REG - Barclays PLC Brewin Dolphin Hldgs - Form 8.5 (EPT/NON-RI) Brewin Dolphin Holdings plc

BarclaysAnnouncement

05/04/2022 13:00

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RNS Number : 3438H  Barclays PLC  05 April 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                              BREWIN DOLPHIN HOLDINGS PLC
      relevant securities this form relates:
 (c)  Name of the party to the offer with which exempt                          Brewin Dolphin Holdings plc
      principal trader is connected
 (d)  Date position held/dealing undertaken:                                    04 April 2022
 (e)  In addition to the company in 1(b) above, is the exempt principal         NO
      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:                                   1p ordinary
                                                               Interests                 Short Positions
                                                               Number       (%)          Number       (%)
 (1)         Relevant securities owned
             and/or controlled:                                3,504,921    1.15%        423,755      0.14%

 (2)         Cash-settled derivatives:
                                                               45,929       0.02%        3,176,155    1.05%

 (3)         Stock-settled derivatives (including options)
             and agreements to purchase/sell:                  0            0.00%        0            0.00%

             TOTAL:                                            3,550,850    1.17%        3,599,910    1.19%

 

 (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
 1p ordinary                    Purchase              484,528                         5.2096 GBP              5.11 GBP
 1p ordinary                    Sale                  20,055                          5.1702 GBP              5.1091 GBP

 

 (b)       Cash-settled derivative transactions
 Class of           Product               Nature of dealing             Number of   Price per
 relevant           description                                         reference   unit
 security                                                               securities
 1p ordinary         SWAP                 Decreasing Short              131         5.2196 GBP
 1p ordinary         SWAP                 Decreasing Short              1,000       5.1196 GBP
 1p ordinary         SWAP                 Decreasing Short              1,999       5.1947 GBP
 1p ordinary         SWAP                 Decreasing Short              117,970     5.1200 GBP
 1p ordinary         SWAP                 Increasing Long               1,493       5.1199 GBP
 1p ordinary         CFD                  Increasing Short              62          5.1193 GBP
 1p ordinary         CFD                  Increasing Short              178         5.1208 GBP
 1p ordinary         CFD                  Increasing Short              617         5.1091 GBP
 1p ordinary         SWAP                 Increasing Short              1,406       5.1364 GBP
 1p ordinary         CFD                  Increasing Short              2,000       5.1103 GBP
 1p ordinary         SWAP                 Increasing Short              2,992       5.1686 GBP
 1p ordinary         SWAP                 Increasing Short              3,475       5.1700 GBP
 1p ordinary         SWAP                 Increasing Short              4,135       5.1376 GBP
 1p ordinary         SWAP                 Increasing Short              7,023       5.1349 GBP
 1p ordinary         SWAP                 Increasing Short              8,293       5.1408 GBP
 1p ordinary         SWAP                 Increasing Short              8,518       5.1377 GBP
 1p ordinary         SWAP                 Increasing Short              12,453      5.1276 GBP
 1p ordinary         SWAP                 Increasing Short              13,968      5.1259 GBP
 1p ordinary         SWAP                 Increasing Short              14,843      5.1316 GBP
 1p ordinary         CFD                  Increasing Short              33,822      5.1700 GBP
 1p ordinary         SWAP                 Increasing Short              43,078      5.1299 GBP
 1p ordinary         SWAP                 Increasing Short              46,898      5.1341 GBP
 1p ordinary         SWAP                 Increasing Short              57,606      5.1205 GBP
 1p ordinary         SWAP                 Increasing Short              117,970     5.1200 GBP
 1p ordinary         SWAP                 Opening Short                 61          5.2104 GBP
 1p ordinary         SWAP                 Opening Short                 85          5.1683 GBP
 1p ordinary         SWAP                 Opening Short                 139         5.2100 GBP
 1p ordinary         SWAP                 Opening Short                 169         5.1722 GBP
 1p ordinary         SWAP                 Opening Short                 356         5.1835 GBP
 1p ordinary         SWAP                 Opening Short                 376         5.1679 GBP
 1p ordinary         SWAP                 Opening Short                 496         5.2098 GBP
 1p ordinary         SWAP                 Opening Short                 737         5.1718 GBP
 1p ordinary         SWAP                 Opening Short                 738         5.1821 GBP
 1p ordinary         SWAP                 Opening Short                 853         5.2094 GBP
 1p ordinary         SWAP                 Opening Short                 935         5.1685 GBP
 1p ordinary         SWAP                 Opening Short                 1,167       5.1838 GBP
 1p ordinary         SWAP                 Opening Short                 1,241       5.1531 GBP
 1p ordinary         SWAP                 Opening Short                 1,684       5.1520 GBP
 1p ordinary         SWAP                 Opening Short                 1,793       5.1684 GBP
 1p ordinary         SWAP                 Opening Short                 1,932       5.1836 GBP
 1p ordinary         SWAP                 Opening Short                 2,016       5.2096 GBP
 1p ordinary         SWAP                 Opening Short                 2,992       5.1686 GBP
 1p ordinary         SWAP                 Opening Short                 2,998       5.1724 GBP
 1p ordinary         SWAP                 Opening Short                 3,147       5.1522 GBP
 1p ordinary         SWAP                 Opening Short                 3,447       5.1834 GBP
 1p ordinary         SWAP                 Opening Short                 3,645       5.1723 GBP
 1p ordinary         SWAP                 Opening Short                 5,618       5.2095 GBP
 1p ordinary         SWAP                 Opening Short                 5,813       5.1523 GBP
 1p ordinary         SWAP                 Opening Short                 22,132      5.1701 GBP
 1p ordinary         SWAP                 Opening Long                  1,794       5.1434 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?                  NO
 Date of disclosure:                                                  5 Apr 2022
 Contact name:                                                        Large Holdings Regulatory Operations
 Telephone number:                                                    020 3134 7213

 

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