TIDMBARC
FORM 8.5 (EPT/NON-RI) AMENDMENT TO SALES
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 BALL CORPORATION
in relation to whose
relevant securities this form relates:
(c) Name of the party to the REXAM PLC
offer with which exempt
principal trader is connected
(d) Date position held/dealing undertaken: 30 September 2015
(e) In addition to the company in 1(b) YES:
above, is the exempt principal
trader making disclosures in respect REXAM PLC
of any other party to the offer?
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 relevant ORD
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 9,019 0.01% 193 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/DEALING: 7,400 0.01% 12,600 0.01%
(4)
TOTAL: 16,419 0.01% 12,793 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 145,403 62.3000 USD 61.3 USD
ORD Sale 143,872 62.2600 USD 61.385 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 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: 2 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
Identity of the person whose positions/dealings BARCLAYS CAPITAL INC
are being disclosed:
Name of offeror/offeree in relation to whose BALL CORPORATION
relevant securities this from 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 Call Written -2,600 67.5000 American 15 Jan 2016
Options
ORD Put Purchased -100 72.5000 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 -1,900 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 Put Purchased -2,500 60.0000 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 Call Written -1,900 75.0000 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.
The Panel's Market Surveillance Unit is available for
consultation in relation to the Code's disclosure requirements on
+44 (0)20 7638 0129.
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