Barclays PLC Form 8.5 (EPT/NON-RI) - SHAFTESBURY PLC (1594Q)
February 16 2023 - 5:16AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 1594Q
Barclays PLC
16 February 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 BARCLAYS CAPITAL SECURITIES LTD
trader:
(b) Name of offeror/offeree SHAFTESBURY PLC
in relation to whose
relevant securities this
form relates:
------------------------------------------------- ----------------------------------------------
(c) Name of the party to the Capital & Counties Properties
offer with which exempt plc
principal trader is connected
------------------------------------------------- ----------------------------------------------
(d) Date position held/dealing 15 Feb 2023
undertaken:
------------------------------------------------- ----------------------------------------------
(e) In addition to the company YES:
in 1(b) above, is the exempt
principal CAPITAL & COUNTIES PROPERTIES
PLC
trader making disclosures
in respect of any other party
to 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: 1,475,505 0.38% 862,737 0.22%
----------- --------- ---------- ----------
(2) Cash-settled derivatives: 613,825 0.16% 1,369,995 0.36%
----------- --------- ---------- ----------
(3) Stock-settled derivatives (including
options) and agreements to purchase/sell: 165,781 0.04% 0 0.00%
----------- --------- ---------- ----------
TOTAL: 2,255,111 0.58% 2,232,732 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) Purchase
and sales
Class of Purchase/sale Total number Highest Lowest price per unit
relevant of price per
unit paid/received
security securities
paid/received
25p ordinary Purchase 24936 4.2320 4.2030 GBP
GBP
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary Sale 21988 4.2220 4.1960 GBP
GBP
--------------- -------------- ---------------- ----------------------------------------------
(b) Cash-settled derivative transactions
Class of Product Nature of Number Price per
description dealing of
relevant unit
reference
security
securities
25p ordinary SWAP Decreasing 1 4.2060 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 1 4.1940 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 3 4.2020 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 115 4.2116 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 3,781 4.2029 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 4,318 4.1900 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary CFD Decreasing 4,875 4.2013 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 258 4.2118 GBP
Long
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 2,107 4.2051 GBP
Long
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 258 4.2320 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 303 4.2175 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 778 4.2060 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 937 4.2147 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 2,105 4.2030 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary CFD Increasing 3,129 4.2063 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 4,701 4.2050 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 8,045 4.2060 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
(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 Product Exercising/ Number Exercise price per
relevant description exercised of
against unit
security securities
(d) Other dealings (including subscribing for new securities)
Class of Nature Details Price per unit (if
relevant of Dealings
applicable)
security
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 Positions) Yes
attached?
Date of disclosure: 16 Feb 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 165780.5 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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