REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - G4S PLC
19/10/2020 09:45
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Form 8.5 (EPT/NON-RI) - G4S PLC
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 G4S PLC
relevant securities this form relates:
(c) Name of the party to the offer with which exempt Fleming Capital Securities, Inc. (a wholly-owned subsidiary of Garda World Security Corporation)
principal trader is connected
(d) Date position held/dealing undertaken: 16 October 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: 25p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 25,375,003 1.64% 5,230,263 0.34%
(2) Cash-settled derivatives:
3,946,109 0.25% 22,687,650 1.46%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 29,321,112 1.89% 27,917,913 1.80%
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
25p ordinary Purchase 174,573 17.1858 DKK 17.095 DKK
25p ordinary Purchase 1,703,486 2.1050 GBP 2.077 GBP
25p ordinary Sale 86,028 17.2650 DKK 17.069 DKK
25p ordinary Sale 1,111,315 2.0930 GBP 2.077 GBP
ADR Purchase 30,000 13.4000 USD 13.4 USD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
25p ordinary CFD Long 17 17.0641 DKK
25p ordinary CFD Long 44 2.0847 GBP
25p ordinary CFD Long 112 2.0848 GBP
25p ordinary CFD Long 2,400 17.0908 DKK
25p ordinary SWAP Long 2,760 2.1020 GBP
25p ordinary SWAP Long 4,155 17.0708 DKK
25p ordinary CFD Long 4,639 17.1694 DKK
25p ordinary SWAP Long 5,725 2.0918 GBP
25p ordinary SWAP Long 6,580 17.0603 DKK
25p ordinary CFD Long 11,700 17.1087 DKK
25p ordinary SWAP Long 18,589 2.0896 GBP
25p ordinary SWAP Long 53,984 2.0877 GBP
25p ordinary CFD Long 192,499 2.0871 GBP
25p ordinary CFD Long 346,000 17.0700 DKK
25p ordinary SWAP Short 109 2.1000 GBP
25p ordinary SWAP Short 152 2.0930 GBP
25p ordinary SWAP Short 176 2.0910 GBP
25p ordinary CFD Short 301 17.0565 DKK
25p ordinary SWAP Short 2,513 2.0897 GBP
25p ordinary CFD Short 4,824 17.0258 DKK
25p ordinary CFD Short 11,367 2.0875 GBP
25p ordinary SWAP Short 65,488 2.0868 GBP
25p ordinary SWAP Short 93,000 2.0872 GBP
25p ordinary SWAP Short 102,081 2.0856 GBP
25p ordinary CFD Short 112,911 17.1223 DKK
25p ordinary CFD Short 137,481 2.0888 GBP
25p ordinary CFD Short 150,000 2.0876 GBP
25p ordinary SWAP Short 210,389 2.0881 GBP
25p ordinary CFD Short 346,000 2.0745 GBP
25p ordinary CFD Long 30,000 13.5000 USD
25p ordinary CFD Short 30,000 13.4000 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: 19 Oct 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=52308838&newsitemid=20201019005316&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=0b4dea225632e2a2cd98792fd14d3cd2)
.
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