REG-BARCLAYS PLC Form 8.3 - ULTRA ELECTRONICS HOLDINGS PLC
04/02/2022 11:35
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Form 8.3 - ULTRA ELECTRONICS HOLDINGS 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 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 ULTRA ELECTRONICS HOLDINGS 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: 3 FEB 2022
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 NO
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: 5p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,338,826 1.87% 14,998 0.02%
(2) Cash-settled derivatives:
0 0.00% 947,452 1.33%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
(4)
TOTAL: 1,338,826 1.87% 962,450 1.35%
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
5p ordinary Purchase 3 30.1800 GBP
5p ordinary Purchase 5 29.9200 GBP
5p ordinary Purchase 6 30.0400 GBP
5p ordinary Purchase 50 29.8400 GBP
5p ordinary Purchase 164 29.8051 GBP
5p ordinary Purchase 168 29.6400 GBP
5p ordinary Purchase 169 30.1320 GBP
5p ordinary Purchase 430 29.9118 GBP
5p ordinary Purchase 1,000 29.9561 GBP
5p ordinary Purchase 1,488 29.9800 GBP
5p ordinary Purchase 3,676 29.9603 GBP
5p ordinary Purchase 5,335 29.9551 GBP
5p ordinary Sale 2 30.1600 GBP
5p ordinary Sale 2 30.1400 GBP
5p ordinary Sale 50 29.8437 GBP
5p ordinary Sale 466 30.0700 GBP
5p ordinary Sale 644 29.9733 GBP
5p ordinary Sale 647 30.0078 GBP
5p ordinary Sale 1,645 30.0058 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
5p ordinary SWAP Long 11 30.1000 GBP
5p ordinary SWAP Long 50 29.9200 GBP
5p ordinary SWAP Long 73 30.0813 GBP
5p ordinary SWAP Long 134 30.0034 GBP
5p ordinary SWAP Long 154 30.1306 GBP
5p ordinary SWAP Long 266 30.0077 GBP
5p ordinary SWAP Long 267 30.0686 GBP
5p ordinary SWAP Long 307 29.9375 GBP
5p ordinary SWAP Long 326 30.0974 GBP
5p ordinary SWAP Long 440 29.9243 GBP
5p ordinary SWAP Long 606 30.0191 GBP
5p ordinary SWAP Long 773 29.9947 GBP
5p ordinary SWAP Short 20 30.0685 GBP
5p ordinary SWAP Short 173 29.6609 GBP
5p ordinary CFD Short 430 29.9118 GBP
5p ordinary SWAP Short 589 29.9808 GBP
5p ordinary SWAP Short 1,000 29.9561 GBP
5p ordinary CFD Short 1,003 29.9101 GBP
5p ordinary SWAP Short 2,668 29.9800 GBP
5p ordinary SWAP Short 5,335 29.9551 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: 4 FEB 2022
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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