Barclays PLC Form 8.5 (EPT/NON-RI) SHAFTESBURY PLC (6410K)
December 22 2022 - 5:56AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 6410K
Barclays PLC
22 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 with Capital & Counties Properties
which exempt plc
------------------------------------------
principal trader is connected
-------------- -------------------------------------------- ------------ ---------- -------------- --------------
(d) Date position held/dealing undertaken: 21 December 2022
-------------- ---------------------------------------------------------- ------------------------------------------
(e) In addition to the company in 1(b) YES:
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: 1,591,273 0.41% 760,737 0.20%
(2) Cash-settled derivatives:
681,318 0.18% 1,543,509 0.40%
(3) Stock-settled derivatives
(including options)
and agreements to
purchase/sell: 303930.98 0.08% 0 0.00%
TOTAL: 2,576,522 0.67% 2,304,246 0.60%
(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 price
of relevant number price per per unit
of unit
security securities paid/received paid/received
-------------- ------------- --------------- ------------ ------------ ---------- -------------- --------------
25p ordinary Purchase 12,737 3.5918 3.497 GBP
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary Sale 92,372 3.5849 3.497 GBP
GBP
----------------------------- ------------------------ -------------- --------------
(b) Cash-settled derivative transactions
-------------- ---------------------------------------------------------- ---------- -------------- --------------
Class Product Nature Number Price per
of of dealing of
relevant description reference unit
security securities
-------------- ------------- --------------- ------------ ------------ ---------- -------------- --------------
25p ordinary SWAP Decreasing Short 19 3.5180 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 181 3.4860 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 191 3.5468 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 233 3.5640 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 309 3.5467 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 463 3.5526 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 500 3.5599 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 653 3.5221 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 1,236 3.5606 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 1,677 3.5020 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 1,718 3.5247 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 2,943 3.5212 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 3,721 3.5733 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 4,661 3.5569 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 5,361 3.5680 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 5,907 3.5919 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 7,244 3.5304 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 11,363 3.5608 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 14,478 3.5920 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary CFD Decreasing Short 29,911 3.5917 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 22 3.5605 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 to which received
etc
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 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: 22 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 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 Type Expiry
of description purchasing, of price date
relevant selling, securities per
unit
security varying to which
etc
option
relates
-------------------------------------------- ------------ ------------ ---------- -------------- --------------
25p ordinary Exchangeable Long 303930.98 n/a n/a 30 Mar 2026
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
FEOEAEAAASDAFFA
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