Barclays PLC Form 8.5 (EPT/NON-RI) Brewin Dolphin Holdings plc (2891Q)
June 27 2022 - 5:10AM
UK Regulatory
TIDMBARC TIDMBRW
RNS Number : 2891Q
Barclays PLC
27 June 2022
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 BARCLAYS CAPITAL SECURITIES
trader: LTD
---------------------------------------
(b) Name of offeror/offeree BREWIN DOLPHIN HOLDINGS
in relation to whose PLC
---------------------------------------
relevant securities this
form relates:
------------------------- --------------------------------------- ----- ----- --- --- -----
(c) Name of the party to the Brewin Dolphin Holdings
offer with which exempt plc
---------------------------------------
principal trader is connected
------------------------- --------------------------------------- ----- ----- --- --- -----
(d) Date position held/dealing 24 June 2022
undertaken:
------------------------- --------------------------------------- ---------------------------------------
(e) In addition to the company NO
in 1(b) above, is the exempt
principal
trader making disclosures
in respect of any other party
to the offer?
------------------------- --------------------------------------- -------------------------- --- ------
2. POSITIONS OF THE EXEMPT
PRINCIPAL TRADER
(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: 1p ordinary
-------------------- --------------------------------------
Interests Short Positions
-------------------- --------------------------------------
Number (%) Number (%)
-------------------------------------------- ------------ ------ -------------------------- ----------
(1) Relevant securities
owned
and/or controlled: 7,063,954 2.33% 296,921 0.10%
(2) Cash-settled derivatives:
241,609 0.08% 6,864,069 2.26%
(3) Stock-settled derivatives
(including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 7,305,563 2.41% 7,160,990 2.36%
(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:
-------------------------------------------------------------------------------- -----------------
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL
TRADER
(a) Purchases and sales
------------ ---------------------------------- -------------- --------------
Class of Purchase/sale Total number Highest price Lowest price
relevant of per unit per unit
security securities paid/received paid/received
------------ -------------- -------------- -------------- --------------
1p ordinary Purchase 94,321 5.1100 GBP 5.0964 GBP
---------------- ---------------- -------------- --------------
1p ordinary Sale 63,516 5.1000 GBP 5.0899 GBP
---------------- ---------------- -------------- --------------
(b) Cash-settled derivative transactions
------------ ----------------------------------------------- -----------
Class of Product Nature of Number Price per
dealing of
relevant description reference unit
security securities
------------ -------------- ----------- ------------ -----------
1p ordinary SWAP Decreasing 2,509 5.0999 GBP
Long
---------------- ------------- ------------ -----------
1p ordinary SWAP Decreasing 6,318 5.1017 GBP
Long
---------------- ------------- ------------ -----------
1p ordinary SWAP Decreasing 135 5.0896 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Decreasing 300 5.1100 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Decreasing 400 5.0899 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 1,999 5.0979 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 2,509 5.1000 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary CFD Increasing 6,081 5.1006 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 9,452 5.0995 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 11,188 5.0929 GBP
Short
---------------- ------------- ------------ -----------
(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 to received
etc which
option per unit
relates
------------- -------------- ------------ ---------------- ------ ------------ -----------
(ii) Exercising
Class of relevant Product description Exercising/ exercised Number Exercise
against of price per
security securities unit
-------------- ------------- -------------- ------------ ------------ -----------
(d) Other dealings (including subscribing for new securities)
Class Nature Details Price
of relevant of Dealings per unit
(if
security applicable)
-------------- ------------- -------------- ------------ ------------ -----------
4. OTHER INFORMATION
(a) Indemnity and other dealings 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:
--------------------------------------------------------------------------------------------------- -----------
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 of future acquisition or disposal of any relevant
securities to which
any derivative is referenced:
----------------------------------------------------------- ---------------- ------ ------------ -----------
NONE
----------------------------------------------------------------------------------------------------------------
(c) Attachments
Is a Supplemental Form 8 (Open NO
Positions) attached?
---------------------------------------------------
Date of disclosure: 27 Jun 2022
Contact name: Large Holdings Regulatory Operations
020 3134
Telephone number: 7213
---------------- ------ ------------ -----------
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