XLON:0H3TForm 8.3 - Deutsche Boerse AG
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| (a) Full name of discloser: |
|
Deka Investment GmbH |
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(b) Owner or controller of interests and short positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor
and beneficiaries must be named.
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- |
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(c) Name of offeror/offeree in relation to whose relevant securities this form relates:
Use a separate form for each offeror/offeree
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Deutsche Boerse AG
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| (d) If an exempt fund manager connected with an offeror/offeree,
state this and specify identity of offeror/offeree: |
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(e) Date position held/dealing undertaken:
For an opening position disclosure, state the latest practicable date prior to the
disclosure
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02 August 2016 |
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(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the
offer?
If it is a cash offer or possible cash offer, state “N/A”
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YES
If YES, specify which:
Intercontinental Exchange, Inc. & London Stock Exchange Group Plc
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2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
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(c), 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: |
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Deutsche Boerse AG (DE0005810055) |
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Interests |
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Short positions |
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Number |
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% |
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Number |
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% |
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| (1) Relevant securities owned and/or controlled: |
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2.362.401 |
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1.22 |
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| (2) Cash-settled derivatives: |
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| (3) Stock-settled derivatives (including options) and agreements to
purchase/sell: |
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15.940 |
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0,0083 |
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TOTAL:
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2.378.341 |
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1.23 |
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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: |
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| Details, including nature of the rights concerned and relevant
percentages: |
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3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), 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 |
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Purchase/sale |
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Number of securities |
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Price per unit |
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| Deutsche Boerse AG Ord. Shares (DE0005810055) |
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BUY |
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1.800 |
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75,21 EUR |
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(b) Cash-settled derivative transactions
| Class of relevant security |
Product description
e.g. CFD
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Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a long/short position
|
Number of reference securities |
Price per unit |
(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 |
(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 person 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”
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None
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(b) Agreements, arrangements or understandings relating to options or derivatives
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Details of any agreement, arrangement or understanding, formal or informal, between the person 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”
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None
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(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? |
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YES
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| Date of disclosure: |
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03 August 2016 |
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| Contact name: |
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Dirk Kaltschnee |
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| Telephone number: |
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+49697147-3625 |
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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: |
|
Deka Investment GmbH |
| Name of offeror/offeree in relation to whose relevant securities
the disclosure relates: |
|
Deutsche Börse AG Ord. Shares |
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
e.g. American, European etc.
|
Expiry date / Trade Date |
| Deutsche Börse AG Ord. Shares (DE0005810055) |
Equity Linked Bond (DE000DK0B7R5)
Equity Linked Bond (DE000LB04RF5)
Equity Linked Bond (DE000LB04RF5)
Equity Linked Bond (DE000DK0F9R7)
|
Purchased
Purchased
Purchased
Purchased
|
4611
5312
2974
3043
|
43.52 EUR
100
83.60 EUR
66.10 EUR
|
Europe an
Europe an
European
European
|
03 November 2017 / 29 October 2014
26 August 2016 / 05 August 2015
18 November 2016 / 12 November 2015
|
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: |
It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled
derivatives.
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 disclosure requirements on +44
(0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
Deka Investment GmbH
View source version on businesswire.com: http://www.businesswire.com/news/home/20160803005608/en/