Form 8.5 (EPT/NON-RI) Deutsche Borse

 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:	Deutsche Bank AG Frankfurt
(b) Name of offeror/offeree in relation to whose relevant securities this form relates:      Use a separate form for each offeror/offeree	Deutsche Boerse AG
(c) Name of the party to the offer with which exempt principal trader is connected:	Deutsche Boerse AG
(d) Date position held/dealing undertaken:      For an opening position disclosure, state the latest practicable date prior to the disclosure	05/07/2016
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?      If it is a cash offer or possible cash offer, state "N/A"	No

 

2.         POSITIONS OF THE EXEMPT PRINCIPAL TRADER

 

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.

 

(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
	Interests		Short positions
	Number	%	Number	%
(1)Relevant securities owned and/or controlled:	299,362	0.16	0	0.00
(2)Cash-settled derivatives:	0	0.00	9,252	0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:	0	0.00	32,324	0.02
TOTAL:	299,362	0.16	41,576	0.02

 

All interests and all short positions should be disclosed.

 

Details of any open stock-settled derivative positions (including traded options), 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 employee options)

 

Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:

 

 

3.             DEALINGS (IF ANY) 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 3(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 EURO	Lowest price per unit paid/received EURO
Ordinary	Sale	5,727	70	70

 

 

(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 EURO

 

 

(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 Euro	Type e.g. American, European etc.	Expiry date	Option money paid/ received per unit Euro

 

 

(ii)        Exercise

Class of relevant security	Product description e.g. call option	Exercising/ exercised against	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)

 

 

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: Irrevocable commitments and letters of intent should not be included.  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?

YES

 

 

Date of disclosure:	06/07/2016
Contact name:	Osamede Aigbe
Telephone number:	00 44 207 545 8515

 

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 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 STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

 

 

1.         KEY INFORMATION

 

Full name of person making disclosure:	Deutsche Bank AG FFT
Name of offeror/offeree in relation to whose relevant securities the disclosure relates:	Deutche Boerse AG

 

2.         STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

 

 

Class of relevant security	Product description e.g. call option	Written or purchased	Number of securities to which option or derivative relates	Exercise price per unit	Type	Expiry date
				EURO	e.g. American, European etc.
Ordinary	Call Option	Written	150	70	European	20160915
Ordinary	Call Option	Written	100	62	European	20161118
Ordinary	Call Option	Written	1,815	71	European	20161215
Ordinary	Call Option	Written	535	60	European	20161215
Ordinary	Call Option	Written	118	65	European	20161215
Ordinary	Call Option	Written	1,540	68	European	20161118
Ordinary	Call Option	Written	780	60	European	20170615
Ordinary	Call Option	Written	550	80	European	20160915
Ordinary	Call Option	Written	100	80	European	20160715
Ordinary	Call Option	Written	55	78	European	20161215
Ordinary	Call Option	Written	150	70	European	20161215
Ordinary	Call Option	Written	230	66	European	20160915
Ordinary	Call Option	Written	1,300	75	European	20161215
Ordinary	Call Option	Written	230	68	European	20161215
Ordinary	Call Option	Written	100	58	European	20161215
Ordinary	Reverse Convertible Put Option	Written	154	65	European	20161215
Ordinary	Reverse Convertible Put Option	Written	43	70	European	20161118
Ordinary	Reverse Convertible Put Option	Written	308	65	European	20161021
Ordinary	Reverse Convertible Put Option	Written	615	65	European	20160715
Ordinary	Reverse Convertible Put Option	Written	143	70	European	20160819
Ordinary	Reverse Convertible Put Option	Written	139	72	European	20161215
Ordinary	Reverse Convertible Put Option	Written	615	65	European	20160915
Ordinary	Reverse Convertible Put Option	Written	43	70	European	20171117
Ordinary	Reverse Convertible Put Option	Written	56	72	European	20160715
Ordinary	Reverse Convertible Put Option	Written	2,286	70	European	20161215
Ordinary	Reverse Convertible Put Option	Written	138	65	European	20171117
Ordinary	Reverse Convertible Put Option	Written	7,966	58	European	20161215
Ordinary	Reverse Convertible Put Option	Written	774	75	European	20161215
Ordinary	Reverse Convertible Put Option	Written	357	70	European	20161118
Ordinary	Reverse Convertible Put Option	Written	125	80	European	20170615
Ordinary	Reverse Convertible Put Option	Written	308	65	European	20161118
Ordinary	Reverse Convertible Put Option	Written	44	68	European	20161215
Ordinary	Reverse Convertible Put Option	Written	264	72	European	20170615
Ordinary	Reverse Convertible Put Option	Written	29	70	European	20170615
Ordinary	Reverse Convertible Put Option	Written	65	62	European	20170316
Ordinary	Reverse Convertible Put Option	Written	69	72	European	20170316
Ordinary	Reverse Convertible Put Option	Written	32	62	European	20161215
Ordinary	Bonus Certificate	Written	10,000	85	European	20161215
			32,324