Barclays PLC Form 8.5 (EPT/NON-RI)SHAFTESBURY PLC (5174R)
March 01 2023 - 5:23AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 5174R
Barclays PLC
01 March 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: 28 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: 1,763,394 0.46% 368,363 0.10%
----------- --------- ---------- ----------
(2) Cash-settled derivatives: 206,421 0.05% 1,729,709 0.45%
----------- --------- ---------- ----------
(3) Stock-settled derivatives (including
options) and agreements to purchase/sell: 97,351 0.025% 0 0.00%
----------- --------- ---------- ----------
TOTAL: 2,067,166 0.54% 2,098,072 0.55%
----------- --------- ---------- ----------
(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 Highest price Lowest price per unit
of relevant number per unit
of paid/received
security paid/received
securities
25p Purchase 199938 4.1874 GBP 4.1646 GBP
ordinary
--------------- -------------- ---------------- ----------------------------------------------
25p Sale 47925 4.1920 GBP 4.1478 GBP
ordinary
--------------- -------------- ---------------- ----------------------------------------------
(b) Cash-settled derivative transactions
Class Product Nature Number of Price per
of description of dealing
reference unit
relevant
securities
security
25p SWAP Closing 824 4.1478 GBP
ordinary Long
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Decreasing 225 4.1460 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Decreasing 242 4.1860 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Decreasing 870 4.1741 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Decreasing 1,222 4.1848 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Decreasing 3,710 4.1840 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Decreasing 9,999 4.1792 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Increasing 3,522 4.1742 GBP
ordinary Long
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Increasing 116 4.1838 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Increasing 2,496 4.1696 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Increasing 14,952 4.1723 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Increasing 17,471 4.1821 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Increasing 131,862 4.1836 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Opening 9 4.1822 GBP
ordinary Long
--------------- -------------- ---------------- ----------------------------------------------
25p CFD Opening 6,007 4.1854 GBP
ordinary Long
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Opening 267 4.1900 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Opening 345 4.1492 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Opening 473 4.1503 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Opening 2,128 4.1840 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
25p SWAP Opening 5,075 4.1855 GBP
ordinary Short
--------------- -------------- ---------------- ----------------------------------------------
(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 unit paid/
security varying to which received
etc
option per
unit
relates
25p Convertible Long 13907.2 n/a n/a 30 Mar 89.4000
ordinary Bond 2026 GBP
--------------- -------------- ---------------- ----------- --------- ---------- ----------
25p Convertible Short 13907.2 n/a n/a 30 Mar 89.4000
ordinary Bond 2026 GBP
--------------- -------------- ---------------- ----------- --------- ---------- ----------
(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: 01 Mar 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 etc to which
option
relates
-------------------------------------------------------------- ----------- --------- ---------- ----------
25p ordinary Exchangeable Long 97,351 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
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