Barclays PLC Form 8.5 (EPT/NON-RI) BREWIN DOLPHIN HOLDINGS PLC (4700A)
September 23 2022 - 5:31AM
UK Regulatory
TIDMBARC TIDMBRW
RNS Number : 4700A
Barclays PLC
23 September 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 BREWIN DOLPHIN HOLDINGS
to whose PLC
------------------------------------------
relevant securities this form
relates:
-------------- --------------------------------------------------------- ---------- -------------- --------------
(c) Name of the party to the offer BREWIN DOLPHIN HOLDINGS
with which exempt PLC
------------------------------------------
principal trader is connected
-------------- ------------------------------------------- ------------ ---------- -------------- --------------
(d) Date position held/dealing undertaken: 22 September 2022
-------------- --------------------------------------------------------- ------------------------------------------
(e) In addition to the company in NO
1(b) above, is the exempt principal
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: 1p ordinary
------------------------- --------------------------
Interests Short Positions
------------------------- --------------------------
Number (%) Number (%)
---------------------------------------------- ----------- ------------ ---------- --------------
(1) Relevant securities
owned
and/or controlled: 9,720,184 3.20% 502,480 0.17%
(2) Cash-settled derivatives:
377,704 0.12% 7,926,238 2.61%
(3) Stock-settled
derivatives (including
options)
and agreements
to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 10,097,888 3.32% 8,428,718 2.78%
(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
-------------- ------------- --------------- ----------- ------------ ---------- -------------- --------------
1p ordinary Purchase 67,407 5.1411 5.1397 GBP
GBP
1p ordinary Sale 96,196 5.1400 5.1399 GBP
GBP
---------------------------- ------------------------ -------------- --------------
(b) Cash-settled derivative transactions
-------------- --------------------------------------------------------- ---------- -------------- --------------
Class Product Nature Number Price per
of of dealing of
relevant description reference unit
security securities
-------------- ------------- --------------- ----------- ------------ ---------- -------------- --------------
1p ordinary SWAP Decreasing Long 1,660 5.1499 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Decreasing Long 27,413 5.1400 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Decreasing Short 200 5.1399 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Decreasing Short 27,413 5.1400 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Decreasing Short 33,724 5.1415 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Decreasing Short 91,692 5.1400 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 306 5.1410 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 1,660 5.1499 GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 27,413 5.1400 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: 23 Sep
2022
Contact name: Large Holdings Regulatory
Operations
Telephone number: 020 3134 7213
------------------------ -------------- --------------
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