REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - RSA INSURANCE GROUP PLC
06/11/2020 11:20
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Form 8.5 (EPT/NON-RI) - RSA INSURANCE GROUP 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 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: 05 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: 12,711,067 1.23% 10,020,920 0.97%
(2) Cash-settled derivatives:
3,219,415 0.31% 9,145,860 0.88%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 15,930,482 1.54% 19,166,780 1.85%
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 5,615,344 6.7034 GBP 4.4187 GBP
100p ordinary Sale 5,097,673 6.7101 GBP 4.423 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 102 4.4966 GBP
100p ordinary SWAP Long 218 4.6276 GBP
100p ordinary SWAP Long 378 4.5808 GBP
100p ordinary CFD Long 390 4.6142 GBP
100p ordinary SWAP Long 460 4.5869 GBP
100p ordinary CFD Long 531 5.4021 GBP
100p ordinary SWAP Long 3,529 6.6986 GBP
100p ordinary SWAP Long 5,350 4.5066 GBP
100p ordinary SWAP Long 8,354 4.5390 GBP
100p ordinary SWAP Long 12,364 4.5070 GBP
100p ordinary CFD Long 21,066 4.5487 GBP
100p ordinary CFD Long 32,961 4.6600 GBP
100p ordinary CFD Long 33,539 6.2647 GBP
100p ordinary CFD Long 33,930 5.6880 GBP
100p ordinary CFD Long 38,265 4.5188 GBP
100p ordinary SWAP Long 43,908 5.9889 GBP
100p ordinary SWAP Long 45,000 4.5934 GBP
100p ordinary CFD Long 80,593 5.7036 GBP
100p ordinary SWAP Long 255,013 6.6589 GBP
100p ordinary SWAP Long 472,284 6.1823 GBP
100p ordinary SWAP Short 7 4.4815 GBP
100p ordinary SWAP Short 9 4.4837 GBP
100p ordinary SWAP Short 11 4.4866 GBP
100p ordinary SWAP Short 29 6.7003 GBP
100p ordinary SWAP Short 30 4.4824 GBP
100p ordinary SWAP Short 39 4.4835 GBP
100p ordinary SWAP Short 42 4.4838 GBP
100p ordinary SWAP Short 46 4.5065 GBP
100p ordinary SWAP Short 54 4.5237 GBP
100p ordinary SWAP Short 57 4.6284 GBP
100p ordinary SWAP Short 60 4.4996 GBP
100p ordinary SWAP Short 72 4.5220 GBP
100p ordinary SWAP Short 77 4.4852 GBP
100p ordinary SWAP Short 77 4.5035 GBP
100p ordinary SWAP Short 85 4.4903 GBP
100p ordinary SWAP Short 86 4.5120 GBP
100p ordinary SWAP Short 86 4.5247 GBP
100p ordinary SWAP Short 93 4.4945 GBP
100p ordinary SWAP Short 95 4.5212 GBP
100p ordinary SWAP Short 100 4.5126 GBP
100p ordinary SWAP Short 100 4.5410 GBP
100p ordinary SWAP Short 103 4.4904 GBP
100p ordinary SWAP Short 104 4.4987 GBP
100p ordinary SWAP Short 107 4.5260 GBP
100p ordinary SWAP Short 108 4.5084 GBP
100p ordinary SWAP Short 110 4.4842 GBP
100p ordinary SWAP Short 126 4.5067 GBP
100p ordinary SWAP Short 126 4.5112 GBP
100p ordinary SWAP Short 133 4.5027 GBP
100p ordinary SWAP Short 142 4.5186 GBP
100p ordinary SWAP Short 150 4.4790 GBP
100p ordinary SWAP Short 194 4.4942 GBP
100p ordinary SWAP Short 230 4.5263 GBP
100p ordinary SWAP Short 237 4.4925 GBP
100p ordinary SWAP Short 238 4.4844 GBP
100p ordinary SWAP Short 289 4.5280 GBP
100p ordinary SWAP Short 298 4.5201 GBP
100p ordinary SWAP Short 307 4.5121 GBP
100p ordinary SWAP Short 313 4.5257 GBP
100p ordinary SWAP Short 349 4.5031 GBP
