UBS Asset Management Form 8.3 - London Stock Exchange Group PLC (2105Q)
November 25 2016 - 8:46AM
UK Regulatory
TIDMLSE
RNS Number : 2105Q
UBS Asset Management
25 November 2016
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1%
OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: UBS Asset Management
*
------------------------------------ -----------------------
(b) Owner or controller
of interests and short positions
disclosed, if different
from 1(a):
The naming of nominee or
vehicle companies is insufficient.
For a trust, the trustee(s),
settlor and beneficiaries
must be named.
------------------------------------ -----------------------
(c) Name of offeror/offeree London Stock Exchange
in relation to whose relevant Group PLC
securities this form relates:
Use a separate form for
each offeror/offeree
------------------------------------ -----------------------
(d) If an exempt fund manager London Stock Exchange
connected with an offeror/offeree, Group PLC
state this and specify identity connected to UBS
of offeror/offeree:
------------------------------------ -----------------------
(e) Date position held/dealing 24 Nov 2016
undertaken: (In addition, UBS
For an opening position Asset Management
disclosure, state the latest has dealt on previous
practicable date prior to dates during the
the disclosure offer period as
attached at the
end of this form.)
------------------------------------ -----------------------
(f) In addition to the company YES
in 1(c) above, is the discloser Deutsche Boerse
making disclosures in respect AG
of any other party to the
offer?
If it is a cash offer or
possible cash offer, state
"N/A"
------------------------------------ -----------------------
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
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(c), 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 LONDON STOCK EXCH ORD GBP0.06918604
security:
--------------------------- ------------------------------------------------
Interests Short positions
--------------------------- ----------------------- -----------------------
Number % Number %
--------------------------- -------------- ------- -------------- -------
(1) Relevant securities
owned and/or controlled: 3,060,866 0.87 0 0.00
--------------------------- -------------- ------- -------------- -------
(2) Cash-settled
derivatives: 730,703 0.21 0 0.00
--------------------------- -------------- ------- -------------- -------
(3) Stock-settled
derivatives (including
options) and agreements
to purchase/sell: 0 0.00 0 0.00
--------------------------- -------------- ------- -------------- -------
TOTAL: 3,791,569 1.08 0 0.00
--------------------------- -------------- ------- -------------- -------
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 which
subscription right
exists:
---------------------------
Details, including
nature of the rights
concerned and relevant
percentages:
---------------------------
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of
relevant securities of the offeror or offeree named in 1(c), 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 Purchase/sale Number of Price per
relevant securities unit
security
----------- ---------------- -------------- -------------
Ordinary PURCHASE 443 28.400000
Shares GBP
----------- ---------------- -------------- -------------
TOTAL PURCHASE 443
---------------------------- -------------- -------------
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number Price
relevant description e.g. opening/closing of reference per unit
security e.g. CFD a long/short securities
position, increasing/reducing
a long/short
position
---------- ------------- ------------------------------- -------------- ----------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of securities price e.g. date money
relevant e.g. selling, to which per American, paid/
security call varying etc. option unit European received
option relates etc. per
unit
---------- ------------- -------------- --------------- --------- ----------- ------- ----------
(ii) Exercise
Class of Product description Exercising/ Number of Exercise
relevant e.g. call exercised securities price
security option against per unit
---------- -------------------- ------------ ------------ ----------
(d) Other dealings (including subscribing for new securities)
Class of Nature of dealing Details Price per
relevant e.g. subscription, unit (if
security conversion applicable)
---------- -------------------- -------- -------------
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 person 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"
------------------------------------------------
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or
understanding, formal or informal, between
the person 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"
--------------------------------------------------
(c) Attachments
Is a Supplemental Form 8 (Open Positions) NO
attached?
------------------------------------------ ---
Date of disclosure: 25/11/2016
--------------------- ------------------
Contact name: Mr James Mortimer
--------------------- ------------------
Telephone number: +44 20 7901 5828
--------------------- ------------------
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.
* this report is on behalf of:
UBS AG (UBS Asset Management operating in Switzerland)
UBS Asset Management (Americas) Inc.
UBS Asset Management (Australia) Ltd
UBS Asset Management (Hong Kong) Limited
UBS Asset Management (Singapore) Ltd
UBS Asset Management (Taiwan) Ltd
UBS Asset Management (UK) Ltd
UBS Asset Management France SA
SUPPLEMENTAL FORM FOR PURCHASES AND SALES (INCLUDING CASH
SETTLED DERIVATIVE TRANSACTIONS) DEALT DURING PERIOD 14 OCTOBER
2016 - 23 NOVEMBER 2016.
