Barclays PLC Form 8.5 (EPT/NON-RI) Shaftesbury plc (7070N)
January 24 2023 - 5:58AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 7070N
Barclays PLC
24 January 2023
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 SHAFTESBURY PLC
in relation to whose
relevant securities this
form relates:
------------------------------- -------------------------------
(c) Name of the party to the Capital & Counties Properties
offer with which exempt plc
principal trader is connected
------------------------------- -------------------------------
(d) Date position held/dealing 23 Jan 2023
undertaken:
------------------------------- -------------------------------
(e) In addition to the company YES:
in 1(b) above, is the exempt
principal CAPITAL & COUNTIES PROPERTIES
PLC
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: 25p ordinary
Interests Short Positions
--------------------------
Number (%) Number (%)
------- ---------- --------------
(1) Relevant securities
owned and/or controlled: 1,464,512 0.38% 805,828 0.21%
---------- ------- ---------- --------------
(2) Cash-settled derivatives: 712,118 0.19% 1,418,939 0.37%
---------- ------- ---------- --------------
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell: 55,260 0.01% 0 0.00%
---------- ------- ---------- --------------
TOTAL: 2,231,890 0.58% 2,224,767 0.58%
---------- ------- ---------- --------------
(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) Purchase
and sales
Class of Purchase/sale Total number of Highest Lowest price per
relevant price unit
securities per
security unit paid/received
paid/received
25p ordinary Purchase 68492 3.7600 3.7419 GBP
GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary Sale 81983 3.7660 3.7428 GBP
GBP
--------------- -------------------- ---------------- -------------------------------
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number Price per
description of
relevant unit
reference
security
securities
25p ordinary CFD Decreasing Short 1 3.7600 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 27 3.7460 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 49 3.7520 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 62 3.7521 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 73 3.7560 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 75 3.7543 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 89 3.7647 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 200 3.7648 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 641 3.7502 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 800 3.7629 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary CFD Decreasing Short 5,871 3.7596 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 7,425 3.7599 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Decreasing Short 8,309 3.7600 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Increasing Short 95 3.7360 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Increasing Short 225 3.7440 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Increasing Short 927 3.7634 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Increasing Short 1,421 3.7506 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Increasing Short 7,468 3.7600 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Opening Short 260 3.7600 GBP
--------------- -------------------- ---------------- -------------------------------
25p ordinary SWAP Opening Short 309 3.7600 GBP
--------------- -------------------- ---------------- -------------------------------
(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 received
which
per
option unit
relates
----------
(ii) Exercising
Class of Product Exercising/ Number Exercise price
relevant description exercised of per
against
security securities unit
(d) Other dealings (including subscribing for new securities)
Class of Nature Details Price per unit (if
relevant of Dealings
applicable)
security
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 Positions) attached? YES
Date of disclosure: 24 Jan 2023
-------------------------------
Contact name: Large Holdings
Regulatory Operations
-------------------------------
Telephone number: 020 3134 7213
-------------------------------
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 of the person whose positions/dealings BARCLAYS CAPITAL
SECURITIES LTD
-------------------------------
are being disclosed:
----------------------------------------------------- ---------------- ----------- --------- -------
Name of offeror/offeree in relation to whose SHAFTESBURY PLC
-------------------------------
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 to which
etc
option
relates
-------------------------------------------------------------------- ----------- --------- ------- ----------
25p ordinary Exchangeable Bond Long 55260.18 n/a n/a 30-Mar-26
------------------------------- -------------------- ---------------- ----------- --------- ------- ----------
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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