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TIDMBARC 
 
 

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

1. KEY INFORMATION

 
(a) Name of exempt principal trader:                   BARCLAYS CAPITAL INC 
(b) Name of offeror/offeree in relation to whose       BALL CORPORATION 
relevant securities  this form relates: 
Use a separate form for each offeror/offeree 
(c) Name of the party to the offer with which          REXAM PLC 
exempt principal  trader is connected: 
(d) Date position held/dealing undertaken:             2 Oct 2015 
For an opening position disclosure, state the latest 
practicable  date prior to the disclosure 
(e) In addition to the company in 1(b) above,          YES 
is the exempt  principal trader                       REXAM PLC 
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 EXEMPT PRINCIPAL TRADER

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(b), 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                    ORD 
relevant 
security: 
                            Interests         Short Positions 
                            Number     (%)    Number           (%) 
(1)         Relevant 
            securities 
            owned 
            and/or          10,919     0.01%  112              0.00% 
            controlled: 
(2)         Cash-settled 
            derivatives: 
                            0          0.00%  0                0.00% 
(3)         Stock-settled 
            derivatives 
            (including 
            options) 
            and agreements  7,400      0.01%  13,600           0.01% 
            to 
            purchase/DEALING: 
(4) 
            TOTAL:          18,319     0.01%  13,712           0.01% 
 
 

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 EXEMPT PRINCIPAL TRADER

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), 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   Purchase/DEALING  Total number of  Highest price  Lowest price 
relevant                                   per unit       per unit 
security                  securities       paid/received  paid/received 
ORD        Purchase       75,478           64.0600 USD    62.3773 USD 
ORD        Sale           74,397           64.0600 USD    62.37 USD 
 
 

(b) Cash-settled derivative transactions

 
Class of relevant   Product      Nature of            Number of reference  Price per unit 
security            description  dealing              securities 
                    e.g. CFD     e.g. 
                                 opening/closing 
                                 a long/short 
                                 position, 
                                 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               date         money 
relevant                selling,     securities  per unit                         paid/ 
security                varying etc  to which                                     received 
                                     option                                       per unit 
                                     relates 
ORD        Call         Selling      1,000       80 USD    American  15 Jan 2016  0.3500 USD 
           Options 
 
 

(ii) Exercise

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

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

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

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 exempt principal 
trader 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" 
 
 

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

 
Details of any agreement, arrangement or understanding, 
formal or  informal, between the 
exempt principal trader 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?   YES 
 
 
Date of disclosure:   5 Oct 2015 
Contact name:         Jay Supaya 
Telephone number:     020 7773 0635 
 
 

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.

143221.01

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:   BARCLAYS CAPITAL INC 
Name of offeror/offeree in               BALL CORPORATION 
relation to whose relevant 
securities the  disclosure relates: 
 
 

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

 
Class      Product      Writing,     Number      Exercise  Type      Expiry 
of         description  purchasing,  of          price               date 
relevant                selling,     securities  per unit 
security                varying etc  to which 
                                     option 
                                     relates 
ORD        Call         Purchased    600         60.0000   American  20 Nov 2015 
           Options 
ORD        Put          Purchased    -100        72.5000   American  15 Jan 2016 
           Options 
ORD        Call         Written      -2,600      67.5000   American  15 Jan 2016 
           Options 
ORD        Call         Written      -1,000      70.0000   American  15 Jan 2016 
           Options 
ORD        Call         Written      -1,000      77.5000   American  15 Jan 2016 
           Options 
ORD        Put          Written      100         67.5000   American  16 Oct 2015 
           Options 
ORD        Call         Purchased    300         70.0000   American  16 Oct 2015 
           Options 
ORD        Call         Purchased    700         67.5000   American  20 Nov 2015 
           Options 
ORD        Call         Purchased    1,200       75.0000   American  15 Jan 2016 
           Options 
ORD        Call         Written      -1,000      80.0000   American  15 Jan 2016 
           Options 
ORD        Call         Written      -1,900      77.5000   American  20 Nov 2015 
           Options 
ORD        Call         Written      -1,300      85.0000   American  20 Nov 2015 
           Options 
ORD        Put          Written      300         65.0000   American  16 Oct 2015 
           Options 
ORD        Call         Purchased    4,200       75.0000   American  20 May 2016 
           Options 
ORD        Call         Written      -1,900      75.0000   American  20 Nov 2015 
           Options 
ORD        Call         Written      -100        72.5000   American  15 Jan 2016 
           Options 
ORD        Put          Purchased    -100        67.5000   American  20 Nov 2015 
           Options 
ORD        Put          Purchased    -2,500      60.0000   American  20 Nov 2015 
           Options 
ORD        Put          Purchased    -100        65.0000   American  20 Nov 2015 
           Options 
 
 

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.

(MORE TO FOLLOW) Dow Jones Newswires

October 05, 2015 06:38 ET (10:38 GMT)