Bank of America Merrill Lynch Form 8.5 (EPT/RI) (4899N)
July 28 2014 - 7:20AM
UK Regulatory
TIDMCLLN
RNS Number : 4899N
Bank of America Merrill Lynch
28 July 2014
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH
RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING
CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: Bank of America Merrill Lynch
------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose Carillion PLC
relevant securities this form relates:
Use a separate form for each offeror/offeree
------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: Balfour Beatty PLC
------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 25/07/2014
------------------------------------------------------------------------------------- ------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect of
any other party to this offer?
------------------------------------------------------------------------------------- ------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security Purchases/ Total number of securities Highest price Lowest price
sales per unit per unit
paid/received paid/received
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB0007365546 Purchase 825,989 3.842 GBP 3.554 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB0007365546 Sale 867,191 3.862 GBP 3.596 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Derivatives transactions (other than
options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 10,648 3.727 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 619 3.63 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 6,375 3.701 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 6,375 3.683 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 2,500 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 25,256 3.692 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 5,291 3.692 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 3,360 3.717 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,156 3.68 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 390 3.692 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,225 3.697 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 390 3.658 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 387 3.692 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 331 3.664 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 870 3.704 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 331 3.692 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 25,035 3.624 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 2,351 3.692 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 2,413 3.624 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 221 3.652 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 3,360 3.717 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 3,360 3.767 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 904 3.767 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 18 3.728 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 9 3.748 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 5 3.713 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 8 3.738 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1 3.713 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1 3.735 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 8 3.735 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 5 3.728 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 9 3.749 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 18 3.713 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,427 3.759 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 12,138 3.759 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 24,650 3.759 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 16,193 3.759 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 6,150 3.759 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 27,197 3.759 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 60,803 3.664 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 5,549 3.759 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 19,618 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 887 3.682 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 14,192 3.637 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 6,349 3.627 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 20,281 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 591 3.605 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 941 3.554 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 330 3.726 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 400 3.726 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 32,322 3.6 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 5,856 3.601 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 4,630 3.721 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 12,625 3.721 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 10,000 3.596 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 2,384 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 2,849 3.721 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 3,595 3.721 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 816 3.752 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 29,184 3.752 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 863 3.627 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 2,224 3.721 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 1,452 3.601 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 1,764 3.601 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 12,307 3.601 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 9,184 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 722 3.602 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 16 3.602 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 215 3.602 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 222 3.602 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,455 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 3,105 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 6,804 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1 3.628 GBP
GB0007365546
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Options transactions in respect of existing
securities
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry date Option money
of description purchasing, of price e.g. paid/
relevant e.g. call selling, securities to per unit American, received per
security option varying etc. which option European etc. unit
relates
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
N/A N/A N/A N/A N/A N/A N/A N/A
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
(ii) Exercising
Class of relevant security Product description Number of Exercise Price per
e.g. call option securities unit
--------------------------- -------------------- ------------ -------------------
N/A N/A N/A N/A
--------------------------- -------------------- ------------ -------------------
(d) Other dealings (including subscribing
for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
--------------------------- ------------------------------- -------- -------------------------------
N/A N/A N/A N/A
--------------------------- ------------------------------- -------- -------------------------------
The currency of all prices and other monetary amounts should be
stated.
Where there have been dealings in more than one class of
relevant securities of the offeror or offeree named in 1(b), copy
table 2(a), (b), (c) or (d) (as appropriate) for each additional
class
of relevant security dealt in.
3. 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 exempt principal trader making the disclosure
and any party to the offer or any person acting in concert with a party to the offer:
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 exempt
principal trader 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
-----------------------------------------------------------------------------------------------
Date of disclosure: 28/07/2014
--------------------- --------------
Contact name: Stacy Otieno
--------------------- --------------
Telephone number: 0207 995 1335
--------------------- --------------
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
dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the 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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