REG-BARCLAYS PLC FORM 8.5 (EPT/NON-RI) - RSA INSURANCE GROUP PLC - AMENDMENT
12/11/2020 07:05
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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: 09 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: 18,526,723 1.79% 9,619,999 0.93%
(2) Cash-settled derivatives:
2,662,561 0.26% 12,434,527 1.20%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 21,189,284 2.05% 22,054,526 2.13%
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 7,584,024 6.5909 GBP 6.476 GBP
100p ordinary Sale 3,740,713 6.5520 GBP 6.482 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 198 6.4896 GBP
100p ordinary SWAP Long 295 6.5340 GBP
100p ordinary SWAP Long 951 6.5080 GBP
100p ordinary SWAP Long 1,000 6.5155 GBP
100p ordinary CFD Long 1,214 6.4894 GBP
100p ordinary SWAP Long 1,619 6.5074 GBP
100p ordinary CFD Long 2,960 6.4908 GBP
100p ordinary CFD Long 3,413 6.4900 GBP
100p ordinary CFD Long 17,134 6.4978 GBP
100p ordinary SWAP Long 21,275 6.5036 GBP
100p ordinary CFD Long 63,092 6.4895 GBP
100p ordinary CFD Long 93,900 6.4902 GBP
100p ordinary SWAP Long 97,805 6.5078 GBP
100p ordinary CFD Long 113,098 6.5100 GBP
100p ordinary SWAP Long 422,122 6.5052 GBP
100p ordinary SWAP Long 524,909 6.4900 GBP
100p ordinary SWAP Short 332 6.5004 GBP
100p ordinary SWAP Short 668 6.5054 GBP
100p ordinary CFD Short 1,214 6.5105 GBP
100p ordinary SWAP Short 1,442 6.5406 GBP
100p ordinary SWAP Short 2,046 6.4925 GBP
100p ordinary SWAP Short 2,500 6.5207 GBP
100p ordinary SWAP Short 2,884 6.5266 GBP
100p ordinary SWAP Short 10,123 6.5178 GBP
100p ordinary SWAP Short 11,735 6.5081 GBP
100p ordinary SWAP Short 15,666 6.5100 GBP
100p ordinary SWAP Short 22,152 6.5080 GBP
100p ordinary SWAP Short 25,149 6.5050 GBP
100p ordinary SWAP Short 31,873 6.5082 GBP
100p ordinary SWAP Short 33,352 6.5103 GBP
100p ordinary SWAP Short 42,349 6.4944 GBP
100p ordinary SWAP Short 42,666 6.4957 GBP
100p ordinary SWAP Short 46,082 6.4943 GBP
100p ordinary SWAP Short 50,706 6.5016 GBP
100p ordinary CFD Short 107,640 6.5053 GBP
100p ordinary CFD Short 113,098 6.5100 GBP
100p ordinary SWAP Short 117,130 6.5086 GBP
100p ordinary SWAP Short 120,232 6.4971 GBP
100p ordinary SWAP Short 135,636 6.5309 GBP
100p ordinary CFD Short 155,999 6.4900 GBP
100p ordinary SWAP Short 169,396 6.5436 GBP
100p ordinary SWAP Short 170,666 6.4937 GBP
100p ordinary SWAP Short 185,660 6.5046 GBP
100p ordinary SWAP Short 200,000 6.5909 GBP
100p ordinary SWAP Short 213,611 6.4965 GBP
100p ordinary SWAP Short 237,498 6.5008 GBP
100p ordinary SWAP Short 250,000 6.5280 GBP
100p ordinary SWAP Short 402,126 6.5073 GBP
100p ordinary SWAP Short 500,000 6.4945 GBP
100p ordinary SWAP Short 512,626 6.5097 GBP
100p ordinary SWAP Short 524,909 6.4900 GBP
100p ordinary SWAP Short 750,000 6.5032 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=52325784&newsitemid=20201111005974&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=aa376419198fc1f7b8e2cf21bef3192a)
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