REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - TUI AG <Origin Href="QuoteRef">BARC.L</Origin> <Origin Href="QuoteRef">TUIGn.DE</Origin>
10/12/2014 11:32
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LONDON--(Business Wire)--
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE
RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: BARCLAYS CAPITAL SECURITIES LTD
(b) Name of offeror/offeree in relation to whose TUI AG
relevant securities this form relates:
(c) Name of the party to the offer with which exempt TUI TRAVEL PLC
principal trader is connected
(d) Date position held/dealing undertaken: 9 December 2014
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect TUI TRAVEL PLC
of any other party to this offer?
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(a) Interests and short positions in the relevant securities of the offeror or
offeree to which the disclosure relates following the dealing (if any)
Class of relevant security: ORD
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 2,239,752 0.77% 422,632 0.15%
(2) Derivatives (other than
options): 422,207 0.15% 2,151,420 0.74%
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
TOTAL: 2,661,959 0.92% 2,574,052 0.89%
Class of relevant security: Convertible Bond DE000TUAG158
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 2,868 0.00% 0 0.00%
(2) Derivatives (other than
options): 0 0.00% 0 0.00%
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
TOTAL: 2,868 0.00% 0 0.00%
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, or agreements to purchase or
sell relevant securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe for new securities (including directors` and other
executive options)
Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:
If there are positions or rights to subscribe to disclose in more than one class
of relevant securities of the offeror or offeree named in 1(b), copy table 2(a)
or (b) (as appropriate) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant Purchase/sale Number of Price per unit
security securities
ORD Purchase 48 13.5750 EUR
ORD Purchase 300 13.6350 EUR
ORD Purchase 303 13.6800 EUR
ORD Purchase 1,683 13.5477 EUR
ORD Purchase 1,705 13.8359 EUR
ORD Purchase 2,162 13.5541 EUR
ORD Purchase 2,190 13.5601 EUR
ORD Purchase 34,131 13.7563 EUR
ORD Purchase 160,881 13.6619 EUR
ORD Sale 38 13.6050 EUR
ORD Sale 99 13.5100 EUR
ORD Sale 358 13.5305 EUR
ORD Sale 478 13.5750 EUR
ORD Sale 735 13.5623 EUR
ORD Sale 998 13.5740 EUR
ORD Sale 1,025 13.5682 EUR
ORD Sale 1,372 13.6569 EUR
ORD Sale 3,154 13.6359 EUR
ORD Sale 6,028 13.6749 EUR
(b) Derivatives transactions (other than options)
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD CFD Long 143 13.7988 EUR
ORD SWAP Long 1,300 13.5686 EUR
ORD SWAP Long 1,362 13.6197 EUR
ORD SWAP Long 1,372 13.6569 EUR
ORD CFD Long 3,154 13.6359 EUR
ORD CFD Long 4,523 13.6855 EUR
ORD CFD Short 1,683 13.5477 EUR
ORD CFD Short 1,705 13.8375 EUR
ORD CFD Short 34,131 13.7563 EUR
ORD CFD Short 160,881 13.6619 EUR
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of relevant security Product description e.g. call option Writing, purchasing, selling, varying etc. Number of securities to which option relates Exercise price per unit Type Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
e.g. call option
(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
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 3(a), (b), (c) or (d) (as
appropriate) for each additional class of relevant security dealt in.
4. 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
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: 10 Dec 2014
Contact name: Sushil Vashisht
Telephone number: 020 7773 0744
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.
BARCLAYS PLC
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