TIDMRKH TIDMTT. TIDM0NLA
RNS Number : 2223L
Bank of America Merrill Lynch
02 July 2014
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: Bank of America Merrill Lynch
------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose Rockhopper Exploration PLC
relevant securities this form relates:
Use a separate form for each offeror/offeree
------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: Rockhopper Exploration PLC
------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 01/07/2014
------------------------------------------------------------------------------------- ------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect of
any other party to this offer?
------------------------------------------------------------------------------------- ------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(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
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00B0FVQX23 Purchase 62,971 0.898 GBP 0.883 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00B0FVQX23 Sale 85,150 0.9 GBP 0.885 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Derivatives transactions (other than options)
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
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 8 0.893 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 43 0.885 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 43 0.893 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 7,348 0.885 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 900 0.897 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 4,663 0.9 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 17 0.89 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 3,294 0.892 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 3,131 0.895 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 9,709 0.893 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 33,827 0.888 GBP
GB00B0FVQX23
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Options transactions in respect of existing securities
(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) Exercising
Class of relevant security Product description Number of Exercise Price per
e.g. call option securities unit
--------------------------- -------------------- ------------ -------------------
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
--------------------------- ------------------------------- -------- -------------------------------
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 2(a), (b), (c) or (d) (as appropriate) for each additional
class
of relevant security dealt in.
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:
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: 02/07/2014
--------------------- --------------
Contact name: Stacy Otieno
--------------------- --------------
Telephone number: 0207 995 1335
--------------------- --------------
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.
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: Bank of America Merrill Lynch
----------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose TUI AG
relevant securities this form relates:
Use a separate form for each offeror/offeree
----------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: TUI Travel PLC
----------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 01/07/2014
----------------------------------------------------------------------------------------- ------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect of
any other party to this offer?
----------------------------------------------------------------------------------------- ------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(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
---------------------------- ------------ --------------------------- --------------- ---------------
Common - ISIN DE000TUAG000 Purchase 77,471 12.31 EUR 12.035 EUR
---------------------------- ------------ --------------------------- --------------- ---------------
Common - ISIN DE000TUAG000 Sale 80,051 12.36 EUR 12.045 EUR
---------------------------- ------------ --------------------------- --------------- ---------------
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant security e.g. CFD e.g. opening/closing securities
a
long/short position,
increasing/reducing a
long/short position
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 2,700 12.075 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 2,546 12.295 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 733 12.075 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 2,227 12.08 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 1,035 12.094 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 855 12.109 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 9,209 12.148 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 197 12.09 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 1,049 12.163 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 425 12.086 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 16,726 12.228 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 17,466 12.073 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 75 12.09 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 275 12.08 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 275 12.073 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 367 12.09 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 367 12.073 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 475 12.061 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Long 1,952 12.08 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 1,468 12.081 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 1,753 12.081 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 269 12.081 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 308 12.081 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 1,682 12.081 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
Common - ISIN DE000TUAG000 Swaps Short 2,008 12.081 EUR
----------------------------- --------------------- ---------------------- --------------------- -----------------
(c) Options transactions in respect of existing securities
(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) Exercising
Class of relevant security Product description Number of Exercise Price per
e.g. call option securities unit
----------------------------- -------------------------- --------------- ---------------------
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
----------------------------- ------------------------------- ---------- ---------------------------------
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 2(a), (b), (c) or (d) (as appropriate) for each additional
class
of relevant security dealt in.
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:
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: 02/07/2014
--------------------- --------------
Contact name: Stacy Otieno
--------------------- --------------
Telephone number: 0207 995 1335
--------------------- --------------
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.
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: Bank of America Merrill Lynch
----------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose TUI Travel PLC
relevant securities this form relates:
Use a separate form for each offeror/offeree
----------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: TUI Travel PLC
----------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 01/07/2014
----------------------------------------------------------------------------------------- ------------------------------
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in Yes
respect of
any other party to this offer?
----------------------------------------------------------------------------------------- ------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(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
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00B1Z7RQ77 Purchase 346,933 3.96 GBP 3.92 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00B1Z7RQ77 Sale 106,074 3.959 GBP 3.92 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Derivatives transactions (other than options)
Class of Product description Nature of dealing Number of reference Price per unit
relevant security e.g. CFD e.g. opening/closing securities
a
long/short position,
increasing/reducing a
long/short position
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 145 3.925 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Long 1,814 3.939 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Long 92 3.936 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 42 3.936 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 13,385 3.939 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 1,825 3.939 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 643 3.938 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 1,935 3.938 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Long 2,511 3.94 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 8,132 3.94 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 11,799 3.92 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Long 73 3.919 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Long 972 3.919 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 10,308 3.92 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 6,144 3.941 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Short 69,100 3.945 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Long 325 3.959 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
Common - ISIN GB00B1Z7RQ77 Swaps Long 3,163 3.959 GBP
----------------------------- -------------------- ---------------------- ---------------------- -----------------
(c) Options transactions in respect of existing securities
(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) Exercising
Class of relevant security Product description Number of Exercise Price per
e.g. call option securities unit
----------------------------- -------------------------- --------------- ---------------------
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
----------------------------- ------------------------------- ---------- ---------------------------------
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 2(a), (b), (c) or (d) (as appropriate) for each additional
class
of relevant security dealt in.
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:
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: 02/07/2014
--------------------- --------------
Contact name: Stacy Otieno
--------------------- --------------
Telephone number: 0207 995 1335
--------------------- --------------
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 information is provided by RNS
The company news service from the London Stock Exchange
END
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