Last checked at 5 Apr 2022 12:59
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 |
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(a) | Name of exempt principal trader: | BARCLAYS CAPITAL SECURITIES LTD |
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(b) | Name of offeror/offeree in relation to whose | BREWIN DOLPHIN HOLDINGS PLC |
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relevant securities this form relates: |
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(c) | Name of the party to the offer with which exempt | Brewin Dolphin Holdings plc |
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principal trader is connected |
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(d) | Date position held/dealing undertaken: | 04 April 2022 |
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(e) | In addition to the company in 1(b) above, is the exempt principal | NO |
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trader making disclosures in respect of any other party to the offer? |
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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: | 1p ordinary | ||||||
Interests | Short Positions | ||||||
Number | (%) | Number | (%) | ||||
(1) | Relevant securities owned | ||||||
and/or controlled: | 3,504,921 | 1.15% | 423,755 | 0.14% | |||
(2) | Cash-settled derivatives: | ||||||
45,929 | 0.02% | 3,176,155 | 1.05% | ||||
(3) | Stock-settled derivatives (including options) | ||||||
and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
TOTAL: | 3,550,850 | 1.17% | 3,599,910 | 1.19% | |||
(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 | ||||
1p ordinary | Purchase | 484,528 | 5.2096 GBP | 5.11 GBP | |||
1p ordinary | Sale | 20,055 | 5.1702 GBP | 5.1091 GBP | |||
(b) | Cash-settled derivative transactions | ||||||
Class of | Product | Nature of dealing | Number of | Price per | |||
relevant | description | reference | unit | ||||
security | securities | ||||||
1p ordinary | SWAP | Decreasing Short | 131 | 5.2196 GBP | |||
1p ordinary | SWAP | Decreasing Short | 1,000 | 5.1196 GBP | |||
1p ordinary | SWAP | Decreasing Short | 1,999 | 5.1947 GBP | |||
1p ordinary | SWAP | Decreasing Short | 117,970 | 5.1200 GBP | |||
1p ordinary | SWAP | Increasing Long | 1,493 | 5.1199 GBP | |||
1p ordinary | CFD | Increasing Short | 62 | 5.1193 GBP | |||
1p ordinary | CFD | Increasing Short | 178 | 5.1208 GBP | |||
1p ordinary | CFD | Increasing Short | 617 | 5.1091 GBP | |||
1p ordinary | SWAP | Increasing Short | 1,406 | 5.1364 GBP | |||
1p ordinary | CFD | Increasing Short | 2,000 | 5.1103 GBP | |||
1p ordinary | SWAP | Increasing Short | 2,992 | 5.1686 GBP | |||
1p ordinary | SWAP | Increasing Short | 3,475 | 5.1700 GBP | |||
1p ordinary | SWAP | Increasing Short | 4,135 | 5.1376 GBP | |||
1p ordinary | SWAP | Increasing Short | 7,023 | 5.1349 GBP | |||
1p ordinary | SWAP | Increasing Short | 8,293 | 5.1408 GBP | |||
1p ordinary | SWAP | Increasing Short | 8,518 | 5.1377 GBP | |||
1p ordinary | SWAP | Increasing Short | 12,453 | 5.1276 GBP | |||
1p ordinary | SWAP | Increasing Short | 13,968 | 5.1259 GBP | |||
1p ordinary | SWAP | Increasing Short | 14,843 | 5.1316 GBP | |||
1p ordinary | CFD | Increasing Short | 33,822 | 5.1700 GBP | |||
1p ordinary | SWAP | Increasing Short | 43,078 | 5.1299 GBP | |||
1p ordinary | SWAP | Increasing Short | 46,898 | 5.1341 GBP | |||
1p ordinary | SWAP | Increasing Short | 57,606 | 5.1205 GBP | |||
1p ordinary | SWAP | Increasing Short | 117,970 | 5.1200 GBP | |||
1p ordinary | SWAP | Opening Short | 61 | 5.2104 GBP | |||
1p ordinary | SWAP | Opening Short | 85 | 5.1683 GBP | |||
1p ordinary | SWAP | Opening Short | 139 | 5.2100 GBP | |||
1p ordinary | SWAP | Opening Short | 169 | 5.1722 GBP | |||
1p ordinary | SWAP | Opening Short | 356 | 5.1835 GBP | |||
1p ordinary | SWAP | Opening Short | 376 | 5.1679 GBP | |||
1p ordinary | SWAP | Opening Short | 496 | 5.2098 GBP | |||
1p ordinary | SWAP | Opening Short | 737 | 5.1718 GBP | |||
1p ordinary | SWAP | Opening Short | 738 | 5.1821 GBP | |||
1p ordinary | SWAP | Opening Short | 853 | 5.2094 GBP | |||
1p ordinary | SWAP | Opening Short | 935 | 5.1685 GBP | |||
1p ordinary | SWAP | Opening Short | 1,167 | 5.1838 GBP | |||
1p ordinary | SWAP | Opening Short | 1,241 | 5.1531 GBP | |||
1p ordinary | SWAP | Opening Short | 1,684 | 5.1520 GBP | |||
1p ordinary | SWAP | Opening Short | 1,793 | 5.1684 GBP | |||
1p ordinary | SWAP | Opening Short | 1,932 | 5.1836 GBP | |||
1p ordinary | SWAP | Opening Short | 2,016 | 5.2096 GBP | |||
1p ordinary | SWAP | Opening Short | 2,992 | 5.1686 GBP | |||
1p ordinary | SWAP | Opening Short | 2,998 | 5.1724 GBP | |||
1p ordinary | SWAP | Opening Short | 3,147 | 5.1522 GBP | |||
1p ordinary | SWAP | Opening Short | 3,447 | 5.1834 GBP | |||
1p ordinary | SWAP | Opening Short | 3,645 | 5.1723 GBP | |||
1p ordinary | SWAP | Opening Short | 5,618 | 5.2095 GBP | |||
1p ordinary | SWAP | Opening Short | 5,813 | 5.1523 GBP | |||
1p ordinary | SWAP | Opening Short | 22,132 | 5.1701 GBP | |||
1p ordinary | SWAP | Opening Long | 1,794 | 5.1434 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? | NO | ||||||
Date of disclosure: | 5 Apr 2022 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||