Form 8.3 - Tullett Prebon plc
Form 8.3 - Tullett Prebon plc
OppenheimerFunds, Inc.
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 “Codeâ€)
1. KEY INFORMATION
|
(a) Identity of the person whose positions/dealings |
 | OppenheimerFunds, Inc. |
|
(b) Owner or controller of interests and short  |
 |  |
|
(c) Name of offeror/offeree in relation to whose  |
 | Tullett Prebon Plc |
|
(d) If an exempt fund manager connected with an |
 |  |
| (e) Date position held/dealing undertaken: | Â | 21/04/2010 |
|
(f) Has the discloser previously disclosed, or are |
 |
NO
If YES, specify which: |
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: | Â | Â | ||||||
|
 |
 | Interests |  | Short positions | ||||
| Â | Number | Â | % | Â | Number | Â | % | |
|
(1) Relevant securities owned |
 | 8,407,975 |  | 3.90% |  |  |  |  |
|
(2) Derivatives (other than |
 |  |  |  |  |  |  |  |
|
(3) Options and agreements to |
 |  |  |  |  |  |  |  |
|
TOTAL: |
 | 8,407,975 |  | 3.90% |  |  |  |  |
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 |
 |
 |
 |  |  |  |  |  |  |  |  |  |  |  |  |  |
|
Details, including nature of the rights |
 |
 |
 |  |  |  |  |  |  |  |  |  |  |  |  |  |
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 |
| Ordinary | Â | Purchase | Â | 5,930 | Â | 3.6473 |
| Ordinary | Â | Purchase | Â | 96,218 | Â | 3.6473 |
(b) Derivatives transactions (other than options)
|
Class of |
 |
Product  |
 |
Nature of dealing
e.g. opening/closing a |
 |
Number of |
 |
Price per |
| Â | Â | Â | Â | Â | Â | Â | Â | Â |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
|
Class |
 |
Product |
 |
Writing, |
 |
Number of |
 |
Exercise |
 |
Type  |
 |
Expiry |
 |
Option |
| Â | Â | Â | Â | Â | Â | Â | Â | Â | Â | Â | Â | Â | Â | Â |
(ii) Exercising
|
Class of relevant |
 |
Product description  |
 |
Number of |
 |
Exercise price per |
| Â | Â | Â | Â | Â | Â | Â |
(d) Other dealings (including subscribing for new securities)
|
Class of relevant |
 |
Nature of dealing  |
 | Details |  |
Price per unit (if |
| Â | Â | Â | Â | Â | Â | Â |
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, Â |
|
None |
(b) Agreements, arrangements or understandings relating to options or derivatives
|
Details of any agreement, arrangement or understanding, formal
or informal, between  |
|
None |
(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | Â | NO |
| Date of disclosure: | Â | 21 April, 2010 |
| Contact name: | Â | Jake Burford |
| Telephone number: | Â | 303-768-2826 (U.S.) |
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.
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