(a) Purchases and sales
Trade Class of Purchase/sale Number Price per
Date relevant of securities unit
security
----------- ---------- -------------- --------------- -------------
14/10/2016 Ordinary SALE 161816 28.319996
Shares GBP
----------- ---------- -------------- --------------- -------------
18/10/2016 Ordinary SALE 53 28.560000
Shares GBP
----------- ---------- -------------- --------------- -------------
20/10/2016 Ordinary PURCHASE 3176 28.42000
Shares GBP
----------- ---------- -------------- --------------- -------------
20/10/2016 Ordinary SALE 73421 28.29330
Shares GBP
----------- ---------- -------------- --------------- -------------
24/10/2016 Ordinary SALE 17 28.900000
Shares GBP
----------- ---------- -------------- --------------- -------------
26/10/2016 Ordinary PURCHASE 428 28.680000
Shares GBP
----------- ---------- -------------- --------------- -------------
26/10/2016 Ordinary SALE 1871 28.680000
Shares GBP
----------- ---------- -------------- --------------- -------------
28/10/2016 Ordinary PURCHASE 472 28.320000
Shares GBP
----------- ---------- -------------- --------------- -------------
31/10/2016 Ordinary PURCHASE 15461 28.100000
Shares GBP
----------- ---------- -------------- --------------- -------------
31/10/2016 Ordinary SALE 4803 28.100000
Shares GBP
----------- ---------- -------------- --------------- -------------
01/11/2016 Ordinary PURCHASE 561 28.150000
Shares GBP
----------- ---------- -------------- --------------- -------------
01/11/2016 Ordinary SALE 11 28.060000
Shares GBP
----------- ---------- -------------- --------------- -------------
01/11/2016 Ordinary SALE 1384 28.150000
Shares GBP
----------- ---------- -------------- --------------- -------------
02/11/2016 Ordinary SALE 4 27.830000
Shares GBP
----------- ---------- -------------- --------------- -------------
02/11/2016 Ordinary SALE 3309 27.880000
Shares GBP
----------- ---------- -------------- --------------- -------------
03/11/2016 Ordinary SALE 8 27.820000
Shares GBP
----------- ---------- -------------- --------------- -------------
04/11/2016 Ordinary SALE 2015 27.070000
Shares GBP
----------- ---------- -------------- --------------- -------------
09/11/2016 Ordinary PURCHASE 1087 27.890000
Shares GBP
----------- ---------- -------------- --------------- -------------
10/11/2016 Ordinary PURCHASE 5394 28.630000
Shares GBP
----------- ---------- -------------- --------------- -------------
11/11/2016 Ordinary PURCHASE 417 28.020000
Shares GBP
----------- ---------- -------------- --------------- -------------
11/11/2016 Ordinary SALE 187 28.350000
Shares GBP
----------- ---------- -------------- --------------- -------------
16/11/2016 Ordinary PURCHASE 1734 28.290000
Shares GBP
----------- ---------- -------------- --------------- -------------
18/11/2016 Ordinary SALE 1836 28.760000
Shares GBP
----------- ---------- -------------- --------------- -------------
23/11/2016 Ordinary PURCHASE 1094 28.400000
Shares GBP
----------- ---------- -------------- --------------- -------------
(b) Cash-settled derivative transactions
Trade Class of Product Nature Number Price
Date relevant description of dealing of reference per
security securities unit
----------- ---------- ---------------- --------------- -------------- ----------
18/10/2016 Ordinary Contract CLOSE 209,230 28.187930
Shares for Difference LONG POSITION GBP
----------- ---------- ---------------- --------------- -------------- ----------
31/10/2016 Ordinary Contract CLOSE 55,507 28.080793
Shares for Difference LONG POSITION GBP
----------- ---------- ---------------- --------------- -------------- ----------
21/11/2016 Ordinary Contract CLOSE 2,640 28.291510
Shares for Difference LONG POSITION GBP
----------- ---------- ---------------- --------------- -------------- ----------
(d) Other dealings (including subscribing for new securities)
Trade Class of Nature of Details Price per
Date relevant dealing unit (if
security applicable)
----------- ---------- ------------- -------- -------------
14/10/2016 Ordinary TRANSFER OUT 579 28.270000
Shares GBP
----------- ---------- ------------- -------- -------------
09/11/2016 Ordinary TRANSFER OUT 845 27.876059
Shares GBP
----------- ---------- ------------- -------- -------------
16/11/2016 Ordinary TRANSFER OUT 359 28.275850
Shares GBP
----------- ---------- ------------- -------- -------------
This information is provided by RNS
The company news service from the London Stock Exchange
END
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