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OLD MUTUAL PLC - Form 8.3 - Public Opening Position Disclosure - Deutsche Boerse AG

Release Date: 07/03/2017 13:30
Code(s): OML     PDF:  
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Form 8.3 - Public Opening Position Disclosure - Deutsche Boerse AG

OLD MUTUAL PLC
ISIN CODE: GB00B77J0862
JSE SHARE CODE: OML
NSX SHARE CODE: OLM
ISSUER CODE: OLOMOL
                                                                                               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:                                                 Old Mutual plc 
                                                                           (and subsidiaries)
(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.
(c) Name of offeror/offeree in relation to whose                            Deutsche Boerse AG 
    relevant securities this form relates:
    Use a separate form for each offeror/offeree
(d) If an exempt fund manager connected with an                  
    offeror/offeree, state this and specify identity of
    offeror/offeree:
(e) Date position held/dealing undertaken:                                       06/03/2017 
    For an opening position disclosure, state the latest
    practicable date prior to the disclosure
(f) In addition to the company in 1(c) above, is the                Yes – London Stock Exchange Group 
    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”

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:                                           Ordinary

                                                  Interests                        Short positions
                                               Number                 %            Number          %
(1) Relevant securities owned                3,488,962              1.81%
    and/or controlled:
(2) Cash-settled derivatives:                                          

(3) Stock-settled derivatives                                          
    (including options) and
    agreements to purchase/sell:
                                     3,488,962         1.81%
  TOTAL:
Please note the change in holdings are also due to a transfer in kind of 1,600 units.
                                                                                                   

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 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          Purchase/sale                Number of             Price per unit
      security                                            securities



(b)       Cash-settled derivative transactions

       Class of       Product               Nature of dealing          Number of       Price per
       relevant      description         e.g. opening/closing a        reference          unit
       security       e.g. CFD             long/short position,        securities
                                         increasing/reducing a
                                            long/short position



(c)       Stock-settled derivative transactions (including options)

(i)       Writing, selling, purchasing or varying

 Class        Product        Writing,        Number       Exercise       Type       Expiry    Option
   of        description   purchasing,           of        price          e.g.       date     money
relevant       e.g. call     selling,       securities    per unit     American,               paid/
security        option     varying etc.      to which                  European              received
                                              option                      etc.                per unit
                                              relates



(ii)      Exercise

       Class of          Product            Exercising/           Number of         Exercise price
       relevant        description           exercised            securities           per unit
       security       e.g. call option        against
                                                                                           


(d)     Other dealings (including subscribing for new securities)

Class of relevant           Nature of dealing             Details         Price per unit (if
    security          e.g. subscription, conversion                          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”


None 

(b)     Agreements, arrangements or understandings relating to options or derivatives

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”
None 

(c)     Attachments

Is a Supplemental Form 8 (Open Positions) attached?                               No




Date of disclosure:                                          07 March 2017       

Contact name:                                                   Rose Coyle 

Telephone number:                                             0207 002 7503 


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.

Sponsor:
Merrill Lynch South Africa (Pty) Ltd

Joint Sponsor:
Nedbank Corporate and Investment Banking

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