REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - RSA INSURANCE GROUP PLC AMENDMENT
23/11/2020 07:20
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Form 8.5 (EPT/NON-RI) - RSA INSURANCE GROUP PLC AMENDMENT
FORM 8.5 (EPT/NON-RI) Amendment to Purchase and Sales
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 Regent Bidco Limited (a wholly-owned subsidiary of Intact Financial Corporation)
principal trader is connected
(d) Date position held/dealing undertaken: 18 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: 22,314,868 2.16% 2,574,955 0.25%
(2) Cash-settled derivatives:
1,552,080 0.15% 19,582,685 1.89%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 23,866,948 2.31% 22,157,640 2.14%
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 7,912,532 8.610 GBP 4.6 GBP
100p ordinary Sale 11,827,999 6.7680 GBP 4.6 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 2 6.7194 GBP
100p ordinary SWAP Long 3 6.7233 GBP
100p ordinary SWAP Long 4 6.7357 GBP
100p ordinary SWAP Long 17 6.7149 GBP
100p ordinary SWAP Long 35 6.7235 GBP
100p ordinary SWAP Long 43 6.7251 GBP
100p ordinary SWAP Long 57 6.7237 GBP
100p ordinary SWAP Long 63 6.7271 GBP
100p ordinary SWAP Long 63 6.7358 GBP
100p ordinary SWAP Long 96 6.7409 GBP
100p ordinary SWAP Long 112 6.7411 GBP
100p ordinary SWAP Long 125 6.7497 GBP
100p ordinary SWAP Long 152 6.7248 GBP
100p ordinary SWAP Long 190 6.7442 GBP
100p ordinary SWAP Long 256 6.7213 GBP
100p ordinary SWAP Long 676 6.7353 GBP
100p ordinary SWAP Long 704 6.7516 GBP
100p ordinary SWAP Long 717 6.7603 GBP
100p ordinary SWAP Long 920 6.7293 GBP
100p ordinary SWAP Long 934 6.7292 GBP
100p ordinary SWAP Long 1,000 6.7175 GBP
100p ordinary SWAP Long 1,031 6.7445 GBP
100p ordinary SWAP Long 1,032 6.7418 GBP
100p ordinary SWAP Long 1,175 6.7496 GBP
100p ordinary SWAP Long 1,179 6.7612 GBP
100p ordinary SWAP Long 1,494 6.7361 GBP
100p ordinary SWAP Long 1,739 6.7382 GBP
100p ordinary SWAP Long 1,779 6.7291 GBP
100p ordinary SWAP Long 2,941 6.7565 GBP
100p ordinary SWAP Long 6,401 6.7522 GBP
100p ordinary CFD Long 6,657 6.7213 GBP
100p ordinary SWAP Long 7,548 6.7354 GBP
100p ordinary SWAP Long 9,982 6.7433 GBP
100p ordinary SWAP Long 10,150 6.7594 GBP
100p ordinary SWAP Long 11,558 6.7408 GBP
100p ordinary SWAP Long 12,069 6.7220 GBP
100p ordinary SWAP Long 12,961 6.7676 GBP
100p ordinary SWAP Long 13,775 6.7430 GBP
100p ordinary SWAP Long 17,932 6.7305 GBP
100p ordinary SWAP Long 18,488 6.7564 GBP
100p ordinary SWAP Long 19,281 6.7224 GBP
100p ordinary SWAP Long 19,617 6.7410 GBP
100p ordinary CFD Long 20,748 6.7518 GBP
100p ordinary SWAP Long 21,392 6.7613 GBP
100p ordinary SWAP Long 21,847 6.7199 GBP
100p ordinary SWAP Long 22,475 6.7443 GBP
100p ordinary SWAP Long 23,185 6.7677 GBP
100p ordinary CFD Long 30,141 6.7600 GBP
100p ordinary SWAP Long 30,726 6.7414 GBP
100p ordinary SWAP Long 47,215 6.7491 GBP
100p ordinary SWAP Long 49,343 6.7639 GBP
100p ordinary SWAP Long 68,322 6.7210 GBP
100p ordinary CFD Long 73,961 6.7427 GBP
100p ordinary SWAP Long 85,937 6.7650 GBP
100p ordinary SWAP Long 150,887 6.7551 GBP
100p ordinary CFD Long 162,526 6.7680 GBP
100p ordinary CFD Long 183,837 6.7674 GBP
100p ordinary SWAP Long 262,283 6.7440 GBP
100p ordinary SWAP Long 310,769 6.7549 GBP
100p ordinary SWAP Long 322,355 6.7579 GBP
100p ordinary SWAP Long 362,154 6.7338 GBP
100p ordinary CFD Long 429,467 6.7166 GBP
100p ordinary CFD Long 1,225,725 6.7217 GBP
100p ordinary CFD Long 1,300,000 6.7193 GBP
100p ordinary SWAP Short 19 6.7220 GBP
100p ordinary SWAP Short 77 6.7348 GBP
100p ordinary SWAP Short 85 6.7265 GBP
100p ordinary SWAP Short 102 6.7406 GBP
100p ordinary SWAP Short 118 6.7253 GBP
100p ordinary SWAP Short 141 6.7284 GBP
100p ordinary SWAP Short 229 6.7356 GBP
100p ordinary SWAP Short 474 6.7477 GBP
100p ordinary SWAP Short 513 6.7256 GBP
100p ordinary SWAP Short 4,163 6.7679 GBP
100p ordinary CFD Short 6,657 6.7226 GBP
100p ordinary SWAP Short 13,775 6.7430 GBP
100p ordinary SWAP Short 15,777 6.7249 GBP
100p ordinary SWAP Short 19,617 6.7410 GBP
100p ordinary CFD Short 20,000 6.7887 GBP
100p ordinary SWAP Short 34,942 6.7680 GBP
100p ordinary SWAP Short 56,381 6.7291 GBP
100p ordinary CFD Short 58,015 6.7263 GBP
100p ordinary SWAP Short 68,322 6.7210 GBP
100p ordinary SWAP Short 76,000 4.6000 GBP
100p ordinary CFD Short 162,526 6.7242 GBP
100p ordinary CFD Short 229,170 6.7294 GBP
100p ordinary SWAP Short 444,262 6.7466 GBP
100p ordinary SWAP Short 500,000 6.7233 GBP
100p ordinary SWAP Short 500,000 6.7247 GBP
100p ordinary SWAP Short 500,009 6.7257 GBP
100p ordinary CFD Long 20,000 8.9450 USD
100p ordinary CFD Short 20,000 8.6100 USD
(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: 23 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=52334470&newsitemid=20201122005115&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=8412c709e5b80b6ef213e7b8e8334e07)
.
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