Last checked at 5 Aug 2014 10:54
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | Morgan Stanley Securities Limited |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | CARILLION PLC |
(c) Name of the party to the offer with which exempt principal trader is connected:
| CARILLION PLC |
(d) Date dealing undertaken: | 04 AUGUST 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | YES |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchases/sales | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
50P ORDINARY | PURCHASES | 532,862 | 3.3200 GBP | 3.2760 GBP |
50P ORDINARY | SALES | 491,514 | 3.3260 GBP | 3.2750 GBP |
(b) Derivatives transactions (other than options)
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
50P ORDINARY | CFD | LONG | 32 | 3.2865 GBP |
50P ORDINARY | CFD | LONG | 2,677 | 3.2890 GBP |
50P ORDINARY | CFD | LONG | 2,132 | 3.2890 GBP |
50P ORDINARY | CFD | LONG | 88 | 3.2959 GBP |
50P ORDINARY | CFD | LONG | 4 | 3.2970 GBP |
50P ORDINARY | CFD | LONG | 1 | 3.2970 GBP |
50P ORDINARY | CFD | LONG | 278 | 3.2983 GBP |
50P ORDINARY | CFD | LONG | 8,165 | 3.2983 GBP |
50P ORDINARY | CFD | LONG | 13,059 | 3.2983 GBP |
50P ORDINARY | CFD | LONG | 19,050 | 3.2983 GBP |
50P ORDINARY | CFD | LONG | 27,441 | 3.2983 GBP |
50P ORDINARY | CFD | LONG | 1,559 | 3.2983 GBP |
50P ORDINARY | CFD | LONG | 393 | 3.2989 GBP |
50P ORDINARY | CFD | LONG | 5,672 | 3.2999 GBP |
50P ORDINARY | CFD | LONG | 530 | 3.3000 GBP |
50P ORDINARY | CFD | LONG | 134,774 | 3.3013 GBP |
50P ORDINARY | CFD | LONG | 43 | 3.3016 GBP |
50P ORDINARY | CFD | LONG | 589 | 3.3016 GBP |
50P ORDINARY | CFD | LONG | 13,615 | 3.3043 GBP |
50P ORDINARY | CFD | LONG | 117 | 3.3058 GBP |
50P ORDINARY | CFD | LONG | 388 | 3.3075 GBP |
50P ORDINARY | CFD | LONG | 8,686 | 3.3082 GBP |
50P ORDINARY | CFD | LONG | 142 | 3.3082 GBP |
50P ORDINARY | CFD | LONG | 627 | 3.3082 GBP |
50P ORDINARY | CFD | LONG | 21 | 3.3128 GBP |
50P ORDINARY | CFD | LONG | 562 | 3.3150 GBP |
50P ORDINARY | CFD | LONG | 29 | 3.3168 GBP |
50P ORDINARY | CFD | LONG | 221 | 3.3170 GBP |
50P ORDINARY | CFD | SHORT | 1,109 | 3.2910 GBP |
50P ORDINARY | CFD | SHORT | 334 | 3.2910 GBP |
50P ORDINARY | CFD | SHORT | 15,167 | 3.2975 GBP |
50P ORDINARY | CFD | SHORT | 4,556 | 3.2975 GBP |
50P ORDINARY | CFD | SHORT | 12,376 | 3.2987 GBP |
50P ORDINARY | CFD | SHORT | 1,021 | 3.2987 GBP |
50P ORDINARY | CFD | SHORT | 129,897 | 3.2997 GBP |
50P ORDINARY | CFD | SHORT | 86,214 | 3.3000 GBP |
50P ORDINARY | CFD | SHORT | 1,130 | 3.3000 GBP |
50P ORDINARY | CFD | SHORT | 1,548 | 3.3003 GBP |
50P ORDINARY | CFD | SHORT | 1,100 | 3.3007 GBP |
50P ORDINARY | CFD | SHORT | 5,597 | 3.3011 GBP |
50P ORDINARY | CFD | SHORT | 556 | 3.3030 GBP |
50P ORDINARY | CFD | SHORT | 1,305 | 3.3060 GBP |
50P ORDINARY | CFD | SHORT | 470 | 3.3070 GBP |
50P ORDINARY | CFD | SHORT | 1,065 | 3.3079 GBP |
50P ORDINARY | CFD | SHORT | 432 | 3.3080 GBP |
50P ORDINARY | CFD | SHORT | 5,799 | 3.3080 GBP |
50P ORDINARY | CFD | SHORT | 19,308 | 3.3080 GBP |
50P ORDINARY | CFD | SHORT | 415 | 3.3090 GBP |
50P ORDINARY | CFD | SHORT | 1,817 | 3.3096 GBP |
50P ORDINARY | CFD | SHORT | 831 | 3.3100 GBP |
50P ORDINARY | CFD | SHORT | 2 | 3.3100 GBP |
50P ORDINARY | CFD | SHORT | 5,700 | 3.3103 GBP |
50P ORDINARY | CFD | SHORT | 2,175 | 3.3110 GBP |
50P ORDINARY | CFD | SHORT | 1,369 | 3.3120 GBP |
50P ORDINARY | CFD | SHORT | 1,523 | 3.3128 GBP |
50P ORDINARY | CFD | SHORT | 886 | 3.3140 GBP |
50P ORDINARY | CFD | SHORT | 798 | 3.3150 GBP |
50P ORDINARY | CFD | SHORT | 405 | 3.3160 GBP |
50P ORDINARY | CFD | SHORT | 5,118 | 3.3000 GBP |
(c) Options transactions in respect of existing securities
(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 |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
N/A | N/A | N/A | N/A |
(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) |
N/A | N/A | N/A | N/A |
The currency of all prices and other monetary amounts should be stated.
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
3. 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: 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
|
| Date of disclosure: | 05 AUGUST 2014 |
| Contact name: | Darren Wickert |
| Telephone number: | +44 (0)20 7425 6578 |
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 dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.