BARCLAYS PLC FORM 8.5 (EPT/NON-RI) - AMENDMENT
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 TRAVEL PLC | |||
| 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: | 16 October 2014 | |||
| (e) | Has the EPT previously disclosed, or is it | YES: | |||
| today disclosing, under the Code in respect | TUI AG | ||||
| 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: | 11,960,430 | 0.98% | 2,332,849 | 0.19% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 900,232 | 0.07% | 8,609,782 | 0.71% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | |||||||||||
| TOTAL: | 12,860,662 | 1.05% | 10,942,631 | 0.90% | |||||||
| Class of relevant security: | Convertible Bond XS0503743949 | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 1,600,000 | 0.40% | 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% | |||||||
| (4) | |||||||||||
| TOTAL: | 1,600,000 | 0.40% | 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 | ||||||
| Convertible Bond | Purchase | 1,500,000 | 111.0000 GBP | ||||
| ORD | Purchase | 10 | 3.2400 GBP | ||||
| ORD | Purchase | 10 | 3.3060 GBP | ||||
| ORD | Purchase | 10 | 3.3150 GBP | ||||
| ORD | Purchase | 25 | 3.2330 GBP | ||||
| ORD | Purchase | 39 | 3.2410 GBP | ||||
| ORD | Purchase | 39 | 3.2540 GBP | ||||
| ORD | Purchase | 51 | 3.2960 GBP | ||||
| ORD | Purchase | 126 | 3.2650 GBP | ||||
| ORD | Purchase | 198 | 3.3360 GBP | ||||
| ORD | Purchase | 209 | 3.2560 GBP | ||||
| ORD | Purchase | 224 | 3.2570 GBP | ||||
| ORD | Purchase | 238 | 3.2230 GBP | ||||
| ORD | Purchase | 289 | 3.3430 GBP | ||||
| ORD | Purchase | 325 | 3.3350 GBP | ||||
| ORD | Purchase | 342 | 3.2370 GBP | ||||
| ORD | Purchase | 370 | 3.3510 GBP | ||||
| ORD | Purchase | 407 | 3.3330 GBP | ||||
| ORD | Purchase | 453 | 3.2749 GBP | ||||
| ORD | Purchase | 454 | 3.3520 GBP | ||||
| ORD | Purchase | 461 | 3.2758 GBP | ||||
| ORD | Purchase | 480 | 3.2340 GBP | ||||
| ORD | Purchase | 510 | 3.2746 GBP | ||||
| ORD | Purchase | 512 | 3.2350 GBP | ||||
| ORD | Purchase | 517 | 3.2300 GBP | ||||
| ORD | Purchase | 522 | 3.2320 GBP | ||||
| ORD | Purchase | 576 | 3.2770 GBP | ||||
| ORD | Purchase | 582 | 3.2710 GBP | ||||
| ORD | Purchase | 713 | 3.3390 GBP | ||||
| ORD | Purchase | 749 | 3.2830 GBP | ||||
| ORD | Purchase | 885 | 3.2640 GBP | ||||
| ORD | Purchase | 1,025 | 3.2855 GBP | ||||
| ORD | Purchase | 1,049 | 3.2740 GBP | ||||
| ORD | Purchase | 1,053 | 3.2820 GBP | ||||
| ORD | Purchase | 1,413 | 3.2880 GBP | ||||
| ORD | Purchase | 1,488 | 3.2890 GBP | ||||
| ORD | Purchase | 1,669 | 3.2810 GBP | ||||
| ORD | Purchase | 1,671 | 3.2780 GBP | ||||
| ORD | Purchase | 1,833 | 3.2689 GBP | ||||
| ORD | Purchase | 1,889 | 3.2610 GBP | ||||
| ORD | Purchase | 1,913 | 3.2860 GBP | ||||
| ORD | Purchase | 2,087 | 3.2676 GBP | ||||
| ORD | Purchase | 2,092 | 3.2720 GBP | ||||
| ORD | Purchase | 2,275 | 3.2800 GBP | ||||
| ORD | Purchase | 2,422 | 3.2670 GBP | ||||
| ORD | Purchase | 3,521 | 3.2760 GBP | ||||
| ORD | Purchase | 3,903 | 3.2750 GBP | ||||
| ORD | Purchase | 4,099 | 3.2730 GBP | ||||
| ORD | Purchase | 5,898 | 3.2906 GBP | ||||
| ORD | Purchase | 6,032 | 3.2700 GBP | ||||
| ORD | Purchase | 8,909 | 3.2895 GBP | ||||
| ORD | Purchase | 10,359 | 3.2788 GBP | ||||
| ORD | Purchase | 15,982 | 3.2864 GBP | ||||
| ORD | Purchase | 19,055 | 3.2814 GBP | ||||
| ORD | Purchase | 26,963 | 3.2847 GBP | ||||
| ORD | Purchase | 28,512 | 3.2935 GBP | ||||
| ORD | Purchase | 32,483 | 3.2786 GBP | ||||
| ORD | Purchase | 37,754 | 3.2827 GBP | ||||
| ORD | Purchase | 48,245 | 3.2477 GBP | ||||
| ORD | Purchase | 98,573 | 3.2870 GBP | ||||
| ORD | Purchase | 103,366 | 3.2777 GBP | ||||
| ORD | Sale | 10 | 3.2400 GBP | ||||
