UBS AG (EPT) Form 8.5 (EPT/RI) - Shaftesbury (6960R)
02 Mars 2023 - 12:13PM
UK Regulatory
TIDMSHB
RNS Number : 6960R
UBS AG (EPT)
02 March 2023
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 Shaftesbury Plc
form relates:
Use a separate form for each offeror/offeree
---------------------------------------
(c) Name of the party to the offer with which exempt principal trader is Shaftesbury Plc
connected:
---------------------------------------
(d) Date dealing undertaken: 01 March 2023
---------------------------------------
(e) In addition to the company in 1(b) above, is the exempt principal trader NO
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
25p ordinary Buy 123940 4.11400 GBP 4.01721 GBP
----------------- ------------------------ ----------------------- -----------------------
25p ordinary Sell 22453 4.18054 GBP 4.00481 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
25p ordinary CFD Long 784 4.04346173596939 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 274 4.105 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 795 4.04294088176101 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 1297 4.025271 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 1005 4.004816 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 2112 4.0381 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 1291 4.04463206816421 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 64 4.042531265625 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Long 4 4.03 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 10527 4.0332 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 2374 4.075117 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 14728 4.035543 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 2259 4.063015 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 384 4.062208 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 6945 4.022 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 2056 4.039467 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 7938 4.01721801 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 63841 4.04642434 GBP
-------------------- ----------------------- ----------------------- ---------------------
25p ordinary CFD Short 4000 4.059585 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: 02 March 2023
Contact name: Richard Howard
--------------------
Telephone number: +44 (0)207 568 9128
--------------------
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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