Barclays PLC Form 8.5 (EPT/NON-RI) Shaftesbury plc (8548R)
03 Mars 2023 - 11:11AM
UK Regulatory
TIDMBARC TIDMSHB
RNS Number : 8548R
Barclays PLC
03 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 BARCLAYS CAPITAL SECURITIES LTD
trader:
(b) Name of offeror/offeree SHAFTESBURY PLC
in relation to whose
relevant securities
this form relates:
--------------------------- -----------------------------------
(c) Name of the party to Capital & Counties Properties plc
the offer with which
exempt
principal trader is
connected
--------------------------- -----------------------------------
(d) Date position held/dealing 02 Mar 2023
undertaken:
--------------------------- -----------------------------------
(e) In addition to the YES:
company in 1(b) above,
is the exempt principal CAPITAL & COUNTIES PROPERTIES PLC
trader making disclosures
in 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: 1,855,803 0.48% 373,734 0.10%
---------- --------- ---------- --------------
(2) Cash-settled derivatives: 224,911 0.06% 1,831,615 0.48%
---------- --------- ---------- --------------
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell: 97351.34 0.03% 0 0.00%
---------- --------- ---------- --------------
TOTAL: 2,178,065 0.57% 2,205,349 0.57%
---------- --------- ---------- --------------
(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 of Purchase/sale Total number Highest price Lowest price
relevant of per unit per unit
security securities paid/received paid/received
25p ordinary Purchase 128547 4.1763 GBP 4.0173 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary Sale 39087 4.1813 GBP 4.0100 GBP
--------------- ------------------- --------------- -----------------------
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
description
relevant reference unit
security securities
25p ordinary SWAP Closing Long 57 4.1870 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Closing Long 135 4.1766 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Closing Long 1,087 4.1077 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Closing Long 5,789 4.0694 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary CFD Decreasing Long 7,869 4.1623 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Decreasing Short 50 4.1679 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Decreasing Short 3,625 4.1183 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Decreasing Short 3,773 4.1620 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Long 541 4.1688 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Long 1,096 4.0336 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary CFD Increasing Long 8,068 4.1281 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Short 5 4.1635 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Short 242 4.1010 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Short 975 4.1576 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Short 1,094 4.1330 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Short 1,766 4.1421 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Short 2,052 4.1479 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Increasing Short 4,897 4.1567 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Opening Short 5,274 4.1391 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Opening Short 6,389 4.1346 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Opening Short 7,340 4.1620 GBP
--------------- ------------------- --------------- -----------------------
25p ordinary SWAP Opening Short 73,011 4.1266 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 Product Exercising/ Number Exercise price per
relevant description exercised of
against unit
security securities
(d) Other dealings (including subscribing for new securities)
Class of Nature Details Price per unit (if
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: 03 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 to which
etc
option
relates
----------------- ---------------- --------------- ----------- --------- ----- ----------
25p ordinary Exchangeable Long 97351 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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FEOEAEDDEFEDEFA
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