REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) AMENDMENT - TUI TRAVEL PLC

Wed Jul 2, 2014 7:31am EDT

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Form 8.5 (EPT/NON-RI) AMENDMENT - TUI TRAVEL 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: 30 June 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: 11,884,920 1.08% 3,307,046 0.30%
           
(2) Derivatives (other than
options): 272,728 0.02% 8,030,523 0.72%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
TOTAL:
12,157,648 1.10% 11,337,569 1.01%
           
Class of relevant security:   Convertible Bond XS0503743949
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 5,500,000 1.38% 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%
           
TOTAL:
5,500,000 1.38% 0 0.00%
           
Class of relevant security:   Convertible Bond XS0455660216
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 500,000 0.14% 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%
           
TOTAL:
500,000 0.14% 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  
ORD Purchase 2,199 4.0305 GBP
ORD Purchase 2,505 3.9800 GBP
ORD Purchase 17,700 3.9774 GBP
ORD Purchase 25,509 3.9870 GBP
ORD Purchase 30,250 3.9886 GBP
ORD Purchase 38,072 3.9837 GBP
ORD Purchase 39,944 4.0001 GBP
ORD Purchase 44,025 3.9881 GBP
ORD Purchase 49,179 3.9849 GBP
ORD Purchase 86,076 3.9896 GBP
ORD Purchase 115,621 3.9954 GBP
ORD Purchase 162,543 3.9968 GBP
ORD Purchase 197,983 3.9841 GBP
ORD Purchase 202,000 3.9647 GBP
ORD Purchase 202,000 3.9865 GBP
ORD Purchase 230,263 3.9906 GBP
ORD Sale 3,765 3.9840 GBP
ORD Sale 9,158 3.9768 GBP
ORD Sale 10,296 3.9829 GBP
ORD Sale 16,857 3.9970 GBP
ORD Sale 31,298 3.9825 GBP
ORD Sale 32,387 3.9888 GBP
ORD Sale 43,336 3.9917 GBP
ORD Sale 103,290 3.9847 GBP
ORD Sale 168,828 3.9770 GBP
ORD Sale 246,413 3.9915 GBP
ORD Sale 265,356 3.9874 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 1,165 3.9786 GBP
ORD CFD Long 3,095 3.9847 GBP
ORD CFD Long 27,010 4.0266 GBP
ORD CFD Long 28,274 4.0044 GBP
ORD SWAP Long 59,225 3.9909 GBP
ORD SWAP Long 257,104 3.9838 GBP
ORD CFD Long 265,356 3.9874 GBP
ORD SWAP Short 800 4.0294 GBP
ORD SWAP Short 1,800 3.9921 GBP
ORD SWAP Short 13,026 3.9523 GBP
ORD CFD Short 20,745 4.0045 GBP
ORD CFD Short 25,509 3.9870 GBP
ORD SWAP Short 39,944 4.0000 GBP
ORD CFD Short 21,374 4.0105 GBP
ORD SWAP Short 49,179 3.9849 GBP
ORD SWAP Short 60,180 3.9916 GBP
ORD SWAP Short 73,242 4.0060 GBP
ORD SWAP Short 139,314 3.9890 GBP
ORD CFD Short 202,000 3.9647 GBP
ORD CFD Short 202,000 3.9865 GBP
ORD SWAP Short 274,900 3.9898 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: 2 Jul 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.

BARCLAYS PLC