EPT Disclosure
February 01 2010 - 5:30AM
UK Regulatory
TIDMCBRY
RNS Number : 4384G
Spear, Leeds & Kellogg
01 February 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 which the | ADRs (1.00 : 4.00) |
| dealings being disclosed relate (Note 1) | |
+-----------------------------------------------+--------------------------------------------+
| Date of dealing | 29 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%) | 136 (0.00%) |
+------------------------------------------+--------------------------------+--------------------------------+
| (2) Derivatives (other than options) | 0 (0.00%) | 0 (0.00%) |
+------------------------------------------+--------------------------------+--------------------------------+
| (3) Options and agreements to | 0 (0.00%) | 0 (0.00%) |
| purchase/sell | | |
+------------------------------------------+--------------------------------+--------------------------------+
| Total | 0 (0.00%) | 136 (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 options) | 0 (0.00%) | 0 (0.00%) |
+------------------------------------------+--------------------------------+--------------------------------+
| (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) | | |
+-------------------------------------+----------------------------------+-------------------------------+
| 15,540 (62,160) | 53.41 USD | 53.02 USD |
+-------------------------------------+----------------------------------+-------------------------------+
+-------------------------------------+----------------------------------+--------------------------------+
| Total number of securities sold | Highest price received | Lowest price received |
| (no. of underlying ords if ADR) | | |
+-------------------------------------+----------------------------------+--------------------------------+
| 15,461 (61,844) | 53.41 USD | 53.02 USD |
+-------------------------------------+----------------------------------+--------------------------------+
(b) Derivatives transactions (other than options)
+----------------+----------------------+----------------------------+------------------------------------------+
| Product name, | Long/short (Note 5) | Number of securities (Note | Price per unit (Note 4) |
| e.g. CFD | | 6) | |
+----------------+----------------------+----------------------------+------------------------------------------+
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
+--------------------+-----------------+--------------+--------------+-----------+----------+--------------------+
| Product name, e.g. | Writing, | Number of | Exercise | Type, | Expiry | Option money |
| call option | selling, | securities | price | e.g. | date | paid/received per |
| | purchasing, | to which the | | American, | | unit (Note 4) |
| | varying etc. | option | | European | | |
| | | relates | | etc. | | |
| | | (Note 6) | | | | |
+--------------------+-----------------+--------------+--------------+-----------+----------+--------------------+
(ii) Exercising
+------------------------------+---------------------+----------------------------------------------------+
| Product name, e.g. call | Number of | Exercise price per unit (Note 4) |
| option | securities | |
+------------------------------+---------------------+----------------------------------------------------+
(d) Other dealings (including new securities) (Note 3)
+--------------------------------+---------------------+--------------------------------------+
| Nature of transaction (Note 7) | Details | Price per unit (if 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 | 01 February 2010 |
+-----------------------------------------------+-------------------------------------+
| Contact name | Peter Highton |
+-----------------------------------------------+-------------------------------------+
| Telephone number | +44-207-774-1935 |
+-----------------------------------------------+-------------------------------------+
| Name of offeree/offeror with which connected | CADBURY PLC |
+-----------------------------------------------+-------------------------------------+
| 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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