Citigroup Global Markets Limited Form 8.5 (EPT/NON-RI) (0222S)
18 September 2014 - 12:18PM
UK Regulatory
TIDMTT. TIDM0NLA
RNS Number : 0222S
Citigroup Global Markets Limited
18 September 2014
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: Citigroup Global Markets Deutschland AG ("CGMD")
------------------------------------------------------------------- -------------------------------------------------
(b) Name of offeror/offeree in relation to whose relevant TUI AG
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 TUI AG
trader is connected:
------------------------------------------------------------------- -------------------------------------------------
(d) Date position held/dealing undertaken: 17 September 2014
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(e) Has the EPT previously disclosed, or is it today disclosing, YES
under the Code in respect
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: Ordinary Shares
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Interests Short positions
-------------------------------------------------- --------------------- ------------------
Number % Number %
-------------------------------------------------- ------------- ------ ---------- ------
(1) Relevant securities owned and/or controlled: 115,225 0.04% 0 0.00%
-------------------------------------------------- ------------- ------ ---------- ------
(2) Derivatives (other than options): 7,214 0.00% 326,453 0.11%
-------------------------------------------------- ------------- ------ ---------- ------
(3) Options and agreements to purchase/sell: 0 0
-------------------------------------------------- ------------- ------ ---------- ------
TOTAL: 122,439 0.04% 326,453 0.11%
-------------------------------------------------- ------------- ------ ---------- ------
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:
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Details, including nature of the rights concerned and relevant percentages:
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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 securities Price per
security unit (EUR)
------------------- --------------- --------------------- ------------
Ordinary shares Purchase 582 11.25
------------------- --------------- --------------------- ------------
Ordinary shares Purchase 69 11.25
------------------- --------------- --------------------- ------------
Ordinary shares Purchase 571 11.25
------------------- --------------- --------------------- ------------
(b) Derivatives transactions (other than options)
Class of relevant Purchase/sale Number of securities Price per
security unit (EUR)
------------------- --------------- --------------------- ------------
Ordinary Purchase 750 7.8893
------------------- --------------- --------------------- ------------
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of relevant description purchasing, of securities price date money
security e.g. call selling, to which per unit paid/
option varying etc. option received
relates per unit
e.g. American,
European
etc.
(ii) Exercising
Class of relevant security Product description Number of securities Exercise price per unit
e.g. call option
--------------------------- -------------------- --------------------- ------------------------
(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
--------------------------- ------------------------------- -------- -------------------------------
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
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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"
-----------------------------------------------------------------------------------------------
None
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? YES
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Date of disclosure: 18 September 2014
--------------------- ------------------
Contact name: Ryan McCabe
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Telephone number: (028)90 409539
--------------------- ------------------
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.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO
PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Identity of person whose open positions are being disclosed: Citigroup Global Markets Deutschland AG ("CGMD")
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Name of offeror/offeree in relation to whose relevant securities TUI AG
the disclosure relates:
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2. OPTIONS AND DERIVATIVES
Class of relevant Product Written or Number of Exercise Type Expiry
security description purchased securities price date
e.g. call to which option per unit
option or derivative
relates
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -780 6.4644 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -1000 8.7558 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -350 8.4505 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -250 8.476 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -75 9.2452 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -14280 8.6788 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -5700 9.4816 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -820 9.7334 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -4400 9.9699 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -175 9.3575 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -1500 7.8788 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -1399 8.8587 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -4400 15.5 American 15-Sep-14
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -14175 13 American 15-Dec-14
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -2400 16.5 American 15-Dec-14
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -10000 17 American 15-Dec-14
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -500 12.5 American 16-Mar-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -7500 13 American 16-Mar-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -16000 13.5 American 16-Mar-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -10000 14.5 American 16-Mar-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -10550 17.5 American 16-Mar-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -6850 14.5 American 15-Jun-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -10000 15.5 American 15-Jun-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -91100 20 American 15-Jun-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -37608 7.8893 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -500.1 8.116 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -300 9.3841 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -700 9.8913 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -600 10.0982 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -3400 11 American 15-Jun-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -275 5.0255 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -12000 10.5417 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -1180 10.7915 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -1615 6.2648 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -140 6.9688 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -240 7.4273 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -3130 6.6672 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -545 6.4095 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -800 8.3313 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -1500 7.3908 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -600 8.3439 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -12066 7.8462 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -400 8.0912 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -4150 6.8033 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -500 13 American 15-Sep-14
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Written -30000 15 American 15-Dec-14
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Purchased -125 13.6852 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Purchased -25 16.2693 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Purchased -64 11.6502 European 28-Dec-16
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Purchased -3000 12 European 19-Sep-14
------------------- -------------- ------------ ----------------- ---------- --------- ----------
Ordinary Warrants Purchased -4000 10 American 16-Mar-15
------------------- -------------- ------------ ----------------- ---------- --------- ----------
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the
interest or position can be fully understood:
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It is not necessary to provide details on a Supplemental Form
(Open Positions) with regard to contracts for differences ("CFDs")
or spread bets.
The currency of all prices and other monetary amounts should be
stated.
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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