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: | 02 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: | 1,855,803 | 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% | |||
| 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 |
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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 |
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Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | ||||
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 | Product description | Nature of dealing | Number of | Price per | ||||
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 | 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: | 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: | | | | | | | ||
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