Last checked at 29 Jul 2016 11:50
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 relevant securities this form relates: Use a separate form for each offeror/offeree | SABMILLER PLC | |
| (c) Name of the party to the offer with which exempt principal trader is connected: | ANHEUSER-BUSCH INBEV SA/NV | |
| (d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure | 28 July 2016 | |
| (e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A” | YES ANHEUSER-BUSCH INBEV SA/NV |
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: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 19,409,056 | 1.20% | 1,789,952 | 0.11% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 39,052 | 0.00% | 18,003,205 | 1.11% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | |||||||||||
| TOTAL: | 19,448,108 | 1.20% | 19,793,157 | 1.22% | |||||||
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 | ||||||
| ORD | Purchase | 1,451,042 | 43.3650 GBP | 42.65 GBP | |||||
| ORD | Sale | 1,425,347 | 43.9100 GBP | 42.6 GBP | |||||
| ADR | Purchase | 16,494 | 56.7034 USD | 56.5938 USD | |||||
| ADR | Sale | 16,494 | 56.7034 USD | 56.5938 USD | |||||
| (b) | Cash-settled derivative transactions | ||||||||
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 92 | 43.1095 GBP | |||||
| ORD | SWAP | Long | 100 | 42.9596 GBP | |||||
| ORD | SWAP | Long | 101 | 42.8957 GBP | |||||
| ORD | SWAP | Long | 125 | 42.7657 GBP | |||||
| ORD | SWAP | Long | 200 | 43.1697 GBP | |||||
| ORD | SWAP | Long | 328 | 43.0875 GBP | |||||
| ORD | CFD | Long | 1,035 | 43.1193 GBP | |||||
| ORD | CFD | Long | 2,580 | 43.1920 GBP | |||||
| ORD | CFD | Long | 2,951 | 43.1043 GBP | |||||
| ORD | CFD | Long | 7,443 | 805.1129 ZAR | |||||
| ORD | CFD | Long | 10,000 | 43.1249 GBP | |||||
| ORD | CFD | Long | 10,091 | 43.1330 GBP | |||||
| ORD | CFD | Long | 12,211 | 804.4261 ZAR | |||||
| ORD | CFD | Long | 53,029 | 804.1308 ZAR | |||||
| ORD | CFD | Long | 28,835 | 800.6483 ZAR | |||||
| ORD | CFD | Long | 70,152 | 42.9329 GBP | |||||
| ORD | CFD | Long | 281,472 | 804.8093 ZAR | |||||
| ORD | CFD | Short | 30 | 42.8816 GBP | |||||
| ORD | SWAP | Short | 85 | 42.9550 GBP | |||||
| ORD | SWAP | Short | 136 | 42.8492 GBP | |||||
| ORD | SWAP | Short | 174 | 42.9852 GBP | |||||
| ORD | SWAP | Short | 200 | 43.0008 GBP | |||||
| ORD | CFD | Short | 200 | 805.1114 ZAR | |||||
| ORD | SWAP | Short | 222 | 43.0004 GBP | |||||
| ORD | CFD | Short | 350 | 42.7770 GBP | |||||
| ORD | SWAP | Short | 663 | 43.0143 GBP | |||||
| ORD | CFD | Short | 1,330 | 42.8725 GBP | |||||
| ORD | SWAP | Short | 1,586 | 42.8507 GBP | |||||
| ORD | CFD | Short | 2,166 | 42.9345 GBP | |||||
| ORD | CFD | Short | 2,267 | 806.0772 ZAR | |||||
| ORD | SWAP | Short | 2,770 | 42.9247 GBP | |||||
| ORD | SWAP | Short | 3,042 | 42.9032 GBP | |||||
| ORD | CFD | Short | 5,078 | 42.8186 GBP | |||||
| ORD | SWAP | Short | 5,440 | 42.9175 GBP | |||||
| ORD | SWAP | Short | 5,925 | 43.0601 GBP | |||||
| ORD | CFD | Short | 6,098 | 796.8286 ZAR | |||||
| ORD | SWAP | Short | 6,558 | 42.9686 GBP | |||||
| ORD | SWAP | Short | 6,688 | 42.9066 GBP | |||||
| ORD | SWAP | Short | 7,524 | 42.9350 GBP | |||||
| ORD | SWAP | Short | 7,795 | 42.6004 GBP | |||||
| ORD | CFD | Short | 8,278 | 43.1005 GBP | |||||
| ORD | SWAP | Short | 13,594 | 42.9522 GBP | |||||
| ORD | SWAP | Short | 13,676 | 42.9577 GBP | |||||
| ORD | SWAP | Short | 13,889 | 42.9111 GBP | |||||
| ORD | SWAP | Short | 16,872 | 42.9253 GBP | |||||
| ORD | CFD | Short | 41,698 | 805.4508 ZAR | |||||
| ORD | CFD | Short | 50,000 | 42.8728 GBP | |||||
| ORD | SWAP | Short | 66,561 | 42.8853 GBP | |||||
| ORD | SWAP | Short | 68,606 | 43.2299 GBP | |||||
| ORD | CFD | Short | 35,253 | 804.4270 ZAR | |||||
| ORD | SWAP | Short | 140,509 | 42.9902 GBP | |||||
| ORD | CFD | Short | 304,213 | 42.9170 GBP | |||||
| ORD | SWAP | Short | 363,021 | 42.9465 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 e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(ii) Exercise
| Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
(d) Other dealings (including subscribing for new securities)
| Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
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: | 29 July 2016 |
| Contact name: | Pinar Coktas |
| Telephone number: | 020 7116 1165 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. 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.
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