Barclays PLC Form 8.5 (EPT/NON-RI)SHAFTESBURY PLC (3691A)
22 Settembre 2022 - 6:37PM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 3691A
Barclays PLC
22 September 2022
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 with CAPITAL & COUNTIES PROPERTIES
which exempt PLC
------------------------------------------
principal trader is connected
------------ -------------------------------------------- ------------ ---------- -------------- --------------
(d) Date position held/dealing undertaken: 21 September 2022
------------ ---------------------------------------------------------- ------------------------------------------
(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: 1,301,820 0.34% 1,053,909 0.27%
(2) Cash-settled derivatives:
576,289 0.15% 1,216,911 0.32%
(3) Stock-settled derivatives
(including options)
and agreements to
purchase/sell: 483526.55 0.13% 0 0.00%
TOTAL: 2,361,636 0.61% 2,270,820 0.59%
(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 39,857 4.0640 GBP 3.968 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary Sale 48,392 4.0540 GBP 3.982 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 Long 1,000 4.0499 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 285 3.9680 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary CFD Decreasing Short 338 4.0274 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 506 4.0458 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 850 4.0317 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 2,351 4.0165 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 5,171 4.0017 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Decreasing Short 8,484 4.0019 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 1,494 4.0020 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 1,899 4.0239 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 2,355 4.0373 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 2,560 4.0317 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Increasing Short 4,411 4.0174 GBP
----------------------------- ------------------------ -------------- --------------
25p ordinary SWAP Opening Short 5,025 4.0135 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
------------- --------------- ------------ ------------ ---------- -------------- --------------
(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 per
of relevant of Dealings 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 NO
Positions) attached?
--------------------------------------------------------
Date of disclosure: 22 Sep
2022
Contact name: Large Holdings Regulatory
Operations
020
3134
Telephone number: 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 483526.55 n/a n/a 30 Mar 2026
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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September 22, 2022 12:37 ET (16:37 GMT)
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