EPT Disclosure
January 29 2010 - 11:48AM
UK Regulatory
TIDMCBRY
RNS Number : 3914G
UBS Securities LLC
29 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 | UBS |
| exempt | Securities |
| principal | LLC |
| trader | |
+--------------+---------------+
| Company | Cadbury |
| dealt in | PLC |
| | (ISIN |
| | US12721E1029) |
+--------------+---------------+
| Class of | Ordinary |
| relevant | shares |
| security | dealt in |
| to which | ADR form |
| the | ADR (1 |
| dealings | ADR = 4 |
| being | Ords) |
| disclosed | |
| relate (Note | |
| 1) | |
+--------------+---------------+
| Date of | 28 Jan |
| dealing | 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 2)
+-------------------------------------+-------------+-------------+-----------------+----------+
| | Long | Short |
| | | |
+-------------------------------------+---------------------------+----------------------------+
| | Number | (%) | Number | (%) |
+-------------------------------------+-------------+-------------+-----------------+----------+
| (1) Relevant securities |140228 Ords | | 0 Ords | |
| |(equivalent | | (equivalent to | |
| | to | | 0 ADRs) | |
| |35057 ADRs) | | | |
+-------------------------------------+-------------+-------------+-----------------+----------+
| (2) Derivatives (other than | - | - | - | - |
| options) | | | | |
+-------------------------------------+-------------+-------------+-----------------+----------+
| (3) Options and agreements to | 0 Ords | | 142000 Ords | |
| purchase/sell |(equivalent | | (equivalent to | |
| | to | | 35500 | |
| | 0 | | ADRs) | |
| | ADRs) | | | |
| | | | | |
+-------------------------------------+-------------+-------------+-----------------+----------+
| Total |140228 Ords | | 142000 Ords | |
| |(equivalent | | (equivalent to | |
| | to | | 35500 | |
| |35057 ADRs) | | ADRs) | |
+-------------------------------------+-------------+-------------+-----------------+----------+
(b) Interests and short positions in
relevant securities of the company, other
than the class dealt in (Note 2)
+---------------+----------+----------+
| Class of | Long | Short |
| relevant | | |
| security: | | |
| | | |
+---------------+----------+----------+
| | Number | Number |
| | (%) | (%) |
+---------------+----------+----------+
| (1) | | |
| Relevant | | |
| securities | | |
| | | |
+---------------+----------+----------+
| (2) | | |
| Derivatives | | |
| (other than | | |
| options) | | |
| | | |
+---------------+----------+----------+
| (3) | | |
| Options | | |
| and | | |
| agreements | | |
| to | | |
|purchase/sell | | |
| | | |
+---------------+----------+----------+
| Total | | |
| | | |
+---------------+----------+----------+
* Rights to subscribe (Note 2)
+-----------+----------+
| Class of | Details |
| relevant | |
| security: | |
| | |
+-----------+----------+
| | |
+-----------+----------+
3. DEALINGS (Note 3)
* Purchases and sales
Derivatives transactions (other than options)
+----------+------------+------------+----------+
| Product | Long/short | Number | Price |
| name, | (Note 5) | of | per unit |
| e.g. CFD | | securities | (Note 4) |
| | | (Note 6) | |
+----------+------------+------------+----------+
| | | | |
+----------+------------+------------+----------+
Options transactions in respect of existing securities
217 (equivalent to 21700 ADRs, 86800 Ords) call contracts (March 2010) with a
strike price of $50 (USD) were exercised into 21700 ADRs, 86800 Ords
(i) Writing, selling, purchasing or varying
(ii) Exercising
+----------+------------+----------+
| Product | Number | Exercise |
| name, | of | price |
| e.g. | securities | per unit |
| call | | (Note 4) |
| option | | |
+----------+------------+----------+
| | | |
+----------+------------+----------+
(d) Other dealings (including new securities) (Note 3)
+-------------+----------+-------------------+
| Nature | Details | Price |
| of | | per unit |
| transaction | | (if |
| (Note 7) | | applicable) (Note |
| | | 4) |
+-------------+----------+-------------------+
| | | |
+-------------+----------+-------------------+
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)YES/NO
+------------+----------+
| Date of | 29 Jan |
| disclosure | 2010 |
+------------+----------+
| Contact | Richard |
| name | Mulcahy |
+------------+----------+
Notes
The Notes on Form 38.5(b) can be viewed on the Takeover Panel's website at
www.thetakeoverpanel.org.uk
SUPPLEMENTAL FORM 38.5(b)
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 38.5(b))
+--------+-----------+--------+---------+----------+-------+-------------+-----+
| | | | | | | | |
+--------+-----------+--------+---------+----------+-------+-------------+-----+
| Put |Purchased | 35500 | 142000 | 50.00 | Amer |20-Mar-2010 |USD |
+--------+-----------+--------+---------+----------+-------+-------------+-----+
This information is provided by RNS
The company news service from the London Stock Exchange
END
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