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Company Announcements

Barclays PLC, Shaftesbury PLC

Form 8.5 (EPT/NON-RI) SHAFTESBURY PLC

Source: RNS
RNS Number : 7675H
Barclays PLC
28 November 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 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:

25 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:

1,545,451

0.40%

1,315,372

0.34%








(2)

Cash-settled derivatives:








1,031,738

0.27%

1,301,507

0.34%








(3)

Stock-settled derivatives (including options)






and agreements to purchase/sell:

483526.55

0.13%

0

0.00%















TOTAL:


3,060,716

0.80%

2,616,879

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

120,641

3.6820 GBP

3.622 GBP

25p ordinary

Sale

85,839

3.7800 GBP

3.63 GBP









(b)

Cash-settled derivative transactions




Class of


Product


Nature of dealing


Number of

Price per

relevant


description




reference

unit

security






securities


25p ordinary

 CFD

Decreasing Long

2

3.6700 GBP

25p ordinary

 CFD

Decreasing Long

3,358

3.6412 GBP

25p ordinary

 CFD

Decreasing Long

4,756

3.6817 GBP

25p ordinary

 CFD

Decreasing Long

21,522

3.6605 GBP

25p ordinary

 SWAP

Decreasing Short

100

3.6799 GBP

25p ordinary

 SWAP

Decreasing Short

700

3.6499 GBP

25p ordinary

 SWAP

Increasing Short

100

3.6799 GBP

25p ordinary

 SWAP

Increasing Short

100

3.6560 GBP

25p ordinary

 SWAP

Increasing Short

222

3.6500 GBP

25p ordinary

 SWAP

Increasing Short

231

3.6420 GBP

25p ordinary

 SWAP

Increasing Short

261

3.6819 GBP

25p ordinary

 SWAP

Increasing Short

427

3.6373 GBP

25p ordinary

 SWAP

Increasing Short

457

3.6320 GBP

25p ordinary

 SWAP

Increasing Short

490

3.6325 GBP

25p ordinary

 SWAP

Increasing Short

500

3.6567 GBP

25p ordinary

 SWAP

Increasing Short

535

3.6638 GBP

25p ordinary

 SWAP

Increasing Short

700

3.6499 GBP

25p ordinary

 SWAP

Increasing Short

873

3.6335 GBP

25p ordinary

 SWAP

Increasing Short

1,000

3.6406 GBP

25p ordinary

 SWAP

Increasing Short

1,063

3.6430 GBP

25p ordinary

 SWAP

Increasing Short

1,404

3.6471 GBP

25p ordinary

 SWAP

Increasing Short

1,788

3.6622 GBP

25p ordinary

 SWAP

Increasing Short

1,971

3.6483 GBP

25p ordinary

 SWAP

Increasing Short

1,979

3.6464 GBP

25p ordinary

 SWAP

Increasing Short

2,225

3.6489 GBP

25p ordinary

 SWAP

Increasing Short

2,287

3.6408 GBP

25p ordinary

 SWAP

Increasing Short

2,453

3.6492 GBP

25p ordinary

 SWAP

Increasing Short

3,874

3.6440 GBP

25p ordinary

 SWAP

Increasing Short

4,166

3.6708 GBP

25p ordinary

 SWAP

Increasing Short

4,440

3.6476 GBP

25p ordinary

 SWAP

Increasing Short

5,051

3.6527 GBP

25p ordinary

 SWAP

Increasing Short

5,960

3.6820 GBP

25p ordinary

 SWAP

Increasing Short

7,208

3.6479 GBP

25p ordinary

 SWAP

Increasing Short

8,496

3.6820 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





25p ordinary

Exchangeable Bond

Long

276300.89

n/a

n/a

30 Mar 2026

81.625 GBP

25p ordinary

Exchangeable Bond

Short

138150.44

n/a

n/a

30 Mar 2026

81.75 GBP









(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:

28 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

483526.55

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:
















 

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