Barclays PLC Form 8.5 (EPT/NON-RI)SHAFTESBURY PLC (4882K)
December 21 2022 - 5:45AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 4882K
Barclays PLC
21 December 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 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: 20 December 2022
------------ ---------------------------------------------------------- ------------------------------------------
(e) In addition to the company in YES:
1(b) above, is the exempt principal
trader making disclosures in respect CAPITAL & COUNTIES PROPERTIES
of any other party to the offer? PLC
------------ ---------------------------------------------------------- ------------------------------------------
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: 1,670,908 0.43% 760,737 0.20%
(2) Cash-settled derivatives:
681,318 0.18% 1,623,144 0.42%
(3) Stock-settled derivatives
(including options)
and agreements
to purchase/sell: 2,895,394 0.75% 0 0.00%
TOTAL: 5,247,620 1.37% 2,383,881 0.62%
(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 Purchase/sale Total Highest Lowest
of relevant number price per price per
of unit unit
security securities paid/received paid/received
------------ ------------- --------------- ------------ ------------ ---------- -------------- --------------
25p ordinary Purchase 14,767 3.6200 3.4938
GBP GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary Sale 98,584 3.5390 3.5002
GBP GBP
----------------------------- ------------------------ -------------- --------------
(b) Cash-settled derivative transactions
------------ ---------------------------------------------------------- ---------- -------------- --------------
Class Product Nature Number Price
of of dealing of per
relevant description reference unit
security securities
------------ ------------- --------------- ------------ ------------ ---------- -------------- --------------
25p ordinary CFD Decreasing Short 1 3.5100
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 131 3.5172
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 209 3.4960
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 210 3.5169
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 239 3.5420
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 272 3.5143
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 372 3.5240
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 441 3.4979
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 638 3.5013
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 1,009 3.4842
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 1,563 3.4938
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 2,099 3.5060
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 4,251 3.5064
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 4,500 3.5066
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 4,733 3.5295
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 5,107 3.5152
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 5,982 3.5178
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 6,752 3.5588
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary CFD Decreasing Short 12,792 3.5057
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 13,311 3.5424
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 14,042 3.5106
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 26,922 3.5060
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
option per unit
relates
------------- --------------- ------------ ------------ ---------- -------------- --------------
(ii) Exercising
Class of relevant Product description Exercising/ Number Exercise
exercised against of price per
security securities unit
------------ ------------- --------------- ------------ -------------- --------------
(d) Other dealings (including subscribing
for new securities)
Class Nature of Details Price
of relevant 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 Yes
Positions) attached?
--------------------------------------------------------
Date of disclosure: 21 Dec
2022
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 BARCLAYS CAPITAL SECURITIES LTD
positions/dealings
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 Type Expiry
of description purchasing, of price date
relevant selling, securities per
unit
security varying to which
etc
option
relates
------------------------------------------ ------------ ------------ ---------- -------------- --------------
25p ordinary Exchangeable Long 2,895,394 n/a n/a 30 Mar
Bond 2026
--------------- ------------ ---------- -------------- --------------
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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