Barclays PLC Form 8.5 (EPT/NON-RI) - SHAFTESBURY PLC (2790N)
January 19 2023 - 5:17AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 2790N
Barclays PLC
19 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: 18 January 2023
-------------- --------------------------------------------------------- ------------------------------------------
(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: 1,473,036 0.38% 799,039 0.21%
(2) Cash-settled derivatives:
712,118 0.19% 1,430,662 0.37%
(3) Stock-settled derivatives
(including options)
and agreements
to purchase/sell: 55,260.18 0.01% 0 0.00%
TOTAL: 2240414 0.58% 2,229,701 0.58%
(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 132,703 3.8520 3.7911
GBP GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary Sale 122,837 3.8520 3.7861
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 SWAP Decreasing Short 493 3.8159
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 500 3.8160
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 892 3.8247
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 1,671 3.8190
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 7,968 3.7859
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 54 3.8260
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 354 3.8319
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 441 3.8110
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 502 3.8201
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 2,093 3.8014
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 2,644 3.8145
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 2,870 3.7990
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 4,882 3.8174
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary CFD Increasing Short 5,871 3.7863
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 6,423 3.7894
GBP
---------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 7,671 3.7961
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: 19 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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