Barclays PLC Form 8.5 (EPT/NON-RI) SHAFTESBURY PLC (0780M)
January 09 2023 - 3:44AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 0780M
Barclays PLC
09 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: 06 January 2023
------------ ---------------------------------------------------------- ------------------------------------------
(e) In addition to the company in YES:
1(b) above, is the exempt principal
trader making disclosures in CAPITAL & COUNTIES PROPERTIES
respect of any other party to PLC
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: 1,533,920 0.40% 770,652 0.20%
(2) Cash-settled derivatives:
712,705 0.19% 1,514,526 0.39%
(3) Stock-settled
derivatives (including
options)
and agreements
to purchase/sell: 55,260.18 0.01% 0 0.00%
TOTAL: 2,301,885 0.59% 2,285,178 0.59%
(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 163,328 3.6480 3.6182 GBP
GBP
25p ordinary Sale 182,854 3.6460 3.5739 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 Long 29 3.6600 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 103 3.6131 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 181 3.6264 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 407 3.6267 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 1,427 3.6358 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 3,837 3.6361 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 6,460 3.6285 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 8,317 3.6399 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 9,999 3.6427 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 581 3.6312 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 665 3.6304 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 919 3.6266 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 967 3.6389 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 1,132 3.6373 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary CFD Increasing Short 1,141 3.6445 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 5,115 3.6455 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 5,265 3.6376 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 6,048 3.6372 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 6,204 3.6379 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 6,993 3.6370 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 Yes
Positions) attached?
--------------------------------------------------------
Date of disclosure: 9 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 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 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
FEOEAPFNELDDEEA
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