REG-BARCLAYS PLC Form 8.3 - Kaz Minerals Plc
07/12/2020 12:10
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Form 8.3 - Kaz Minerals Plc
FORM 8.3
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 interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose KAZ MINERALS PLC
relevant securities this form relates:
(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: 04 December 2020
(f) In addition to the company in 1(c) above, is the discloser making NO
disclosures in respect of any other party to the offer?
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: 20p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,691,071 0.99% 208,367 0.04%
(2) Cash-settled derivatives:
67,617 0.01% 4,477,127 0.95%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 4,758,688 1.01% 4,685,494 0.99%
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 Purchase/sale Number of Price per unit
security securities
20p ordinary Purchase 150 6.6040 GBP
20p ordinary Purchase 231 6.6140 GBP
20p ordinary Purchase 425 6.5980 GBP
20p ordinary Purchase 454 6.5860 GBP
20p ordinary Purchase 525 6.5895 GBP
20p ordinary Purchase 675 6.6195 GBP
20p ordinary Purchase 946 6.5982 GBP
20p ordinary Purchase 1,363 6.6001 GBP
20p ordinary Purchase 2,668 6.6127 GBP
20p ordinary Purchase 2,739 6.6120 GBP
20p ordinary Purchase 2,776 6.6176 GBP
20p ordinary Purchase 2,800 6.6049 GBP
20p ordinary Purchase 7,577 6.6180 GBP
20p ordinary Purchase 13,417 6.6008 GBP
20p ordinary Purchase 17,025 6.6142 GBP
20p ordinary Purchase 22,680 6.6157 GBP
20p ordinary Purchase 52,652 6.6070 GBP
20p ordinary Sale 90 6.5766 GBP
20p ordinary Sale 123 6.5969 GBP
20p ordinary Sale 150 6.6040 GBP
20p ordinary Sale 162 6.6220 GBP
20p ordinary Sale 633 6.6080 GBP
20p ordinary Sale 695 6.6016 GBP
20p ordinary Sale 1,131 6.6030 GBP
20p ordinary Sale 1,217 6.6009 GBP
20p ordinary Sale 1,394 6.6056 GBP
20p ordinary Sale 1,455 6.6020 GBP
20p ordinary Sale 2,265 6.5996 GBP
20p ordinary Sale 2,823 6.6100 GBP
20p ordinary Sale 5,672 6.6180 GBP
20p ordinary Sale 14,317 6.6057 GBP
20p ordinary Sale 21,867 6.6061 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
20p ordinary SWAP Long 1,524 6.6105 GBP
20p ordinary SWAP Long 15,520 6.6050 GBP
20p ordinary SWAP Short 400 6.6025 GBP
20p ordinary SWAP Short 2,384 6.6017 GBP
20p ordinary SWAP Short 11,213 6.6179 GBP
20p ordinary CFD Short 14,865 6.6169 GBP
20p ordinary CFD Short 52,652 6.6070 GBP
(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: 7 Dec 2020
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
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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