100p ordinary SWAP Short 354 4.4655 GBP
100p ordinary SWAP Short 425 4.5075 GBP
100p ordinary SWAP Short 455 4.5043 GBP
100p ordinary SWAP Short 464 4.4865 GBP
100p ordinary SWAP Short 467 4.4878 GBP
100p ordinary SWAP Short 475 4.4964 GBP
100p ordinary SWAP Short 476 4.5279 GBP
100p ordinary SWAP Short 532 4.5116 GBP
100p ordinary SWAP Short 587 4.5085 GBP
100p ordinary SWAP Short 600 4.5196 GBP
100p ordinary SWAP Short 616 4.5537 GBP
100p ordinary SWAP Short 652 4.4998 GBP
100p ordinary SWAP Short 715 4.5197 GBP
100p ordinary SWAP Short 742 4.4917 GBP
100p ordinary SWAP Short 781 4.5137 GBP
100p ordinary SWAP Short 783 4.5530 GBP
100p ordinary SWAP Short 805 4.4685 GBP
100p ordinary SWAP Short 883 4.4388 GBP
100p ordinary SWAP Short 889 4.4992 GBP
100p ordinary SWAP Short 901 4.4513 GBP
100p ordinary SWAP Short 943 4.4457 GBP
100p ordinary CFD Short 990 6.4783 GBP
100p ordinary SWAP Short 1,007 4.4973 GBP
100p ordinary SWAP Short 1,012 4.5532 GBP
100p ordinary SWAP Short 1,130 4.5185 GBP
100p ordinary SWAP Short 1,182 4.4981 GBP
100p ordinary SWAP Short 1,409 4.4921 GBP
100p ordinary SWAP Short 1,465 4.5222 GBP
100p ordinary SWAP Short 1,500 4.5010 GBP
100p ordinary CFD Short 1,527 4.4381 GBP
100p ordinary SWAP Short 1,545 4.5008 GBP
100p ordinary SWAP Short 1,560 4.5023 GBP
100p ordinary SWAP Short 1,673 4.4846 GBP
100p ordinary SWAP Short 1,686 4.4828 GBP
100p ordinary SWAP Short 1,823 4.5044 GBP
100p ordinary SWAP Short 1,896 4.5259 GBP
100p ordinary SWAP Short 2,002 4.5184 GBP
100p ordinary SWAP Short 2,469 4.4993 GBP
100p ordinary SWAP Short 2,544 4.4862 GBP
100p ordinary SWAP Short 2,582 4.5009 GBP
100p ordinary SWAP Short 3,174 4.4628 GBP
100p ordinary SWAP Short 3,257 4.5282 GBP
100p ordinary SWAP Short 3,273 4.4187 GBP
100p ordinary SWAP Short 3,515 4.5111 GBP
100p ordinary SWAP Short 3,667 4.4934 GBP
100p ordinary SWAP Short 4,490 4.4861 GBP
100p ordinary SWAP Short 4,579 4.5054 GBP
100p ordinary SWAP Short 6,173 4.4944 GBP
100p ordinary SWAP Short 6,233 4.5525 GBP
100p ordinary SWAP Short 7,457 4.5161 GBP
100p ordinary SWAP Short 7,800 4.4933 GBP
100p ordinary SWAP Short 8,205 6.7000 GBP
100p ordinary SWAP Short 9,545 4.5192 GBP
100p ordinary SWAP Short 10,320 4.4941 GBP
100p ordinary SWAP Short 11,866 4.4671 GBP
100p ordinary SWAP Short 13,522 4.4988 GBP
100p ordinary SWAP Short 15,342 4.4951 GBP
100p ordinary SWAP Short 16,500 4.4512 GBP
100p ordinary SWAP Short 31,144 4.5216 GBP
100p ordinary SWAP Short 32,631 4.4972 GBP
100p ordinary SWAP Short 39,707 4.4804 GBP
100p ordinary SWAP Short 59,659 4.5025 GBP
100p ordinary SWAP Short 153,943 6.7002 GBP
100p ordinary SWAP Short 157,990 4.4961 GBP
100p ordinary SWAP Short 182,884 4.5294 GBP
100p ordinary CFD Short 200,000 6.7033 GBP
100p ordinary CFD Short 240,354 6.7000 GBP
100p ordinary CFD Short 257,307 4.4820 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: 6 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=52321717&newsitemid=20201106005228&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=adc82a046253d8c66555f1e194e82ba6)
.
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