UBS AG (EPT) Form 8.5 (EPT/RI) -London Stock Exchange Group plc (1514P)
October 08 2019 - 6:09AM
UK Regulatory
TIDMTTM TIDMLSE
RNS Number : 1514P
UBS AG (EPT)
08 October 2019
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: UBS Investment Bank, London
(b) Name of offeror/offeree in relation to whose relevant securities London Stock Exchange Group plc
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 Hong Kong Exchanges and Clearing Limited
connected:
-------------------------------------------
(d) Date dealing undertaken: 07 October 2019
-------------------------------------------
(e) In addition to the company in 1(b) above, is the exempt principal No
trader making disclosures
in respect of any other party to this offer?
If it is a cash offer or possible cash offer, state "N/A"
-------------------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
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.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and sales
Class of relevant Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
6 79/86 p ordinary Buy 100638 74.90000 GBP 73.67000 GBP
----------------- ------------------------ ----------------------- -----------------------
6 79/86 p ordinary Sell 103667 74.90000 GBP 73.67000 GBP
----------------- ------------------------ ----------------------- -----------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
6 79/86 p ordinary CFD Long 22 74.2827 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 1794 74.306151 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 4810 74.375959 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 200 74.49 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 171 74.455146 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 15970 74.52 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 125 74.5856 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 1674 74.736045 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 47 74.0 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 456 74.109474 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Long 1510 73.946063 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 286 74.52 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 5426 74.026086 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 2532 74.083668 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 35 74.49 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 268 74.453206 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 7353 74.37801249
GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 125 74.0 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 100 73.94 GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 3230 74.38252379
GBP
-------------------- ------------------------- ------------------------- ---------------
6 79/86 p ordinary CFD Short 132 74.52447 GBP
-------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
(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
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:
Irrevocable commitments and letters of intent should not be included. 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: 08 October 2019
Contact name: Wendy Dent
--------------------
Telephone number: +44 (0)207 568 1245
--------------------
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 news service of the
London Stock Exchange. RNS is approved by the Financial Conduct
Authority to act as a Primary Information Provider in the United
Kingdom. Terms and conditions relating to the use and distribution
of this information may apply. For further information, please
contact rns@lseg.com or visit www.rns.com.
END
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