Barclays PLC Form 8.5 (EPT/NON-RI) Shaftesbury plc (1086O)
January 27 2023 - 4:59AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 1086O
Barclays PLC
27 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 trader: BARCLAYS CAPITAL SECURITIES
LTD
(b) Name of offeror/offeree in relation SHAFTESBURY PLC
to whose
relevant securities this form
relates:
--------------------------------------- -------------------------------
(c) Name of the party to the offer Capital & Counties Properties
with which exempt plc
principal trader is connected
--------------------------------------- -------------------------------
(d) Date position held/dealing undertaken: 26 Jan 2023
--------------------------------------- -------------------------------
(e) In addition to the company in YES:
1(b) above, is the exempt principal
CAPITAL & COUNTIES PROPERTIES
trader making disclosures in PLC
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: 1,567,667 0.41% 834,373 0.22%
----------- ------- ----------- --------
(2) Cash-settled derivatives: 716,511 0.19% 1,523,765 0.40%
----------- ------- ----------- --------
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell: 55260.18 0.01% 0 0.00%
----------- ------- ----------- --------
TOTAL: 2,339,438 0.60% 2,358,138 0.61%
----------- ------- ----------- --------
(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 Highest Lowest price per unit
relevant of price
per unit paid/received
security securities
paid/received
25p ordinary Purchase 255418 3.9104 3.8620 GBP
GBP
--------------- --------------- ---------------- -------------------------------------
25p ordinary Sale 163369 3.9180 3.8609 GBP
GBP
--------------- --------------- ---------------- -------------------------------------
(b) Cash-settled derivative transactions
Class of Product Nature of Number Price per
description dealing of
relevant unit
reference
security
securities
25p ordinary SWAP Closing Short 1,143 3.8978 GBP
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Closing Short 1,153 3.8620 GBP
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 16 3.9080 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 18 3.8966 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 36 3.8660 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 50 3.8859 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 62 3.9007 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 76 3.9003 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 143 3.9008 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 202 3.8684 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 357 3.8800 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 2,589 3.8815 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Decreasing 6,543 3.8619 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 4,254 3.8793 GBP
Long
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 233 3.8980 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 1,012 3.8680 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 1,619 3.8769 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 2,592 3.8688 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 3,895 3.8780 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 5,562 3.8658 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary CFD Increasing 25,916 3.8623 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 40,490 3.8620 GBP
Short
--------------- --------------- ---------------- -------------------------------------
25p ordinary SWAP Increasing 42,474 3.8623 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 paid/
unit
security varying etc to which received
option per
unit
relates
(ii) Exercising
Class of Product Exercising/ Number Exercise price per
relevant description exercised of
against unit
security securities
(d) Other dealings (including subscribing for new securities)
Class of Nature of Details Price per unit (if
relevant 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) YES
attached?
Date of disclosure: 27 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 SHAFTESBURY PLC
to whose
------------------------------------------
relevant securities this from relates:
------------------------------------------------------ ----------- --------- ------ ----------
2 OPTIONS AND DERIVATIVES
------------------------------------------------------ ------------------------------------------
Class Product Writing, Number Exercise Expiry
Type
of description purchasing, of price date
relevant selling, securities per
unit
security varying to which
etc
option
relates
----------------- ---------------- --------------- ----------- --------- ------ ----------
25p ordinary Exchangeable Long 55260.18 n/a n/a 30-Mar-26
Bond
------------------- ---------------- --------------- ----------- --------- ------ ----------
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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END
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