Morgan Stanley & Co. Int'l plc Form 8.5 (EPT/RI) - Metro Bank plc (4909R)
November 05 2021 - 4:04AM
UK Regulatory
TIDM59SS TIDMMTRO
RNS Number : 4909R
Morgan Stanley & Co. Int'l plc
05 November 2021
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH
RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING
CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: Morgan Stanley & Co. International plc
(b) Name of offeror/offeree in relation to whose relevant securities this Metro Bank plc
form relates:
Use a separate form for each offeror/offeree
---------------------------------------
(c) Name of the party to the offer with which exempt principal trader is Carlyle Group
connected:
---------------------------------------
(d) Date dealing undertaken: 04 November 2021
---------------------------------------
(e) In addition to the company in 1(b) above, is the exempt principal trader NO
making disclosures
in respect of any other party to this offer?
If it is a cash offer or possible cash offer, state "N/A"
---------------------------------------
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
Where there have been dealings in more than one class of
relevant securities of the offeror or offeree named in 1(b), copy
table 2(a), (b), (c) or (d) (as appropriate) for each additional
class of relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and sales
Class of relevant Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
0.0001p ordinary PURCHASES 957,748 1.4485 GBP 1.1529 GBP
----------------- ------------------------ ----------------------- -----------------------
0.0001p ordinary SALES 1,409,809 1.4660 GBP 1.0500 GBP
----------------- ------------------------ ----------------------- -----------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
0.0001p ordinary CFD increasing a long 18,581 1.2714 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a long 37,520 1.3003 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a long 4,156 1.3051 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a long 4,997 1.3365 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a long 9,238 1.3397 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a short 2,377 1.2450 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a short 8,904 1.2604 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a short 2,458 1.2858 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a short 39,476 1.3125 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a short 870 1.3212 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD increasing a short 430,000 1.3356 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a long position 6,491 1.2504 GBP
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a long position 18,581 1.2723 GBP
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a long position 9,238 1.3212 GBP
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a long position 1,419 1.3300 GBP
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a long position 9,498 1.3481 GBP
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a long position 2,656 1.4111 GBP
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a short 18,586 1.3003 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a short 7,044 1.3194 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a short 10,000 1.3292 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a short 2,049 1.3300 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a short 28,453 1.3300 GBP
position
-------------------- ------------------------- ------------------------- ---------------
0.0001p ordinary CFD reducing a short 39,476 1.3448 GBP
position
-------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
N/A N/A N/A N/A N/A N/A N/A N/A
------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
N/A N/A N/A N/A N/A
-------------------- ----------------------- --------------------- -----------------------
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
N/A N/A N/A N/A
------------------------------- -------- -------------------------------
3. OTHER INFORMATION
(a) Indemnity and other dealing 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:
Irrevocable commitments and letters of intent should not be included. If there are no such
agreements, arrangements or understandings, state "none"
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 or future acquisition or disposal of any relevant securities to which
any derivative is referenced:
If there are no such agreements, arrangements or understandings, state "none"
NONE
Date of disclosure: 05 November 2021
Contact name: Craig Horsley
-----------------
Telephone number: +44 141 245-7736
-----------------
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service.
The Panel's Market Surveillance Unit is available for
consultation in relation to the Code's dealing disclosure
requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk .
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