UniCredit Bank AG / Rule 8.3 27.10.2014 11:23 Dissemination of a Regulatory Announcement, transmitted by DGAP - a service of EQS Group AG. The issuer is solely responsible for the content of this announcement.
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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
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Language: English Company: UniCredit Bank AG Kardinal-Faulhaber-Str. 1 80333 München Germany Phone: +49 (89) 378-252 76 Fax: +49 (89) 378-240 83 E-mail: ir@hvbgroup.com Internet: www.hvb.de/ir ISIN: DE0008022005 Category Code: RET TIDM: Sequence Number: 2356 Time of Receipt: Oct 27, 2014 11:22:58 End of Announcement DGAP News-Service
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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) Identity of the person whose positions/ dealings are being disclosed: UniCredit Bank AG (b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient (c) Name of offeror/offeree in relation to whose relevant securities this form relates: Offeror: TUI AG 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: 2014-10-24 (f) Has the discloser previously disclosed, or are they today Yes disclosing, under the Code in respect of any other party to this offer?2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE (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: TUI AG
(DE000TUAG000)
Interests Short
positions
Number % Number %
(1)Relevant securities owned 284,517 0.10% 849,102 0.29%
and/or controlled:
(2)Derivatives (other than 264,157 0.09% ./. ./.%
options):
(3)Options and agreements to ./. 0.00% 3,179 0.00%
purchase/sell:
TOTAL: 548,674 0.19% 852,281 0.30%
Class of relevant security: TUI AG
(DE000TUAG232)
Interests Short
positions
Number % Number %
(1)Relevant securities owned 599,393 N/A ./. 0.00%
and/or controlled:
(2)Derivatives (other than ./. 0.00% ./. 0.00%
options):
(3)Options and agreements to ./. 0.00% ./. 0.00%
purchase/sell:
TOTAL: 599,393 N/A ./. 0.00%
Class of relevant security: TUI AG convertible bonds 2.75 %
(DE000TUAG158)
Interests Short
positions
Number % Number %
(1)Relevant securities owned 7,299,884 EUR 2.15% 0 0.0%
and/or controlled:
(2)Derivatives (other than ./. ./.% ./. ./.%
options):
(3)Options and agreements to ./. ./.% ./. ./.%
purchase/sell:
TOTAL: 7,299,884 EUR 2.15% 0 0.0%
Class of relevant security: TUI AG convertible bonds 5.5 %
(DE000TUAG117)
Interests Short
positions
Number % Number %
(1)Relevant securities owned 151,447 EUR 0.23% 0 0.0%
and/or controlled:
(2)Derivatives (other than ./. ./.% ./. ./.%
options):
(3)Options and agreements to ./. ./.% ./.
./.%purchase/sell:
TOTAL: 151,447 EUR 0.23% 0 0.0%
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(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security. 3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE (a) Purchases and sales
Class of relevant Purchase/sale Number of Price per unit security securities DE000TUAG000 Increase of Short Position 25,000 11.1510 EUR DE000TUAG117 Purchase 12,780 EUR DE000TUAG158 Purchase 889 EUR(b) Derivatives transactions (other than options)
Class of Product Nature of dealing Number of Price
relevant description e.g. opening/closing a long/ reference per unit
security e.g. CFD short position, increasing/ securities
reducing a long/short position
TUIGn.DE_ITS ETF Increasing a long Position 16,000 11.16 EUR
(c) Options transactions in respect of existing securities (i) Writing, selling, purchasing or varying
Class Product Writing, Number of Exer- Type Exp- Option
of descrip- purchasing, securities cise e.g. iry money
relev- tion selling, to which price Ameri- date paid/
ant e.g. varying etc. option per can, received
secur- call relates unit Europ- per unit
ity option ean
etc.
DE000- Put Purchase 10,000 Standa 17.0 0.67
HY4QD37 rd 6.20
Americ 14
an
Option
DE000- Put Purchase 6,000 Standa 18.0 0.49
HY4QDT4 rd 3.20
Americ 15
an
Option
DE000- Put Purchase 6,000 Standa 18.0 0.50
HY4QDT4 rd 3.20
Americ 15
an
Option
DE000- Put Purchase 2,000 Standa 18.0 0.51
HY4QDT4 rd 3.20
Americ 15
an
Option
DE000- Put Purchase 5,700 Standa 17.1 0.15
HY4Z4H3 rd 2.20
Americ 14
an
Option
DE000- Put Purchase 5,000 Standa 17.1 0.14
HY4Z4H3 rd 2.20
Americ 14
an
Option
DE000- Put Purchase 10,000 Standa 17.0 1.70
HY4QDZ1 rd 6.20
Americ 15
an
Option
DE000- Put Purchase 7,000 Standa 16.1 0.70
HY5MRB8 rd 2.20
Americ 15
an
Option
DE000- Put Purchase 7,000 Standa 16.1 0.71
HY5MRB8 rd 2.20
Americ 15
an
Option
(ii) Exercising
Class of relevant Product Number of Exercise Price
security description securities per unit
e.g. call
Option
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit
security e.g. subscription, (if applicable)
conversion
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(c), 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 Person 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' (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' (c) Attachments Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: October, 27th 2014 Contact name: Rene Ludwig Telephone number: +49-89-378 13 663Public 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. 27.10.2014 The DGAP Distribution Services include Regulatory Announcements, Financial/Corporate News and Press Releases. Media archive at www.dgap-medientreff.de and www.dgap.de
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Language: English Company: UniCredit Bank AG Kardinal-Faulhaber-Str. 1 80333 München Germany Phone: +49 (89) 378-252 76 Fax: +49 (89) 378-240 83 E-mail: ir@hvbgroup.com Internet: www.hvb.de/ir ISIN: DE0008022005 Category Code: RET TIDM: Sequence Number: 2356 Time of Receipt: Oct 27, 2014 11:22:58 End of Announcement DGAP News-Service
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