Barclays PLC Form 8.5 (EPT/NON-RI) - SHAFTESBURY PLC Amendment (8984Q)
February 23 2023 - 10:52AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 8984Q
Barclays PLC
23 February 2023
FORM 8.5 (EPT/NON-RI) Amendment to Purchase
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
trader: LTD
------------------------------- ------------
(b) Name of offeror/offeree in SHAFTESBURY PLC
relation to whose
------------------------------------------
relevant securities
this form relates:
------------ ------------------------------- ------------ ----------- ---------- -------------- --------------
(c) Name of the party to the offer with Capital & Counties Properties
which exempt plc
------------------------------------------
principal trader
is connected
------------ ------------------------------- ------------ ----------- ---------- -------------- --------------
(d) Date position held/dealing 14 February 2023
undertaken:
------------ --------------------------------------------- ----------- ------------------------------------------
(e) In addition to the company in 1(b) YES:
above, is the exempt principal
trader making disclosures in respect CAPITAL & COUNTIES PROPERTIES
of any other party to the offer? PLC
------------ ---------------------------------------------------------- ------------------------------------------
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: 1,505,734 0.39% 861,370 0.22%
(2) Cash-settled
derivatives:
611,460 0.16% 1,362,833 0.35%
(3) Stock-settled derivatives
(including options)
and agreements to
purchase/sell: 165,781 0.04% 0 0.00%
------------ -----------
TOTAL: 2,282,975 0.59% 2,224,203 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) Purchases
and sales
------------ -------------- --------------- ------------ ----------- ---------- -------------- --------------
Class Purchase/sale Total Highest Lowest price
of relevant number price per per unit
of unit
security securities paid/received paid/received
------------ -------------- --------------- ------------ ----------- ---------- -------------- --------------
25p ordinary Purchase 181,412 4.2880 4.2 GBP
GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary Sale 186,860 4.2880 4.2 GBP
GBP
----------------------------- ----------------------- -------------- --------------
(b) Cash-settled derivative
transactions
------------ ------------------------------- ------------ ----------- ---------- -------------- --------------
Class Product Nature Number Price per
of of dealing of
relevant description reference unit
security securities
------------ -------------- --------------- ------------ ----------- ---------- -------------- --------------
25p ordinary SWAP Decreasing Short 1 4.2480 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 2 4.2500 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary CFD Decreasing Short 12 4.2250 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 149 4.2560 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 152 4.2492 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 347 4.2060 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 352 4.2650 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 519 4.2000 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 647 4.2720 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 1,641 4.2879 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 2,234 4.2366 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 2,253 4.2424 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary CFD Decreasing Short 2,574 4.2329 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 3,219 4.2706 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 3,272 4.2514 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary CFD Decreasing Short 4,853 4.2530 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 5,070 4.2455 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 5,320 4.2880 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary CFD Decreasing Short 6,939 4.2876 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 8,773 4.2821 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Decreasing Short 10,832 4.2488 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Increasing Long 4,191 4.2434 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Increasing Short 16,885 4.2446 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Increasing Short 43,321 4.2485 GBP
----------------------------- ----------------------- -------------- --------------
25p ordinary SWAP Opening Long 348 4.2491 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 to which received
etc
option per unit
relates
-------------- --------------- ------------ ----------- ---------- -------------- --------------
25p Convertible n/a n/a 30-Mar-26 89.25 GBP
ordinary Bond Long 248670.8
-------------- --------------- ------------ ----------- ---------- -------------- --------------
25p Convertible n/a n/a 30-Mar-26 89.85 GBP
ordinary Bond Short 207225.7
-------------- --------------- ------------ ----------- ---------- -------------- --------------
(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 Positions) Yes
attached?
-------------------------------------------------------
Date of disclosure: 23 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 165,781 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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END
FEONKNBPPBKDDBB
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