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 “Code”)

1. KEY INFORMATION

(a) Identity of the person whose positions/dealings
are being disclosed:

  OppenheimerFunds, Inc.

(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:
Use a separate form for each offeror/offeree

 

  Tullett Prebon Plc

(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:   21/04/2010

(f) Has the discloser previously disclosed, or are
they today disclosing, under the Code in respect
of any other party to this offer?

  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:    

 

  Interests   Short positions
  Number   %   Number   %

(1) Relevant securities owned
and/or controlled:

  8,407,975   3.90%        

(2) Derivatives (other than
options):

               

(3) Options and agreements to
purchase/sell:

               

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
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
security

  Purchase/sale  

Number of
securities

  Price per unit
Ordinary   Purchase   5,930   3.6473
Ordinary   Purchase   96,218   3.6473

(b) Derivatives transactions (other than options)

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

                 

(c) Options transactions in respect of existing securities

(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) Exercising

Class of relevant
security

 

Product description
e.g. call option

 

 

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)

             

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”

 

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:   21 April, 2010
Contact name:   Jake Burford
Telephone number:   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.

UK 100

Latest directors dealings