REG - Barclays PLC Shaftesbury PLC - Form 8.5 (EPT/NON-RI) - SHAFTESBURY PLC

BarclaysAnnouncement

03/10/2022 10:30

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RNS Number : 5471B  Barclays PLC  03 October 2022

 FORM 8.5 (EPT/NON-RI)
 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                                              SHAFTESBURY PLC
                    relevant securities this form relates:
 (c)                Name of the party to the offer with which exempt                                          CAPITAL & COUNTIES PROPERTIES PLC
                    principal trader is connected
 (d)                Date position held/dealing undertaken:                                                    30 September 2022
 (e)                In addition to the company in 1(b) above, is the exempt principal                         YES:
                    trader making disclosures in respect of any other party to the offer?                     CAPITAL & COUNTIES PROPERTIES PLC
 2.                                                                                       POSITIONS OF THE EXEMPT PRINCIPAL TRADER
 (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:                                          25p ordinary
                                                                      Interests                               Short Positions
                                                                      Number              (%)                 Number           (%)
 (1)                Relevant securities owned
                    and/or controlled:                                1,239,648           0.32%               1,069,754        0.28%

 (2)                Cash-settled derivatives:
                                                                      574,289             0.15%               1,212,594        0.32%

 (3)                Stock-settled derivatives (including options)
                    and agreements to purchase/sell:                  483526.55           0.13%               0                0.00%

                    TOTAL:                                            2,297,464           0.60%               2,282,348        0.59%

 (b)                Rights to subscribe for new securities (including directors and other
                    executive
                    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
 (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
 25p ordinary                                Purchase                                     189,900                              3.6840 GBP              3.444 GBP
 25p ordinary                                Sale                                         243,086                              3.6999 GBP              3.444 GBP
 Convertible Bond                            Purchase                                     1,000,000                            80.5000 GBP             80.5 GBP

 (b)                Cash-settled derivative transactions
 Class of                                    Product                                      Nature of dealing                    Number of               Price per
 relevant                                    description                                                                       reference               unit
 security                                                                                                                      securities
 25p ordinary                                 SWAP                                        Decreasing Short                     403                     3.6341 GBP
 25p ordinary                                 SWAP                                        Decreasing Short                     624                     3.6342 GBP
 25p ordinary                                 CFD                                         Decreasing Short                     1,334                   3.6844 GBP
 25p ordinary                                 CFD                                         Decreasing Short                     1,532                   3.6075 GBP
 25p ordinary                                 SWAP                                        Decreasing Short                     2,462                   3.6548 GBP
 25p ordinary                                 SWAP                                        Decreasing Short                     2,519                   3.6711 GBP
 25p ordinary                                 SWAP                                        Decreasing Short                     8,021                   3.6527 GBP
 25p ordinary                                 SWAP                                        Decreasing Short                     9,648                   3.6771 GBP
 25p ordinary                                 CFD                                         Decreasing Short                     15,196                  3.6777 GBP
 25p ordinary                                 SWAP                                        Decreasing Short                     22,341                  3.6780 GBP
 25p ordinary                                 SWAP                                        Increasing Short                     39                      3.6999 GBP
 25p ordinary                                 SWAP                                        Increasing Short                     4,214                   3.6348 GBP
 25p ordinary                                 SWAP                                        Increasing Short                     4,253                   3.6299 GBP
 25p ordinary                                 SWAP                                        Increasing Short                     4,435                   3.6780 GBP
 25p ordinary                                 SWAP                                        Increasing Short                     5,665                   3.6670 GBP
 25p ordinary                                 SWAP                                        Increasing Short                     8,203                   3.6294 GBP
 25p ordinary                                 SWAP                                        Increasing Short                     11,000                  3.6694 GBP

 (c)                Stock-settled derivative transactions (including options)
 (i)                Writing, selling, purchasing or varying
 Class              Product                  Writing,                 Number              Exercise            Type             Expiry                  Option
 of                 description              purchasing,              of                  price                                date                    money
 relevant                                    selling,                 securities          per unit                                                     paid/
 security                                    varying etc              to which                                                                         received
                                                                      option                                                                           per unit
                                                                      relates

 (ii)               Exercising
 Class of relevant                           Product description                          Exercising/ exercised against        Number of               Exercise price per
 security                                                                                                     securities       unit

 (d)                Other dealings (including subscribing for new securities)
 Class of relevant                           Nature of Dealings                           Details                              Price per unit (if
 security                                                                                                     applicable)

 4.                                                                                       OTHER INFORMATION
 (a)                Indemnity and other dealings 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:
 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 of future acquisition or disposal of any relevant
 securities to which
 any derivative is referenced:
 NONE
 (c)                Attachments
 Is a Supplemental Form 8 (Open Positions) attached?                                      Yes
 Date of disclosure:                                                                      3 Oct 2022
 Contact name:                                                                            Large Holdings Regulatory Operations
 Telephone number:                                                                        020 3134 7213
 SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
 DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO
 PURCHASE OR SELL ETC.
 Note 5(i) on Rule 8 of the Takeover Code (the "Code")
 1.                                                                                       KEY INFORMATION
 Identity of the person whose positions/dealings                                          BARCLAYS CAPITAL SECURITIES LTD
 are being disclosed:
 Name of offeror/offeree in relation to whose                                             SHAFTESBURY PLC
 relevant securities this from relates:
 2.                                                                                       OPTIONS AND DERIVATIVES
 Class                                       Product                  Writing,            Number              Exercise         Type                    Expiry
 of                                          description              purchasing,         of                  price                                    date
 relevant                                                             selling,            securities          per unit
 security                                                             varying etc         to which
                                                                                          option
                                                                                          relates
 25p ordinary                                Exchangeable Bond        Long                483526.55           n/a              n/a                     30 Mar 2026
 3.                                                                                       AGREEMENTS TO PURCHASE OR SELL ETC.
 Full details should be given so that the nature of the interest or position
 can be fully
 understood:

 

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