24 Nov 2022 17:27
FORM 8.5 (EPT/NON-RI) Amendment to sale | ||||||||
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 to whose | SHAFTESBURY PLC | ||||||
relevant securities this form relates: | ||||||||
(c) | Name of the party to the offer with which exempt | Capital & Counties Properties plc | ||||||
principal trader is connected | ||||||||
(d) | Date position held/dealing undertaken: | 21 November 2022 | ||||||
(e) | In addition to the company in 1(b) above, is the exempt principal | YES: |
| |||||
trader making disclosures in respect of any other party to the offer? | CAPITAL & COUNTIES PROPERTIES 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: | 1,468,347 | 0.38% | 1,373,722 | 0.36% | ||||
(2) | Cash-settled derivatives: | |||||||
1,036,232 | 0.27% | 1,223,782 | 0.32% | |||||
(3) | Stock-settled derivatives (including options) | |||||||
and agreements to purchase/sell: | 359191.15 | 0.09% | 0 | 0.00% | ||||
TOTAL: | 2,863,770 | 0.74% | 2,597,504 | 0.68% | ||||
(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 of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | ||||
security | securities | paid/received | paid/received | |||||
25p ordinary | Purchase | 208,464 | 3.7966 GBP | 3.6958 GBP | ||||
25p ordinary | Sale | 174,944 | 3.7998 GBP | 3.678 GBP | ||||
(b) | Cash-settled derivative transactions | |||||||
Class of | Product | Nature of dealing | Number of | Price per | ||||
relevant | description | reference | unit | |||||
security | securities | |||||||
25p ordinary | SWAP | Decreasing Short | 79 | 3.7603 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 121 | 3.7597 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 220 | 3.6960 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 385 | 3.7616 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 400 | 3.7549 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 597 | 3.7618 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 6,422 | 3.7179 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 6,679 | 3.7800 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 6,684 | 3.6959 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 9,074 | 3.7024 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 14,789 | 3.7981 GBP | ||||
25p ordinary | CFD | Increasing Long | 606 | 3.7566 GBP | ||||
25p ordinary | CFD | Increasing Long | 7,626 | 3.7551 GBP | ||||
25p ordinary | CFD | Increasing Long | 19,922 | 3.8628 GBP | ||||
25p ordinary | SWAP | Increasing Short | 203 | 3.7100 GBP | ||||
25p ordinary | SWAP | Increasing Short | 208 | 3.6780 GBP | ||||
25p ordinary | SWAP | Increasing Short | 512 | 3.7549 GBP | ||||
25p ordinary | SWAP | Increasing Short | 836 | 3.7509 GBP | ||||
25p ordinary | SWAP | Increasing Short | 1,203 | 3.7393 GBP | ||||
25p ordinary | SWAP | Increasing Short | 1,807 | 3.7377 GBP | ||||
25p ordinary | SWAP | Increasing Short | 1,973 | 3.7788 GBP | ||||
25p ordinary | SWAP | Increasing Short | 2,223 | 3.7409 GBP | ||||
25p ordinary | SWAP | Increasing Short | 2,447 | 3.7691 GBP | ||||
25p ordinary | SWAP | Increasing Short | 2,570 | 3.7494 GBP | ||||
25p ordinary | SWAP | Increasing Short | 3,037 | 3.7668 GBP | ||||
25p ordinary | SWAP | Increasing Short | 3,059 | 3.7358 GBP | ||||
25p ordinary | SWAP | Increasing Short | 3,377 | 3.7356 GBP | ||||
25p ordinary | SWAP | Increasing Short | 3,674 | 3.7113 GBP | ||||
25p ordinary | SWAP | Increasing Short | 4,276 | 3.7490 GBP | ||||
25p ordinary | SWAP | Increasing Short | 5,579 | 3.7581 GBP | ||||
25p ordinary | SWAP | Increasing Short | 6,006 | 3.7599 GBP | ||||
25p ordinary | SWAP | Increasing Short | 6,389 | 3.7553 GBP | ||||
25p ordinary | SWAP | Increasing Short | 6,480 | 3.7407 GBP | ||||
25p ordinary | SWAP | Increasing Short | 7,631 | 3.7251 GBP | ||||
25p ordinary | SWAP | Increasing Short | 8,287 | 3.6960 GBP | ||||
25p ordinary | SWAP | Increasing Short | 10,688 | 3.8044 GBP | ||||
25p ordinary | SWAP | Increasing Short | 11,034 | 3.7636 GBP | ||||
25p ordinary | SWAP | Increasing Short | 13,488 | 3.7551 GBP | ||||
25p ordinary | SWAP | Increasing Short | 19,873 | 3.7575 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 unit | paid/ | ||||
security | varying etc | to which | received | |||||
option | per unit | |||||||
relates | ||||||||
(ii) | Exercising |
| ||||||
Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | ||||
security | securities | unit | ||||||
(d) | Other dealings (including subscribing for new securities) |
| ||||||
Class of relevant | Nature of Dealings | Details | Price 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) attached? | YES | |||||||
Date of disclosure: | 24 Nov 2022 | |||||||
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 etc | to which | ||||||
option | ||||||||
relates | ||||||||
25p ordinary | Exchangeable Bond | Long | 359191.15 | n/a | n/a | 30 Mar 2026 | ||
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: | ||||||||