+-------------------------+
| Total | 0 (0.00%) | 1684 (0.00%) |
+--------------------------------+-------------------------+-------------------------+
(b) Interests and short positions in relevant securities of the company,
other than the class dealt in (Note 3)
+--------------------------------+-------------------------+-------------------------+
| Class of relevant security: | Long | Short |
+--------------------------------+-------------------------+-------------------------+
| | Number (%) | Number (%) |
+--------------------------------+-------------------------+-------------------------+
| (1) Relevant securities | 0 (0.00%) | 0 (0.00%) |
+--------------------------------+-------------------------+-------------------------+
| (2) Derivatives (other than | 0 (0.00%) | 0 (0.00%) |
| options) | | |
+--------------------------------+-------------------------+-------------------------+
| (3) Options and agreements to | 0 (0.00%) | 0 (0.00%) |
| purchase/sell | | |
+--------------------------------+-------------------------+-------------------------+
| Total | 0 (0.00%) | 0 (0.00%) |
+--------------------------------+-------------------------+-------------------------+
(c) Rights to subscribe (Note 3)
+------------------------------------+-----------------------------+
| Class of relevant security: | Details |
+------------------------------------+-----------------------------+
| | |
+------------------------------------+-----------------------------+
3. DEALINGS (Note 3)
(a) Purchases and sales
+----------------------------+--------------------------+------------------------+
| Total number of securities | Highest price paid | Lowest price paid |
| purchased | | |
| (no. of underlying ords if | | |
| ADR) | | |
+----------------------------+--------------------------+------------------------+
| 29,787 (119,148) | 53.94 USD | 53.41 USD |
+----------------------------+--------------------------+------------------------+
+----------------------------+--------------------------+------------------------+
| Total number of securities | Highest price received | Lowest price received |
| sold | | |
| (no. of underlying ords if | | |
| ADR) | | |
+----------------------------+--------------------------+------------------------+
| 29,980 (119,920) | 53.95 USD | 53.43 USD |
+----------------------------+--------------------------+------------------------+
(b) Derivatives transactions (other than options)
+------------+-----------------+----------------------+--------------------------------+
| Product | Long/short | Number of securities | Price per unit (Note 4) |
| name, e.g. | (Note 5) | (Note 6) | |
| CFD | | | |
+------------+-----------------+----------------------+--------------------------------+
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
+----------------+-------------+------------+-----------+-----------+--------+---------------+
| Product name, | Writing, | Number of | Exercise | Type, | Expiry | Option money |
| e.g. call | selling, | securities | price | e.g. | date | paid/received |
| option | purchasing, | to which | | American, | | per unit |
| | varying | the option | | European | | (Note 4) |
| | etc. | relates | | etc. | | |
| | | (Note 6) | | | | |
+----------------+-------------+------------+-----------+-----------+--------+---------------+
(ii) Exercising
+-----------------------+----------------+----------------------------------------+
| Product name, e.g. | Number of | Exercise price per unit (Note 4) |
| call option | securities | |
+-----------------------+----------------+----------------------------------------+
(d) Other dealings (including new securities) (Note 3)
+-------------------------+----------------+-----------------------------+
| Nature of transaction | Details | Price per unit (if |
| (Note 7) | | applicable) |
+-------------------------+----------------+-----------------------------+
4. OTHER INFORMATION
Agreements, arrangements or understandings relating to options or derivatives
+----------------------------------------------------------------------------------+
| Full details of any agreement, arrangement or understanding between the person |
| disclosing and any other person relating to the voting rights of any relevant |
| securities under any option referred to on this form or relating to the voting |
| rights or future acquisition or disposal of any relevant securities to which any |
| derivative referred to on this form is referenced. If none, this should be |
| stated. |
+----------------------------------------------------------------------------------+
| |
+----------------------------------------------------------------------------------+
Is a Supplemental Form 38.5(b) attached? (Note 8)
NO
+------------------------------------+----------------------------+
| Date of disclosure | 28 January 2010 |
| | |
+------------------------------------+----------------------------+
| Contact name | Peter Highton |
| | |
+------------------------------------+----------------------------+
| Telephone number | +44-207-774-1935 |
| | |
+------------------------------------+----------------------------+
| Name of offeree/offeror with which | CADBURY PLC |
| connected | |
+------------------------------------+----------------------------+
| Nature of connection (Note 9) | Advisor & Corporate |
| | Broker |
+------------------------------------+----------------------------+
Notes
The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at
www.thetakeoverpanel.org.uk
This information is provided by RNS
The company news service from the London Stock Exchange
END
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