Barclays PLC Form 8.5 (EPT/NON-RI)SHAFTESBURY PLC (3289Q)
February 17 2023 - 7:18AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 3289Q
Barclays PLC
17 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 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: 16 Feb 2023
------------------------------------------------- ----------------------------------------------
(e) In addition to the company in YES:
1(b) above, is the exempt principal
CAPITAL & COUNTIES PROPERTIES
trader making disclosures in PLC
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: 1,464,769 0.38% 847,393 0.22%
----------- --------- ---------- ----------
(2) Cash-settled derivatives: 625,924 0.16% 1,368,846 0.36%
----------- --------- ---------- ----------
(3) Stock-settled derivatives (including
options) and agreements to purchase/sell: 96,705 0.02% 0 0.00%
----------- --------- ---------- ----------
TOTAL: 2,187,398 0.56% 2,216,239 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 Purchase/sale Total number Highest Lowest price per unit
of relevant of price per
unit paid/received
security securities
paid/received
25p ordinary Purchase 20475 4.2300 4.1060 GBP
GBP
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary Sale 33139 4.2340 4.1720 GBP
GBP
--------------- -------------- ---------------- ----------------------------------------------
(b) Cash-settled derivative transactions
Class Product Nature of Number Price per
of description dealing of
unit
relevant reference
security securities
25p ordinary SWAP Decreasing 1 4.2060 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 1 4.2340 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 2 4.2080 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 2 4.2140 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 16 4.2299 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 61 4.2077 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 1,462 4.2012 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 1,507 4.2102 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 2,000 4.1965 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 2,435 4.2003 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 4,547 4.2300 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 139 4.2081 GBP
Long
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 5,912 4.2012 GBP
Long
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 467 4.2203 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 959 4.1987 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 997 4.1790 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 1,615 4.1837 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 1,745 4.1909 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 6,794 4.2300 GBP
Short
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary CFD Opening Long 354 4.2140 GBP
--------------- -------------- ---------------- ----------------------------------------------
25p ordinary CFD Opening Long 7,386 4.2012 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 paid/
unit
security varying etc to which received
option per unit
relates
(ii) Exercising
Class Product Exercising/ Number Exercise price per
of relevant description exercised of
against unit
security securities
(d) Other dealings (including subscribing for new securities)
Class Nature Details Price per unit (if
of 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: 17 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 96,705 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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