REG - UBS AG (EPT) Hong Kong Exc.& Clrg LondonStockExGroup - Form 8.5 (EPT/RI) -London Stock Exchange Group plc

Hong Kong Exchanges and ClearingAnnouncement

08/10/2019 11:10

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 this form relates:
     Use a separate form for each offeror/offeree


            London Stock Exchange Group plc




(c) Name of the party to the offer with which exempt principal trader is connected:


Hong Kong Exchanges and Clearing Limited         
 




(d) Date dealing undertaken:


            07 October 2019




(e) In addition to the company in 1(b) above, is the 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"


No



 
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/ sales
 


Total number of securities


Highest price per unit paid/received


Lowest price per unit 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 security


Product description
e.g. CFD


Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a long/short position


Number of reference securities


Price per unit




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 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
e.g. American, European etc.


Expiry date


Option money paid/ received per unit





































 
(ii)        Exercise
 



Class of relevant security


Product description
e.g. call option


Exercising/ exercised against


Number of securities


Exercise price per unit




















 
 



 
(d)        Other dealings (including subscribing for new securities)
 



Class of relevant security


Nature of dealing
e.g. subscription, conversion


Details


Price per unit (if applicable)








 
 











 
 
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.




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