Barclays PLC Form 8.5 (EPT/NON-RI)SHAFTESBURY PLC (1245R)
February 27 2023 - 3:08AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 1245R
Barclays PLC
27 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: 24 Feb 2023
---------------------------------------------------- ----------------------------------------------
(e) In addition to the company in 1(b) YES:
above, is the exempt principal
CAPITAL & COUNTIES PROPERTIES
trader making disclosures in respect PLC
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: 1,538,021 0.40% 374,085 0.10%
----------- --------- ---------- ----------
(2) Cash-settled derivatives: 200,930 0.05% 1,502,682 0.39%
----------- --------- ---------- ----------
(3) Stock-settled derivatives (including
options) and agreements to purchase/sell: 96,705 0.02% 0 0.00%
----------- --------- ---------- ----------
TOTAL: 1,835,656 0.47% 1,876,767 0.49%
----------- --------- ---------- ----------
(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 300156 4.1680 GBP 4.1057 GBP
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary Sale 58007 4.1500 GBP 4.1059 GBP
--------------- ----------------- ---------------- ----------------------------------------------
(b) Cash-settled derivative transactions
Class Product Nature of Number of Price per
of description dealing
reference unit
relevant
securities
security
25p ordinary SWAP Closing Long 21,531 4.1286 GBP
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Closing Long 35,924 4.1320 GBP
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Closing Long 99,975 4.1066 GBP
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Closing Short 2,049 4.1680 GBP
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 1 4.1320 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 2,686 4.1060 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary CFD Decreasing 5,219 4.1056 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Decreasing 6,673 4.1163 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary CFD Decreasing 6,804 4.1307 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 3,384 4.1059 GBP
Long
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 15,392 4.1183 GBP
Long
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 520 4.1320 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 2,847 4.1358 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 25,930 4.1320 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 38,525 4.1520 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Increasing 72,162 4.1066 GBP
Short
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Opening Long 1,574 4.1233 GBP
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Opening Long 3,863 4.1234 GBP
--------------- ----------------- ---------------- ----------------------------------------------
25p ordinary SWAP Opening Long 11,718 4.1059 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 of Exercise price per
of relevant description exercised
against securities unit
security
(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: 27 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 to whose SHAFTESBURY PLC
----------------------------------------------
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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