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 | SHAFTESBURY PLC | ||||||
(c) | Name of the party to the offer with which exempt | Capital & Counties Properties plc | ||||||
(d) | Date position held/dealing undertaken: | 01 Mar 2023 | ||||||
(e) | In addition to the company in 1(b) above, is the exempt principal | YES: | ||||||
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: | 1,774,857 | 0.46% | 382,248 | 0.10% | ||||
(2) Cash-settled derivatives: | 225,576 | 0.06% | 1,745,587 | 0.45% | ||||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 97,351 | 0.025% | 0 | 0.00% | ||||
| 2,097,784 | 0.55% | 2,127,835 | 0.55% | ||||
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(b) | Rights to subscribe for new securities (including directors and other executive options) | |||||||
Class of relevant security in relation to |
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Details, including nature of the rights |
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3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | |||||||
(a) | Purchase and sales |
| | | | | | |
Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | ||||
25p ordinary | Purchase | 118251 | 4.0796 GBP | 4.0170 GBP | ||||
25p ordinary | Sale | 120673 | 4.0910 GBP | 4.0116 GBP | ||||
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(b) | Cash-settled derivative transactions | |||||||
Class of | Product description | Nature of dealing | Number of | Price per | ||||
25p ordinary | SWAP | Closing Short | 110 | 4.0440 GBP | ||||
25p ordinary | SWAP | Closing Short | 615 | 4.0220 GBP | ||||
25p ordinary | SWAP | Closing Short | 3,022 | 4.0444 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 84 | 4.0199 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 227 | 4.0440 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 238 | 4.0080 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 255 | 4.0600 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 510 | 4.0562 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 2,342 | 4.0335 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 2,399 | 4.0409 GBP | ||||
25p ordinary | SWAP | Decreasing Short | 7,008 | 4.0556 GBP | ||||
25p ordinary | SWAP | Increasing Long | 174 | 4.0381 GBP | ||||
25p ordinary | CFD | Increasing Long | 6,099 | 4.0577 GBP | ||||
25p ordinary | SWAP | Increasing Long | 10,381 | 4.0542 GBP | ||||
25p ordinary | SWAP | Increasing Short | 6,192 | 4.0347 GBP | ||||
25p ordinary | SWAP | Increasing Short | 12,103 | 4.0357 GBP | ||||
25p ordinary | SWAP | Increasing Short | 12,742 | 4.0276 GBP | ||||
25p ordinary | SWAP | Opening Long | 3,088 | 4.0537 GBP | ||||
25p ordinary | SWAP | Opening Long | 5,256 | 4.0571 GBP | ||||
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(c) | Stock-settled derivative transactions (including options) | |||||||
(i) | Writing, selling, purchasing or varying | |||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option | |
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(ii) | Exercising |
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Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | ||||
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(d) | Other dealings (including subscribing for new securities) | |||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | |||||
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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, | ||||||||
NONE | ||||||||
(b) | Agreements, arrangements or understandings relating to options or derivatives | |||||||
Details of any agreement, arrangement or understanding, formal or informal, between | ||||||||
NONE | ||||||||
(c) | Attachments | |||||||
Is a Supplemental Form 8 (Open Positions) attached? | Yes | |||||||
Date of disclosure: | 02 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 | 97,351 | 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: | | | | | | | ||
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