REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - G4S PLC
12/11/2020 11:35
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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: 11 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: 25p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 27,055,701 1.74% 4,423,477 0.29%
(2) Cash-settled derivatives:
3,360,862 0.22% 25,789,263 1.66%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 30,416,563 1.96% 30,212,740 1.95%
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 187,486 17.8956 DKK 17.8387 DKK
25p ordinary Purchase 1,476,402 2.1414 GBP 2.134 GBP
25p ordinary Sale 52,401 17.9433 DKK 17.8225 DKK
25p ordinary Sale 714,906 2.1479 GBP 2.132 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 Long 4 2.1381 GBP
25p ordinary CFD Long 105 2.1411 GBP
25p ordinary SWAP Long 135 2.1411 GBP
25p ordinary SWAP Long 192 2.1389 GBP
25p ordinary SWAP Long 246 2.1414 GBP
25p ordinary SWAP Long 492 2.1378 GBP
25p ordinary SWAP Long 536 2.1374 GBP
25p ordinary SWAP Long 808 2.1417 GBP
25p ordinary SWAP Long 1,453 2.1395 GBP
25p ordinary CFD Long 3,591 17.8717 DKK
25p ordinary SWAP Long 4,152 2.1410 GBP
25p ordinary SWAP Long 5,369 2.1355 GBP
25p ordinary SWAP Long 12,017 2.1372 GBP
25p ordinary SWAP Long 23,565 2.1398 GBP
25p ordinary CFD Long 34,083 17.9062 DKK
25p ordinary CFD Long 38,814 2.1398 GBP
25p ordinary SWAP Long 50,994 2.1340 GBP
25p ordinary SWAP Long 58,803 2.1402 GBP
25p ordinary SWAP Long 98,280 2.1465 GBP
25p ordinary CFD Long 163,839 2.1385 GBP
25p ordinary CFD Long 210,000 17.9125 DKK
25p ordinary SWAP Long 222,137 2.1397 GBP
25p ordinary SWAP Short 600 2.1360 GBP
25p ordinary CFD Short 792 17.9316 DKK
25p ordinary CFD Short 2,389 17.6965 DKK
25p ordinary CFD Short 2,854 2.1363 GBP
25p ordinary SWAP Short 6,546 2.1341 GBP
25p ordinary SWAP Short 21,061 2.1408 GBP
25p ordinary CFD Short 28,479 2.1400 GBP
25p ordinary CFD Short 41,247 2.1341 GBP
25p ordinary SWAP Short 110,332 2.1340 GBP
25p ordinary CFD Short 145,644 2.1394 GBP
25p ordinary CFD Short 169,578 17.8898 DKK
25p ordinary SWAP Short 198,684 2.1392 GBP
25p ordinary CFD Short 210,000 2.1495 GBP
25p ordinary SWAP Short 262,304 2.1359 GBP
25p ordinary SWAP Short 612,421 2.1414 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: 12 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=52325987&newsitemid=20201112005537&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=1eca48e4983feb9a090265f719356ca5)
.
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