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: 16 April 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 9,797 0.01% 788 0.00%
controlled:
(2) Cash-settled
derivatives:
0 0.00% 0 0.00%
(3) Stock-settled
derivatives
(including
options)
and agreements 7,800 0.01% 15,200 0.01%
to
purchase/DEALING:
(4)
TOTAL: 17,597 0.01% 15,988 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 61,820 72.2200 USD 71.7283 USD
ORD Sale 58,120 72.1300 USD 71.67 USD
(b) Cash-settled
derivative
transactions
Class of Product Nature of dealing Number of Price per unit
relevant
security description reference
securities
ORD SWAP Expires Long 1,286 72.1400 USD
23/05/2016
(c) Stock-settled derivative transactions (including
options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number Exercise Type Expiry date Option
relevant description purchasing, of price e.g. money
security e.g. selling, securities per unit American, paid/
call varying to European received
option etc. which etc. per
option unit
relates
(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: 17 April 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.
SUPPLEMENTAL
FORM 8
(OPEN
POSITIONS)
DETAILS OF
OPEN
OPTION
AND
DERIVATIVE
POSITIONS,
AGREEMENTS
TO
PURCHASE OR
SELL ETC.
Note 5(i)
on Rule
8 of the
Takeover Code
(the "Code")
1. KEY INFORMATION
Identity BARCLAYS CAPITAL INC
of the
person whose
positions/dealings
are
being
disclosed:
Name BALL CORPORATION
of
offeror/offeree
in relation
to whose
relevant
securities
this from
relates:
2. OPTIONS AND DERIVATIVES
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 Put Options Purchased -100 70.0000 American 15 May 2015
ORD Put Options Written 100 60.0000 American 15 May 2015
ORD Put Options Written 1,200 65.0000 American 15 May 2015
ORD Put Options Written 3,500 70.0000 American 21 Aug 2015
ORD Call Options Purchased 200 70.0000 American 17 Apr 2015
ORD Call Options Purchased 2,800 75.0000 American 15 May 2015
ORD Call Options Written -2,600 60.0000 American 15 May 2015
ORD Call Options Written -1,100 70.0000 American 15 May 2015
ORD Call Options Written -4,900 70.0000 American 21 Aug 2015
ORD Call Options Written -3,000 75.0000 American 21 Aug 2015
ORD Call Options Written -3,500 80.0000 American 21 Aug 2015
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:
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