Barclays PLC Form 8.5 (EPT/NON-RI)SHAFTESBURY PLC (4054M)
January 11 2023 - 5:28AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 4054M
Barclays PLC
11 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 with Capital & Counties Properties
which exempt plc
------------------------------------------
principal trader is connected
------------ -------------------------------------------- ------------ ---------- -------------- --------------
(d) Date position held/dealing undertaken: 10 January 2023
------------ ---------------------------------------------------------- ------------------------------------------
(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: 1,512,939 0.39% 844,471 0.22%
(2) Cash-settled derivatives:
712,705 0.19% 1,493,474 0.39%
(3) Stock-settled derivatives
(including options)
and agreements to
purchase/sell: 55,260.18 0.01% 0 0.00%
TOTAL: 2,280,904 0.59% 2,337,945 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) 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 43,524 3.6259 3.5698 GBP
GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary Sale 55,096 3.6127 3.5701 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 96 3.6370 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 215 3.6009 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 485 3.6010 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 840 3.5699 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary CFD Decreasing Short 926 3.5931 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 927 3.5843 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 4,671 3.6017 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 7,132 3.5894 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 10,413 3.5699 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary CFD Decreasing Short 10,805 3.5697 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 231 3.6080 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 250 3.6140 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 404 3.6070 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 737 3.6056 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 949 3.6001 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 1,423 3.5760 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 1,683 3.5790 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 2,284 3.5815 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 3,029 3.5829 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 11,495 3.5702 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 11,732 3.5706 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 paid/
unit
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: 11 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 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
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