10 Dec 2020 11:46
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: | UBS Investment Bank, London |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Kaz Minerals plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Kaz Minerals plc |
(d) Date dealing undertaken: | 09 December 2020 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer? If it is a cash offer or possible cash offer, state "N/A" | No |
2. DEALINGS 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 2(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/ sales
| Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
20p ordinary | Buy
| 85637 | 6.58250 GBP | 6.56323 GBP |
20p ordinary | Sell
| 78140 | 6.57901 GBP | 6.55534 GBP |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
20p ordinary | CFD
| Long | 8217 | 6.562929 GBP |
20p ordinary | CFD
| Long | 43 | 6.560279 GBP |
20p ordinary | CFD
| Long | 2104 | 6.556 GBP |
20p ordinary | CFD
| Long | 1461 | 6.573636 GBP |
20p ordinary | CFD
| Long | 5237 | 6.576362 GBP |
20p ordinary | CFD
| Long | 2041 | 6.56797335962763 GBP |
20p ordinary | CFD
| Long | 1374 | 6.572007 GBP |
20p ordinary | CFD
| Long | 1275 | 6.570653 GBP |
20p ordinary | CFD
| Long | 840 | 6.57636452738095 GBP |
20p ordinary | CFD
| Long | 5 | 6.5740004 GBP |
20p ordinary | CFD
| Long | 2101 | 6.571474 GBP |
20p ordinary | CFD
| Long | 1374 | 6.558135 GBP |
20p ordinary | CFD
| Long | 1063 | 6.555344 GBP |
20p ordinary | CFD
| Long | 1027 | 6.563744 GBP |
20p ordinary | CFD
| Short | 2234 | 6.565067 GBP |
20p ordinary | CFD
| Short | 468 | 6.577513 GBP |
20p ordinary | CFD
| Short | 1143 | 6.56287839020122 GBP |
20p ordinary | CFD
| Short | 1658 | 6.56575392038601 GBP |
20p ordinary | CFD
| Short | 3380 | 6.5688224852071 GBP |
20p ordinary | CFD
| Short | 2629 | 6.58656523392925 GBP |
20p ordinary | CFD
| Short | 1510 | 6.58316556291391 GBP |
20p ordinary | CFD
| Short | 2970 | 6.58145117845118 GBP |
20p ordinary | CFD
| Short | 2804 | 6.57500356633381 GBP |
20p ordinary | CFD
| Short | 87 | 6.56988505747126 GBP |
20p ordinary | CFD
| Short | 11837 | 6.563226 GBP |
20p ordinary | CFD
| Short | 657 | 6.57048706240487 GBP |
20p ordinary | CFD
| Short | 726 | 6.57644628099174 GBP |
20p ordinary | CFD
| Short | 2035 | 6.57324815724816 GBP |
20p ordinary | CFD
| Short | 582 | 6.57400343642612 GBP |
20p ordinary | CFD
| Short | 191 | 6.5679057591623 GBP |
20p ordinary | CFD
| Short | 628 | 6.57789808917197 GBP |
(c) Stock-settled derivative transactions (including options)
(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 |
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
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(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) |
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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: 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" |
None |
| Date of disclosure: | 10 December 2020 |
| Contact name: | Richard Howard |
| Telephone number: | +44 (0)207 568 9128 |
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.