Bank of America Merrill Lynch Form 8.5 (EPT/NON-RI) (1404Y)
September 04 2015 - 6:57AM
UK Regulatory
TIDMRDSA
RNS Number : 1404Y
Bank of America Merrill Lynch
04 September 2015
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: MERRILL LYNCH, PIERCE, FENNER
& SMITH INCORPORATED
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(b) Name of offeror/offeree in relation to whose Royal Dutch Shell 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: Royal Dutch Shell PLC
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(d) Date position held/dealing undertaken: 03/09/2015
For an opening position disclosure, state the latest
practicable date prior to the disclosure
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(e) In addition to the company in 1(b) above, is the YES
exempt principal trader making disclosures in If YES, specify which:
respect of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
(BG Group PLC)
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2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
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.
(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: Common - GB00B03MLX29
------------------------------------- -------------------------------------
Interests Short Positions
------------------------------------- ----------------- ------------------
Number % Number %
------------------------------------- -------- ------- ------------ ----
(1) Relevant securities owned
and/or controlled: 144,834 0.004% 4,600 0%
------------------------------------- -------- ------- ------------ ----
(2) Cash-settled derivatives: 0 0% 0 0%
------------------------------------- -------- ------- ------------ ----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell: 0 0% 0 0%
------------------------------------- -------- ------- ------------ ----
TOTAL: 144,834 0.004% 4,600 0%
------------------------------------- -------- ------- ------------ ----
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions
(including traded options), 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 employee
options)
Class of relevant security in relation to N/A
which subscription right exists:
------------------------------------------
Details, including nature of the rights N/A
concerned and relevant percentages:
------------------------------------------ ----
3. DEALINGS (IF ANY) 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 3(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
--------------------------- ----------- --------------------------- --------------- ---------------
ADR - ISIN US7802592060 Sale 1,100 50.9 USD 50.725 USD
--------------------------- ----------- --------------------------- --------------- ---------------
ADR - ISIN US7802591070 Purchase 2,558 50.79 USD 50.79 USD
--------------------------- ----------- --------------------------- --------------- ---------------
ADR - ISIN US7802591070 Sale 2,558 50.79 USD 50.79 USD
--------------------------- ----------- --------------------------- --------------- ---------------
(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
------------------------ -------------------- ------------------------- -------------------------- ---------------
ADR - ISIN US7802592060 Swaps Long 500 50.9 USD
------------------------ -------------------- ------------------------- -------------------------- ---------------
(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
--------------------------- ------------------------------- -------- -------------------------------
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:
Irrevocable commitments and letters of intent should not be included. If there are no such
agreements, arrangements or understandings, state "none"
----------------------------------------------------------------------------------------------
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"
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