Bank of America Merrill Lynch Form 8.5 (EPT/RI) - Replacement (7043B)
April 05 2017 - 10:43AM
UK Regulatory
TIDMSHAW
RNS Number : 7043B
Bank of America Merrill Lynch
05 April 2017
FORM 8 Replacement
The Form 8.5 Shawbrook Group PLC announcement released on
05/04/2017 under RNS No 6712B has been amended.
Amendments are identified with an asterisk (*).
The full amended text is shown below.
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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: Bank of America Merrill Lynch
------------------------------------------------------------------------------------- ------------------------------
(b) Name of offeror/offeree in relation to whose Shawbrook Group PLC
relevant securities this form relates:
Use a separate form for each offeror/offeree
------------------------------------------------------------------------------------- ------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: Shawbrook Group PLC
------------------------------------------------------------------------------------- ------------------------------
(d) Date dealing undertaken: 31/03/2017
------------------------------------------------------------------------------------- ------------------------------
(e) In addition to the company in 1(b) above, is the NO
exempt principal trader 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 security Purchases/ Total number of securities Highest price Lowest price
sales per unit per unit
paid/received paid/received
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00BWDPMF43 Purchase *8,468,581 3.401 GBP 3.302 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN GB00BWDPMF43 Sale 1,262,188 3.406 GBP 3.302 GBP
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Cash-settled derivative transactions
Class of Product description Nature of dealing Number of reference Price per unit
relevant security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 36,039 3.394 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 5,419 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 25 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 200 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 1,300 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 15 3.376 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 2,817 3.376 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 52,109 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 52,109 3.32 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 5,955,920 3.393 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 3,027,020 3.34 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 2,670,900 3.393 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 258,000 3.386 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 3,027,020 3.393 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 2,670,900 3.339 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 258,000 3.393 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 329,100 3.339 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 372,980 3.34 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 3,950 3.386 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 15,800 3.374 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 1,113 3.377 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,113 3.337 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 1,113 3.33 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 118,196 3.357 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 25,812 3.355 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 59,608 3.353 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 92,384 3.353 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 59,608 3.353 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 191,344 3.302 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 23,656 3.302 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 200,000 3.302 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 6,388 3.337 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 192 3.357 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 4,098 3.357 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 301 3.357 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 88 3.357 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 356 3.357 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 2,909 3.357 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 22,190 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 44,380 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 38,684 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 100,911 3.328 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 13,657 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 11,095 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 100,911 3.39 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 968,633 3.32 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Short 1,113 3.337 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common - ISIN Swaps Long 1,113 3.33 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
* Common - ISIN * Swaps * Short * 208,586 * 3.305 GBP
GB00BWDPMF43
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions
(including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry date Option money
of description purchasing, of price e.g. paid/
relevant e.g. call selling, securities to per unit American, received per
security option varying etc. which option European etc. unit
relates
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
N/A N/A N/A N/A N/A N/A N/A N/A
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
(ii) Exercise
Class of relevant security Product description Exercising/ Number of Exercise Price per
e.g. call option exercised securities unit
against
--------------------------- -------------------- ------------ ------------ -------------------
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: 05/04/2017
--------------------- ----------------
Contact name: Harshini Gopa
--------------------- ----------------
Telephone number: +44207 996 3410
--------------------- ----------------
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.
FERIAMITMBJMBLR
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