| ORD | Sale | 10 | 3.3060 GBP | ||||
| ORD | Sale | 10 | 3.3150 GBP | ||||
| ORD | Sale | 25 | 3.2330 GBP | ||||
| ORD | Sale | 25 | 3.2870 GBP | ||||
| ORD | Sale | 39 | 3.2410 GBP | ||||
| ORD | Sale | 39 | 3.2540 GBP | ||||
| ORD | Sale | 51 | 3.2960 GBP | ||||
| ORD | Sale | 198 | 3.3360 GBP | ||||
| ORD | Sale | 209 | 3.2530 GBP | ||||
| ORD | Sale | 209 | 3.2560 GBP | ||||
| ORD | Sale | 224 | 3.2570 GBP | ||||
| ORD | Sale | 238 | 3.2230 GBP | ||||
| ORD | Sale | 289 | 3.3430 GBP | ||||
| ORD | Sale | 325 | 3.3350 GBP | ||||
| ORD | Sale | 342 | 3.2370 GBP | ||||
| ORD | Sale | 370 | 3.3510 GBP | ||||
| ORD | Sale | 407 | 3.3330 GBP | ||||
| ORD | Sale | 453 | 3.2749 GBP | ||||
| ORD | Sale | 454 | 3.3520 GBP | ||||
| ORD | Sale | 461 | 3.2758 GBP | ||||
| ORD | Sale | 480 | 3.2340 GBP | ||||
| ORD | Sale | 510 | 3.2746 GBP | ||||
| ORD | Sale | 512 | 3.2350 GBP | ||||
| ORD | Sale | 517 | 3.2300 GBP | ||||
| ORD | Sale | 522 | 3.2320 GBP | ||||
| ORD | Sale | 559 | 3.2775 GBP | ||||
| ORD | Sale | 713 | 3.3390 GBP | ||||
| ORD | Sale | 749 | 3.2830 GBP | ||||
| ORD | Sale | 885 | 3.2640 GBP | ||||
| ORD | Sale | 964 | 3.3437 GBP | ||||
| ORD | Sale | 1,022 | 3.2900 GBP | ||||
| ORD | Sale | 1,070 | 3.2910 GBP | ||||
| ORD | Sale | 1,401 | 3.2797 GBP | ||||
| ORD | Sale | 1,414 | 3.2650 GBP | ||||
| ORD | Sale | 1,487 | 3.2790 GBP | ||||
| ORD | Sale | 1,706 | 3.2573 GBP | ||||
| ORD | Sale | 1,717 | 3.2700 GBP | ||||
| ORD | Sale | 1,889 | 3.2610 GBP | ||||
| ORD | Sale | 3,407 | 3.2860 GBP | ||||
| ORD | Sale | 3,760 | 3.2890 GBP | ||||
| ORD | Sale | 3,833 | 3.2820 GBP | ||||
| ORD | Sale | 3,869 | 3.2800 GBP | ||||
| ORD | Sale | 3,907 | 3.2880 GBP | ||||
| ORD | Sale | 4,083 | 3.2810 GBP | ||||
| ORD | Sale | 4,187 | 3.2670 GBP | ||||
| ORD | Sale | 4,571 | 3.2770 GBP | ||||
| ORD | Sale | 5,715 | 3.2720 GBP | ||||
| ORD | Sale | 7,069 | 3.2750 GBP | ||||
| ORD | Sale | 7,461 | 3.2780 GBP | ||||
| ORD | Sale | 8,598 | 3.2781 GBP | ||||
| ORD | Sale | 12,463 | 3.2710 GBP | ||||
| ORD | Sale | 12,604 | 3.2818 GBP | ||||
| ORD | Sale | 12,627 | 3.2730 GBP | ||||
| ORD | Sale | 13,038 | 3.2760 GBP | ||||
| ORD | Sale | 16,496 | 3.2944 GBP | ||||
| ORD | Sale | 17,770 | 3.2740 GBP | ||||
| ORD | Sale | 19,325 | 3.2936 GBP | ||||
| ORD | Sale | 20,773 | 3.3485 GBP | ||||
| ORD | Sale | 19,326 | 3.2743 GBP | ||||
| ORD | Sale | 44,671 | 3.2966 GBP | ||||
| ORD | Sale | 48,163 | 3.2949 GBP | ||||
| ORD | Sale | 61,955 | 3.2898 GBP | ||||
| ORD | Sale | 200,000 | 3.2985 GBP |
(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 | 19,812 | 3.2893 GBP | |||||
| ORD | SWAP | Long | 21,426 | 3.3481 GBP | |||||
| ORD | CFD | Long | 200,000 | 3.2985 GBP | |||||
| ORD | SWAP | Short | 1,025 | 3.2855 GBP | |||||
| ORD | CFD | Short | 15,982 | 3.2864 GBP | |||||
| ORD | SWAP | Short | 19,055 | 3.2814 GBP | |||||
| ORD | CFD | Short | 13,486 | 3.2655 GBP | |||||
| ORD | CFD | Short | 28,512 | 3.2934 GBP | |||||
| ORD | CFD | Short | 35,388 | 3.2828 GBP | |||||
| ORD | CFD | Short | 37,754 | 3.2827 GBP | |||||
| ORD | SWAP | Short | 43,926 | 3.2362 GBP | |||||
| ORD | CFD | Short | 48,245 | 3.2477 GBP |
(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
e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(ii) Exercising
| Class of relevant security |
Product description
e.g. call option | 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) |
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: | 20 Oct 2014 | ||
| Contact name: | Rajesh Muthanna | ||
| Telephone number: | 020 3555 4634 |
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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