REG-BARCLAYS PLC Form 8.3 - BACANORA LITHIUM PLC - AMENDMENT
11/10/2021 16:40
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Form 8.3 - BACANORA LITHIUM PLC - AMENDMENT
FORM 8.3 - Please disregard all rule 8.3 disclosures relating to dealing prior
to 04.10.21 by Barclays plc in Bacanora Lithium plc (in addition Barclays plc
has dealt on previous dates during the offer period as attached at the end of
this form).
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
(a) Full name of discloser: Barclays PLC.
(b) Owner or controller of interests and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the
trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form BACANORA LITHIUM PLC
relates:
Use a separate form for each offeror/offeree
(d) If an exempt fund manager connected with an offeror/offeree, state this
and specify identity of offeror/offeree:
(e) Date position held/dealing undertaken: 01 Oct 2021
For an opening position disclosure, state the latest practicable date prior to
the disclosure
(f) In addition to the company in 1(c) above, is the discloser making N/A
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state “N/A”
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one
class of relevant securities of the offeror or offeree named in 1(c), copy
table 2(a) or (b) (as appropriate) for each additional class of relevant
security.
(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: 10p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 5,223,182 1.36% 0 0.00%
(2) Cash-settled derivatives:
0 0.00% 5,223,182 1.36%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
(4)
TOTAL: 5,223,182 1.36% 5,223,182 1.36%
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded
options), or agreements to purchase or sell relevant securities, should be
given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors’ and other
employee 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 PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities
of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as
appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
(b) Cash-settled derivative transactions
Class of relevant security Product description Nature of dealing Number of reference securities Price per unit
e.g. CFD e.g. opening/closing a long/short position, increasing/reducing a long/short
position
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security Product description e.g. call option Writing, purchasing, selling, varying etc. Number of securities to which option relates Exercise price per unit Type Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercise
Class of relevant security Product description Exercising/ exercised against Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
4. OTHER INFORMATION
(a) Indemnity and other dealing 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 person
making the disclosure and any party to the offer or any person acting in
concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If there
are no such agreements, arrangements or understandings, state “none”
None
(b) Agreements, arrangements or understandings relating to options or
derivatives
Details of any agreement, arrangement or understanding, formal or informal,
between the person 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 or future acquisition or disposal of any relevant
securities to which any derivative is referenced:
If there are no such agreements, arrangements or understandings, state
“none”
None
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: 11 Oct 2021
Contact name: Large Holdings Regulatory Operations
Telephone number*: 020 3134 7213
3 a) Purchases and sales
Class of relevant Purchase/sale Number of Price per unit
Deal Date security securities
31/08/2021 10p ordinary Purchase 3628957 0.6669
01/09/2021 10p ordinary Purchase 700000 0.6624
01/09/2021 10p ordinary Purchase 289 0.661
01/09/2021 10p ordinary Purchase 626 0.665
01/09/2021 10p ordinary Sales 53 0.66
01/09/2021 10p ordinary Sales 289 0.661
01/09/2021 10p ordinary Sales 573 0.661
03/09/2021 10p ordinary Purchase 341 0.663
03/09/2021 10p ordinary Purchase 325 0.663
03/09/2021 10p ordinary Sales 325 0.6625
03/09/2021 10p ordinary Sales 341 0.663
07/09/2021 10p ordinary Purchase 500000 0.6656
07/09/2021 10p ordinary Purchase 250000 0.6657
07/09/2021 10p ordinary Purchase 304518 0.6656
09/09/2021 10p ordinary Purchase 125000 0.6646
10/09/2021 10p ordinary Purchase 250000 6631
13/09/2021 10p ordinary Purchase 2415555 0.6756
15/09/2021 10p ordinary Purchase 795 0.6769
15/09/2021 10p ordinary Purchase 231 0.68
15/09/2021 10p ordinary Purchase 2211112 0.6756
15/09/2021 10p ordinary Sales 795 0.677
16/09/2021 10p ordinary Purchase 1595 0.675
16/09/2021 10p ordinary Purchase 1455 0.675
16/09/2021 10p ordinary Sales 1595 0.675
16/09/2021 10p ordinary Sales 1686 0.675
20/09/2021 10p ordinary Purchase 153000 0.6727
21/09/2021 10p ordinary Purchase 1377 0.6709
21/09/2021 10p ordinary Sales 1377 0.671
21/09/2021 10p ordinary Purchase 500000 0.672
22/09/2021 10p ordinary Purchase 2 0.6719
22/09/2021 10p ordinary Sales 2 0.672
22/09/2021 10p ordinary Purchase 250000 0.6714
23/09/2021 10p ordinary Purchase 85000 0.6709
24/09/2021 10p ordinary Purchase 150000 0.6716
27/09/2021 10p ordinary Purchase 250000 0.6726
29/09/2021 10p ordinary Purchase 7086 0.68
29/09/2021 10p ordinary Purchase 52 0.674966
29/09/2021 10p ordinary Purchase 40 0.675
29/09/2021 10p ordinary Sales 52 0.675
29/09/2021 10p ordinary Sales 7086 0.68
29/09/2021 10p ordinary Sales 7000000 0.6725
30/09/2021 10p ordinary Purchase 350000 0.67568
01/10/2021 10p ordinary Purchase 82264 0.674
01/10/2021 10p ordinary Purchase 1838 0.675
01/10/2021 10p ordinary Sales 1838 0.675034
01/10/2021 10p ordinary Sales 82264 0.674
01/10/2021 10p ordinary Purchase 100000 0.67568
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
Trade Date security securities
15/09/2021 10p ordinary SWAP Short 231 0.6800
16/09/2021 10p ordinary SWAP Long 1,686 0.6749
16/09/2021 10p ordinary SWAP Short 3,738,651 0.6750
16/09/2021 10p ordinary SWAP Short 6,646,491 0.6750
16/09/2021 10p ordinary SWAP Short 1,455 0.6750
20/09/2021 10p ordinary SWAP Short 55,080 0.6727
20/09/2021 10p ordinary SWAP Short 97,920 0.6727
21/09/2021 10p ordinary SWAP Short 180,000 0.6720
21/09/2021 10p ordinary SWAP Short 320,000 0.6720
22/09/2021 10p ordinary SWAP Short 90,000 0.6714
22/09/2021 10p ordinary SWAP Short 160,000 0.6714
23/09/2021 10p ordinary SWAP Short 54,400 0.6709
23/09/2021 10p ordinary SWAP Short 30,600 0.6709
24/09/2021 10p ordinary SWAP Short 54,000 0.6716
24/09/2021 10p ordinary SWAP Short 96,000 0.6716
27/09/2021 10p ordinary SWAP Short 90,000 0.6726
27/09/2021 10p ordinary SWAP Short 160,000 0.6726
28/09/2021 10p ordinary SWAP Short 40 0.6750
29/09/2021 10p ordinary SWAP Long 4,480,000 0.6725
29/09/2021 10p ordinary SWAP Long 2,520,000 0.6725
30/09/2021 10p ordinary SWAP Short 224,000 0.6757
30/09/2021 10p ordinary SWAP Short 126,000 0.6757
01/10/2021 10p ordinary SWAP Short 64,000 0.6757
01/10/2021 10p ordinary SWAP Short 36,000 0.6757
Public disclosures under Rule 8 of the Code must be made to a Regulatory
Information Service.
The Panel’s Market Surveillance Unit is available for consultation in
relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be
included, provided contact information has been provided to the Panel’s
Market Surveillance Unit.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
(http://www.thetakeoverpanel.org.uk/) .
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