3 Mar 2023 10:11
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: | SHAFTESBURY PLC |
(c) | Name of the party to the offer with which exempt principal trader is connected | Capital & Counties Properties plc |
(d) | Date position held/dealing undertaken: | 02 Mar 2023 |
(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? | YES: CAPITAL & COUNTIES PROPERTIES PLC |
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: | 25p ordinary | ||||||
Interests | Short Positions | ||||||
Number | (%) | Number | (%) | ||||
(1) Relevant securities owned and/or controlled: | 1,855,803 | 0.48% | 373,734 | 0.10% | |||
(2) Cash-settled derivatives: | 224,911 | 0.06% | 1,831,615 | 0.48% | |||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 97351.34 | 0.03% | 0 | 0.00% | |||
TOTAL: | 2,178,065 | 0.57% | 2,205,349 | 0.57% | |||
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(b) | Rights to subscribe for new securities (including directors and other executive options) | ||||||
Class of relevant security in relation to which subscription right exists |
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Details, including nature of the rights concerned and relevant percentages: |
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3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | |||||||
(a) | Purchase and sales |
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Class of relevant security | Purchase/sale | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received | ||||
25p ordinary | Purchase | 128547 | 4.1763 GBP | 4.0173 GBP | ||||
25p ordinary | Sale | 39087 | 4.1813 GBP | 4.0100 GBP | ||||
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(b) | Cash-settled derivative transactions | |||||||
Class of relevant security | Product description | Nature of dealing | Number of reference securities | Price per unit | ||||
25p ordinary | SWAP | Closing Long | 57 | 4.1870 GBP | ||||
25p ordinary | SWAP | Closing Long | 135 | 4.1766 GBP | ||||
25p ordinary | SWAP | Closing Long | 1,087 | 4.1077 GBP | ||||
25p ordinary | SWAP | Closing Long | 5,789 | 4.0694 GBP | ||||
25p ordinary | CFD | Decreasing Long | 7,869 | 4.1623 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 50 | 4.1679 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 3,625 | 4.1183 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 3,773 | 4.1620 GBP | ||||
25p ordinary | SWAP | Increasing Long | 541 | 4.1688 GBP | ||||
25p ordinary | SWAP | Increasing Long | 1,096 | 4.0336 GBP | ||||
25p ordinary | CFD | Increasing Long | 8,068 | 4.1281 GBP | ||||
25p ordinary | SWAP | Increasing Short | 5 | 4.1635 GBP | ||||
25p ordinary | SWAP | Increasing Short | 242 | 4.1010 GBP | ||||
25p ordinary | SWAP | Increasing Short | 975 | 4.1576 GBP | ||||
25p ordinary | SWAP | Increasing Short | 1,094 | 4.1330 GBP | ||||
25p ordinary | SWAP | Increasing Short | 1,766 | 4.1421 GBP | ||||
25p ordinary | SWAP | Increasing Short | 2,052 | 4.1479 GBP | ||||
25p ordinary | SWAP | Increasing Short | 4,897 | 4.1567 GBP | ||||
25p ordinary | SWAP | Opening Short | 5,274 | 4.1391 GBP | ||||
25p ordinary | SWAP | Opening Short | 6,389 | 4.1346 GBP | ||||
25p ordinary | SWAP | Opening Short | 7,340 | 4.1620 GBP | ||||
25p ordinary | SWAP | Opening Short | 73,011 | 4.1266 GBP | ||||
(c) | Stock-settled derivative transactions (including options) | ||||||
(i) | Writing, selling, purchasing or varying | ||||||
Class of relevant security | Product description | 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 |
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(ii) | Exercising |
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Class of relevant security | Product description | Exercising/ exercised against | Number of securities | Exercise price per unit | |||
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(d) | Other dealings (including subscribing for new securities) | ||||||
Class of relevant security | Nature of Dealings | Details | Price per unit (if applicable) | ||||
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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? | YES | ||||||
Date of disclosure: | 03 Mar 2023 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||
SUPPLEMENTAL FORM 8 (OPEN POSITIONS) | ||||||||
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO | ||||||||
PURCHASE OR SELL ETC. | ||||||||
Note 5(i) on Rule 8 of the Takeover Code (the "Code") | ||||||||
1 | KEY INFORMATION | |||||||
Identity of the person whose positions/dealings | BARCLAYS CAPITAL SECURITIES LTD | |||||||
are being disclosed: | ||||||||
Name of offeror/offeree in relation to whose | SHAFTESBURY PLC | |||||||
relevant securities this from relates: | ||||||||
2 | OPTIONS AND DERIVATIVES | |||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | ||
of | description | purchasing, | of | price | date | |||
relevant | selling, | securities | per unit | |||||
security | varying etc | to which | ||||||
option | ||||||||
relates | ||||||||
25p ordinary | Exchangeable Bond | Long | 97351 | n/a | n/a | 30-Mar-26 | ||
3 | AGREEMENTS TO PURCHASE OR SELL ETC. | |||||||
Full details should be given so that the nature of the interest or position can be fully | ||||||||
understood: | ||||||||