Last checked at 11 Jun 2013 11:16
Amendment
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 | SEVERN TRENT PLC | |
| relevant securities this form relates: | |||
| (c) | Name of the party to the offer with which exempt | Advisor to Offeree | |
| principal trader is connected | |||
| (d) | Date position held/dealing undertaken: | 7 June 2013 | |
| (e) | Has the EPT previously disclosed, or is it | NO | |
| today disclosing, under the Code in respect | |||
| of any other party to this offer? |
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: | ORD | |||||||||
| Interests | Short Positions | |||||||||
| Number | (%) | Number | (%) | |||||||
| (1) | Relevant securities owned | |||||||||
| and/or controlled: | 4,799,268 | 2.01% | 412,214 | 0.17% | ||||||
| (2) | Derivatives (other than | |||||||||
| options): | 384,782 | 0.16% | 3,607,961 | 1.51% | ||||||
| (3) | Options and agreements to | |||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||||||
| (4) | TOTAL: | |||||||||
| 5,184,050 | 2.17% | 4,020,175 | 1.68% |
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, 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 executive options)
| Class of relevant security in relation to which subscription right exists: | |
| Details, including nature of the rights concerned and relevant percentages: |
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.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| ORD | Purchase | 100 | 21.1450 GBP | ||||
| ORD | Purchase | 252 | 20.7000 GBP | ||||
| ORD | Purchase | 767 | 21.1512 GBP | ||||
| ORD | Purchase | 1,648 | 20.9324 GBP | ||||
| ORD | Purchase | 2,423 | 21.0232 GBP | ||||
| ORD | Purchase | 4,214 | 21.1157 GBP | ||||
| ORD | Purchase | 4,728 | 21.1500 GBP | ||||
| ORD | Purchase | 6,688 | 21.1083 GBP | ||||
| ORD | Purchase | 8,936 | 20.9967 GBP | ||||
| ORD | Purchase | 9,345 | 20.2900 GBP | ||||
| ORD | Purchase | 10,907 | 20.2887 GBP | ||||
| ORD | Purchase | 14,018 | 20.2800 GBP | ||||
| ORD | Purchase | 16,110 | 21.1537 GBP | ||||
| ORD | Purchase | 18,564 | 21.0034 GBP | ||||
| ORD | Purchase | 22,233 | 20.9236 GBP | ||||
| ORD | Purchase | 22,236 | 20.3305 GBP | ||||
| ORD | Purchase | 27,102 | 20.8363 GBP | ||||
| ORD | Purchase | 35,272 | 20.9365 GBP | ||||
| ORD | Purchase | 54,863 | 20.8756 GBP | ||||
| ORD | Purchase | 94,467 | 20.9178 GBP | ||||
| ORD | Purchase | 119,006 | 20.8967 GBP | ||||
| ORD | Purchase | 119,608 | 20.7030 GBP | ||||
| ORD | Purchase | 150,000 | 21.1917 GBP | ||||
| ORD | Purchase | 150,000 | 21.2318 GBP | ||||
| ORD | Purchase | 203,000 | 21.1305 GBP | ||||
| ORD | Purchase | 223,150 | 21.1121 GBP | ||||
| ORD | Purchase | 310,000 | 20.7311 GBP | ||||
| ORD | Purchase | 421,185 | 20.9571 GBP | ||||
| ORD | Purchase | 482,000 | 20.7310 GBP | ||||
| ORD | Sale | 11 | 21.1050 GBP | ||||
| ORD | Sale | 748 | 20.9337 GBP | ||||
| ORD | Sale | 2,902 | 21.1519 GBP | ||||
| ORD | Sale | 3,048 | 21.1500 GBP | ||||
| ORD | Sale | 4,299 | 20.3374 GBP | ||||
| ORD | Sale | 4,531 | 20.7398 GBP | ||||
| ORD | Sale | 6,207 | 20.8234 GBP | ||||
| ORD | Sale | 8,546 | 21.1118 GBP | ||||
| ORD | Sale | 9,331 | 21.1240 GBP | ||||
| ORD | Sale | 9,689 | 21.1013 GBP | ||||
| ORD | Sale | 14,486 | 21.0692 GBP | ||||
| ORD | Sale | 18,035 | 20.2749 GBP | ||||
| ORD | Sale | 18,298 | 20.8915 GBP | ||||
| ORD | Sale | 19,331 | 21.0216 GBP | ||||
| ORD | Sale | 20,038 | 21.1738 GBP | ||||
| ORD | Sale | 22,183 | 20.8613 GBP | ||||
| ORD | Sale | 24,000 | 20.9093 GBP | ||||
| ORD | Sale | 30,685 | 21.1108 GBP | ||||
| ORD | Sale | 34,007 | 21.1478 GBP | ||||
| ORD | Sale | 34,531 | 20.9182 GBP | ||||
| ORD | Sale | 76,789 | 21.1907 GBP | ||||
| ORD | Sale | 87,234 | 20.9114 GBP | ||||
| ORD | Sale | 96,254 | 20.9404 GBP | ||||
| ORD | Sale | 582,763 | 20.7000 GBP |
(b) Derivatives transactions (other than options)
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 178 | 21.2391 GBP | |||||
| ORD | SWAP | Long | 2,200 | 21.0793 GBP | |||||
| ORD | SWAP | Long | 5,310 | 21.0817 GBP | |||||
| ORD | CFD | Long | 9,103 | 20.5420 GBP | |||||
| ORD | SWAP | Long | 9,886 | 21.1021 GBP | |||||
| ORD | SWAP | Long | 11,821 | 20.9839 GBP | |||||
| ORD | SWAP | Long | 14,486 | 21.0692 GBP | |||||
| ORD | SWAP | Long | 131,000 | 21.1917 GBP | |||||
| ORD | CFD | Long | 525,000 | 20.7000 GBP | |||||
| ORD | SWAP | Short | 248 | 20.2906 GBP | |||||
| ORD | SWAP | Short | 356 | 21.0808 GBP | |||||
| ORD | CFD | Short | 1,226 | 20.8928 GBP | |||||
| ORD | SWAP | Short | 8,936 | 20.9967 GBP | |||||
| ORD | SWAP | Short | 18,316 | 21.0130 GBP | |||||
| ORD | CFD | Short | 22,236 | 20.3304 GBP | |||||
| ORD | SWAP | Short | 62,000 | 20.7310 GBP | |||||
| ORD | SWAP | Short | 77,000 | 20.9178 GBP | |||||
| ORD | SWAP | Short | 84,426 | 20.7002 GBP | |||||
| ORD | SWAP | Short | 150,000 | 21.2318 GBP | |||||
| ORD | SWAP | Short | 203,000 | 21.1305 GBP | |||||
| ORD | SWAP | Short | 412,000 | 21.1917 GBP | |||||
| ORD | SWAP | Short | 421,185 | 20.9571 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 |
(ii) Exercising
| Class of relevant security | Product description e.g. call option | 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) |
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 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
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: 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: | 11 Jun 2013 | |
| Contact name: | Rajesh Muthanna | |
| Telephone number: | 020 3555 4634 |
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.
Copyright Business Wire 2013