EPT Disclosure
February 01 2010 - 8:12AM
UK Regulatory
TIDMCBRY
RNS Number : 4600G
UBS Securities LLC
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 exempt principal trader | UBS Securities LLC |
+----------------------------------------------+----------------------------------------------------------------------+
| Company dealt in | Cadbury PLC (ISIN US12721E1029) |
+----------------------------------------------+----------------------------------------------------------------------+
| Class of relevant security to which the | |
| dealings being disclosed relate (Note 1) | Ordinary shares dealt in ADR form |
| | |
| | ADR (1 ADR = 4 Ords) |
| | |
+----------------------------------------------+----------------------------------------------------------------------+
| Date of dealing | 29 Jan 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 purchase/sell | 0 Ords | | 142000 Ords | |
| | (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 relevant security: | Long | Short |
| | | |
+----------------------------------------------+--------------------------------+-----------------------------------+
| | Number | Number |
| | (%) | (%) |
+----------------------------------------------+--------------------------------+-----------------------------------+
| (1) Relevant securities | | |
| | | |
+----------------------------------------------+--------------------------------+-----------------------------------+
| (2) Derivatives (other | | |
| than options) | | |
| | | |
+----------------------------------------------+--------------------------------+-----------------------------------+
| (3) Options and agreements | | |
| to purchase/sell | | |
| | | |
+----------------------------------------------+--------------------------------+-----------------------------------+
| Total | | |
| | | |
+----------------------------------------------+--------------------------------+-----------------------------------+
(c) Rights to
subscribe (Note 2)
+----------------------------------------------+----------------------------------------------------------------------+
| Class of relevant security: | Details |
| | |
+----------------------------------------------+----------------------------------------------------------------------+
| | |
+----------------------------------------------+----------------------------------------------------------------------+
3. DEALINGS (Note 3)
(a) Purchases and sales
Derivatives transactions (other than options)
+--------------------+------------------------+-----------------------------------+-------------------------------+
| Product name, | Long/short (Note 5) | Number of securities (Note 6) | Price per unit (Note 4) |
| e.g. CFD | | | |
+--------------------+------------------------+-----------------------------------+-------------------------------+
| | | | |
| | | | |
+--------------------+------------------------+-----------------------------------+-------------------------------+
Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
(ii) Exercising
+--------------------------------------+------------------------------------+---------------------------------------+
| Product name, e.g. call option | Number of securities | Exercise price per unit (Note 4) |
| | | |
+--------------------------------------+------------------------------------+---------------------------------------+
| | | |
| | | |
+--------------------------------------+------------------------------------+---------------------------------------+
(d) Other dealings (including new securities) (Note 3)
+--------------------------------------+------------------------------------+---------------------------------------+
| Nature of transaction (Note 7) | Details | Price per unit (if 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 disclosure | 01 Feb 2010 |
+------------------------------------------------------------------+--------------------------------------------------+
| Contact name | Richard 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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