REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - RSA INSURANCE GROUP PLC AMENDMENT
13/11/2020 08:00
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Form 8.5 (EPT/NON-RI) - RSA INSURANCE GROUP PLC AMENDMENT
FORM 8.5 (EPT/NON-RI) Amendment to Purchase
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 RSA INSURANCE GROUP PLC
relevant securities this form relates:
(c) Name of the party to the offer with which exempt A consortium of Intact Financial Corporation and Tryg A/S
principal trader is connected
(d) Date position held/dealing undertaken: 10 November 2020
(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
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(b), 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: 100p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 20,302,857 1.96% 8,497,267 0.82%
(2) Cash-settled derivatives:
1,550,080 0.15% 13,873,980 1.34%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 21,852,937 2.11% 22,371,247 2.16%
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 EXEMPT PRINCIPAL TRADER
Where there have been dealings in more than one class of relevant securities
of the offeror or offeree named in 1(b), 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 Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
100p ordinary Purchase 3,921,606 6.5819 GBP 6.518 GBP
100p ordinary Sale 1,012,928 6.6121 GBP 6.5 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
100p ordinary SWAP Long 3 6.5432 GBP
100p ordinary SWAP Long 1,441 6.5433 GBP
100p ordinary CFD Long 1,575 6.5474 GBP
100p ordinary SWAP Long 2,018 6.5479 GBP
100p ordinary CFD Long 2,051 6.5786 GBP
100p ordinary SWAP Long 2,792 6.5257 GBP
100p ordinary SWAP Long 2,883 6.5403 GBP
100p ordinary SWAP Long 4,250 6.5438 GBP
100p ordinary SWAP Long 4,786 6.5442 GBP
100p ordinary SWAP Long 5,000 6.5493 GBP
100p ordinary SWAP Long 5,968 6.5260 GBP
100p ordinary SWAP Long 6,057 6.5650 GBP
100p ordinary CFD Long 17,533 6.5260 GBP
100p ordinary SWAP Long 17,704 6.5290 GBP
100p ordinary CFD Long 18,457 6.4967 GBP
100p ordinary SWAP Long 19,790 6.5480 GBP
100p ordinary CFD Long 23,823 6.5415 GBP
100p ordinary SWAP Long 38,101 6.5680 GBP
100p ordinary SWAP Long 63,505 6.5097 GBP
100p ordinary SWAP Long 148,591 6.5400 GBP
100p ordinary SWAP Long 206,692 6.5313 GBP
100p ordinary SWAP Short 44 6.5412 GBP
100p ordinary SWAP Short 132 6.5451 GBP
100p ordinary SWAP Short 231 6.5414 GBP
100p ordinary SWAP Short 245 6.5264 GBP
100p ordinary SWAP Short 295 6.5478 GBP
100p ordinary SWAP Short 331 6.5460 GBP
100p ordinary SWAP Short 464 6.5419 GBP
100p ordinary SWAP Short 468 6.5465 GBP
100p ordinary SWAP Short 612 6.5477 GBP
100p ordinary SWAP Short 708 6.5449 GBP
100p ordinary SWAP Short 755 6.5244 GBP
100p ordinary SWAP Short 801 6.5205 GBP
100p ordinary SWAP Short 946 6.5474 GBP
100p ordinary CFD Short 1,013 6.5520 GBP
100p ordinary SWAP Short 1,207 6.5434 GBP
100p ordinary SWAP Short 1,284 6.5424 GBP
100p ordinary SWAP Short 1,319 6.5394 GBP
100p ordinary SWAP Short 1,373 6.5476 GBP
100p ordinary CFD Short 1,500 6.5453 GBP
100p ordinary SWAP Short 1,655 6.5456 GBP
100p ordinary SWAP Short 1,830 6.5481 GBP
100p ordinary SWAP Short 1,904 6.5305 GBP
100p ordinary SWAP Short 2,283 6.5411 GBP
100p ordinary SWAP Short 2,500 6.5267 GBP
100p ordinary SWAP Short 2,531 6.5468 GBP
100p ordinary SWAP Short 3,472 6.5262 GBP
100p ordinary CFD Short 3,588 6.5265 GBP
100p ordinary SWAP Short 4,063 6.5432 GBP
100p ordinary CFD Short 4,150 6.5460 GBP
100p ordinary SWAP Short 5,076 6.5450 GBP
100p ordinary SWAP Short 5,382 6.5458 GBP
100p ordinary SWAP Short 6,057 6.5650 GBP
100p ordinary SWAP Short 6,767 6.5459 GBP
100p ordinary SWAP Short 9,286 6.5260 GBP
100p ordinary SWAP Short 10,258 6.5396 GBP
100p ordinary SWAP Short 12,028 6.5471 GBP
100p ordinary SWAP Short 12,729 6.5430 GBP
100p ordinary SWAP Short 13,512 6.5475 GBP
100p ordinary SWAP Short 14,284 6.5464 GBP
100p ordinary SWAP Short 14,340 6.5418 GBP
100p ordinary SWAP Short 15,321 6.5428 GBP
100p ordinary CFD Short 17,533 6.5260 GBP
100p ordinary SWAP Short 17,704 6.5290 GBP
100p ordinary SWAP Short 21,485 6.5480 GBP
100p ordinary SWAP Short 38,101 6.5680 GBP
100p ordinary SWAP Short 58,295 6.5482 GBP
100p ordinary SWAP Short 100,481 6.5455 GBP
100p ordinary SWAP Short 144,061 6.5300 GBP
100p ordinary SWAP Short 160,748 6.5400 GBP
100p ordinary SWAP Short 238,742 6.5391 GBP
100p ordinary SWAP Short 245,471 6.5439 GBP
100p ordinary SWAP Short 250,000 6.5289 GBP
100p ordinary SWAP Short 250,000 6.5565 GBP
100p ordinary SWAP Short 340,163 6.5296 GBP
100p ordinary SWAP Short 1,400,000 6.5379 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 exempt
principal trader 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 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 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: 13 Nov 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.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52326662&newsitemid=20201112006186&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=7ebb2886c0308c98c7c217fb8e29d21b)
.
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