Bank of America Merrill Lynch Form 8.5 (EPT/RI) (7960B)
April 06 2017 - 5:24AM
UK Regulatory
TIDMSHAW TIDMAMFW
RNS Number : 7960B
Bank of America Merrill Lynch
06 April 2017
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
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(b) Name of offeror/offeree in relation to whose Shawbrook Group PLC
relevant securities this form relates:
Use a separate form for each offeror/offeree
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(c) Name of the party to the offer with which exempt principal trader is connected: Shawbrook Group PLC
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(d) Date dealing undertaken: 05/04/2017
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(e) In addition to the company in 1(b) above, is the NO
exempt principal 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"
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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 security Purchases/ Total number of securities Highest price Lowest price
sales per unit per unit
paid/received paid/received
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00BWDPMF43 Purchase 67,681 3.42 GBP 3.39 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00BWDPMF43 Sale 63,910 3.414 GBP 3.389 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Cash-settled derivative transactions
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 Long 734 3.389 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 33 3.397 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 33 3.398 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,300 3.417 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 100 3.417 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,522 3.411 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,583 3.411 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 35 3.403 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 35 3.397 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 361 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 667 3.392 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 667 3.414 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 361 3.414 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions
(including options)
(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) Exercise
Class of relevant security Product description Exercising/ Number of Exercise Price per
e.g. call option exercised securities unit
against
--------------------------- -------------------- ------------ ------------ -------------------
N/A 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
--------------------------- ------------------------------- -------- -------------------------------
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"
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None
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(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
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Date of disclosure: 06/04/2017
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Contact name: Harshini Gopa
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Telephone number: +44207 996 3410
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Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information
Service.
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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