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Form 8.3 - Capital & Regional plc

14 Oct 2019 15:20

Aberforth Partners LLP - Form 8.3 - Capital & Regional plc

Aberforth Partners LLP - Form 8.3 - Capital & Regional plc

PR Newswire

London, October 14

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON

WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser:Aberforth Partners LLP, on behalf of discretionary clients.
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.N/A
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree Capital & Regional plc
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:N/A
(e) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure 11/10/2019
(f) In addition to the company in 1(c) above, is the discloser 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 / NO / N/A NO If YES, specify which:

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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(c), 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: Ordinary Shares
InterestsShort positions
Number%Number%
(1) Relevant securities owned and/or controlled: 28,958,836 4.00% 0 0.0
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
TOTAL: 28,958,836 4.00% 0 0.0

Aberforth Partners LLP does not have discretion regarding voting decisions in respect of 2,072,161 shares included in the total disclosed above as certain clients retain voting control over their shareholdings. None of the clients who fall into this category hold more than 1% of the relevant security.

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:N/A
Details, including nature of the rights concerned and relevant percentages:N/A

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), 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 securityPurchase/saleNumber of securitiesPrice per unit
Ordinary Shares Sale 5,127,466  19.0245p

(b) Cash-settled derivative transactions

Class of relevant securityProduct description e.g. CFDNature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short positionNumber of reference securitiesPrice per unit
N/A

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant securityProduct description e.g. call optionWriting, purchasing, selling, varying etc.Number of securities to which option relatesExercise price per unitType e.g. American, European etc.Expiry dateOption money paid/ received per unit
N/A

(ii) Exercise

Class of relevant securityProduct description e.g. call optionExercising/ exercised againstNumber of securitiesExercise price per unit
N/A

(d) Other dealings (including subscribing for new securities)

Class of relevant securityNature of dealing e.g. subscription, conversionDetailsPrice per unit (if applicable)
N/A

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 person 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 person 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: 14 October 2019
Contact name:Michael Campbell, for Aberforth Partners LLP
Telephone number:0131 220 0733

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.

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON

WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser:Aberforth Partners LLP, on behalf of discretionary clients.
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.N/A
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree Capital & Regional plc
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:N/A
(e) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure 11/10/2019
(f) In addition to the company in 1(c) above, is the discloser 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 / NO / N/A NO If YES, specify which:

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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(c), 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: Ordinary Shares
InterestsShort positions
Number%Number%
(1) Relevant securities owned and/or controlled: 28,958,836 4.00% 0 0.0
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
TOTAL: 28,958,836 4.00% 0 0.0

Aberforth Partners LLP does not have discretion regarding voting decisions in respect of 2,072,161 shares included in the total disclosed above as certain clients retain voting control over their shareholdings. None of the clients who fall into this category hold more than 1% of the relevant security.

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:N/A
Details, including nature of the rights concerned and relevant percentages:N/A

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), 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 securityPurchase/saleNumber of securitiesPrice per unit
Ordinary Shares Sale 5,127,466  19.0245p

(b) Cash-settled derivative transactions

Class of relevant securityProduct description e.g. CFDNature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short positionNumber of reference securitiesPrice per unit
N/A

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant securityProduct description e.g. call optionWriting, purchasing, selling, varying etc.Number of securities to which option relatesExercise price per unitType e.g. American, European etc.Expiry dateOption money paid/ received per unit
N/A

(ii) Exercise

Class of relevant securityProduct description e.g. call optionExercising/ exercised againstNumber of securitiesExercise price per unit
N/A

(d) Other dealings (including subscribing for new securities)

Class of relevant securityNature of dealing e.g. subscription, conversionDetailsPrice per unit (if applicable)
N/A

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 person 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 person 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: 14 October 2019
Contact name:Michael Campbell, for Aberforth Partners LLP
Telephone number:0131 220 0733

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.

Date   Source Headline
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1st Oct 201512:47 pmRNSDirector/PDMR Shareholding
30th Sep 20153:47 pmRNSDirector/PDMR Shareholding
28th Sep 20157:00 amRNSPre-Listing Announcement - The JSE Limited
25th Sep 20153:24 pmRNSDirector/PDMR Shareholding
24th Sep 20151:52 pmRNSDirector/PDMR Shareholding
18th Sep 20157:00 amRNSHolding(s) in Company
17th Aug 20154:06 pmRNSHolding(s) in Company
14th Aug 20157:00 amRNSHolding(s) in Company
13th Aug 201511:21 amRNSDirector/PDMR Shareholding
12th Aug 20157:00 amRNSHALF YEAR RESULTS TO 30 JUNE 2015
6th Jul 20157:00 amRNSMall Valuation Update 30 June 2015
1st Jul 20157:00 amRNSDirector Shareholding
29th Jun 201512:07 pmRNSDirector Shareholding/Holding in Company
22nd Jun 20157:00 amRNSHolding in Company
17th Jun 201512:10 pmRNSDirector Shareholding/Holding in Company
5th Jun 20151:48 pmRNSDirector Shareholding/Holding in Company
2nd Jun 20152:03 pmRNSDirectorate Change
22nd May 20154:11 pmRNSDirector/PDMR Shareholding
22nd May 20159:45 amRNSDirector/PDMR Shareholding
19th May 201512:48 pmRNSDirector/PDMR Shareholding
15th May 201511:04 amRNSDirector/PDMR Shareholding
14th May 20152:35 pmRNSDirector/PDMR Shareholding
12th May 20152:37 pmRNSResult of AGM
8th May 20157:00 amRNSDirector/PDMR Shareholding
6th May 201510:50 amRNSDirector/PDMR Shareholding
30th Apr 201510:39 amRNSDirector/PDMR Shareholding
28th Apr 20153:02 pmRNSDirector/PDMR Shareholding
17th Apr 201511:01 amRNSNotice of AGM and Publication of Annual Report
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30th Mar 20157:00 amRNSDirector/PDMR Shareholding
9th Mar 20159:35 amRNSDirector Shareholding/Holding in Company
9th Mar 20157:00 amRNSNotification pursuant to DTR3.1.4R (1)
5th Mar 20153:36 pmRNSDirector/PDMR Shareholding
4th Mar 20157:00 amRNSFinal Results
10th Feb 20151:06 pmRNSCompletion of disposal of German investments
31st Dec 20147:00 amRNSConfirmation of REIT status
29th Dec 20147:00 amRNSConditional exchange on disposal of Germany
2nd Dec 201412:13 pmRNSResult of General Meeting
2nd Dec 20147:00 amRNSC&R confirm 100% ownership of The Mall
20th Nov 20147:00 amRNSDirectorate Change
13th Nov 20142:00 pmRNSNotice of General Meeting for REIT conversion
13th Nov 20147:00 amRNSInterim Management Statement
8th Oct 20147:00 amRNSQ3 Mall Property Valuation
8th Oct 20147:00 amRNSC&R further increases stake in The Mall to 99.13%

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