Form 8.5 (EPT/NON-RI) - AVIVA PLC - AMENDMENT

Form 8.5 (EPT/NON-RI) - AVIVA PLC - AMENDMENT

BARCLAYS PLC

FORM 8.5 (EPT/NON-RI) AMENDMENT to 2(1) Long and 3(a) Purchase and Sales

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)	Â	Name of exempt principal trader:	Â	BARCLAYS CAPITAL SECURITIES LTD
(b)		Name of offeror/offeree in relation to whose		AVIVA PLC
Â		relevant securities this form relates:		Â
(c)		Name of the party to the offer with which exempt		FRIENDS LIFE GROUP LIMITED
Â		principal trader is connected		Â
(d)		Date position held/dealing undertaken:		5 December 2014
(e)		Has the EPT previously disclosed, or is it		YES:
		today disclosing, under the Code in respect		FRIENDS LIFE GROUP LIMITED
Â		of any other party to this offer?		Â

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:			Â	ORD
	Â			Interests			Â	Short Positions
Â		Â		Number	Â	(%)		Number	Â	(%)
(1)		Relevant securities owned
		and/or controlled:		13,344,663		0.45%		6,151,349		0.21%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,068,280		0.17%		10,972,263		0.37%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		1,184,139		0.04%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)
		TOTAL:		19,597,082		0.67%		17,123,612		0.58%

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:	Â
Details, including nature of the rights concerned and relevant percentages:	Â

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	Â	Purchase/sale	Â	Number of	Â	Price per unit
security		Â		securities		Â
ORD		Purchase		379		5.0552 GBP
ORD		Purchase		682		5.0635 GBP
ORD		Purchase		730		5.0575 GBP
ORD		Purchase		730		5.0625 GBP
ORD		Purchase		793		5.0573 GBP
ORD		Purchase		1,244		5.0400 GBP
ORD		Purchase		1,287		5.0602 GBP
ORD		Purchase		3,874		5.0588 GBP
ORD		Purchase		4,857		5.0450 GBP
ORD		Purchase		8,397		5.0605 GBP
ORD		Purchase		9,224		5.0556 GBP
ORD		Purchase		11,064		5.0531 GBP
ORD		Purchase		12,947		5.0521 GBP
ORD		Purchase		19,634		5.0532 GBP
ORD		Purchase		20,702		5.0572 GBP
ORD		Purchase		23,117		5.0558 GBP
ORD		Purchase		23,608		5.0500 GBP
ORD		Purchase		24,803		5.0475 GBP
ORD		Purchase		31,360		5.0566 GBP
ORD		Purchase		40,302		5.0580 GBP
ORD		Purchase		45,200		5.0597 GBP
ORD		Purchase		47,271		5.0550 GBP
ORD		Purchase		50,577		5.0600 GBP
ORD		Purchase		51,888		5.0526 GBP
ORD		Purchase		65,265		5.0545 GBP
ORD		Purchase		166,923		5.0549 GBP
ORD		Purchase		676,172		5.0564 GBP
ORD		Purchase		9,984		5.0650 GBP
ORD		Purchase		20,693		5.0480 GBP
ORD		Sale		664		5.0456 GBP
ORD		Sale		730		5.0575 GBP
ORD		Sale		730		5.0625 GBP
ORD		Sale		803		5.0475 GBP
ORD		Sale		1,244		5.0400 GBP
ORD		Sale		4,857		5.0450 GBP
ORD		Sale		5,311		5.0504 GBP
ORD		Sale		7,204		5.0563 GBP
ORD		Sale		7,698		5.0516 GBP
ORD		Sale		8,743		5.0584 GBP
ORD		Sale		12,296		5.0547 GBP
ORD		Sale		14,173		5.0501 GBP
ORD		Sale		23,808		5.0500 GBP
ORD		Sale		24,913		5.0538 GBP
ORD		Sale		25,758		5.0552 GBP
ORD		Sale		30,071		5.0562 GBP
ORD		Sale		31,009		5.0600 GBP
ORD		Sale		38,191		5.0576 GBP
ORD		Sale		43,424		5.0550 GBP
ORD		Sale		49,643		5.0543 GBP
ORD		Sale		58,900		5.0594 GBP
ORD		Sale		148,000		5.0497 GBP
ORD		Sale		157,188		5.0542 GBP
ADR		Purchase		2,800		15.7578 USD
ADR		Purchase		5,100		15.7246 USD
ADR		Sale		2,800		15.7578 USD
ADR		Sale		5,100		15.7246 USD

(b) Derivatives transactions (other than options)

Class of	Â	Product	Â	Nature of dealing	Â	Number of	Â	Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
ORD		CFD		Long		800		5.0595 GBP
ORD		SWAP		Long		4,100		5.0408 GBP
ORD		CFD		Long		7,204		5.0563 GBP
ORD		SWAP		Long		7,920		5.0409 GBP
ORD		SWAP		Long		17,048		5.0521 GBP
ORD		CFD		Long		18,639		5.0540 GBP
ORD		CFD		Long		38,191		5.0576 GBP
ORD		SWAP		Long		136,029		5.0554 GBP
ORD		CFD		Long		148,000		5.0497 GBP
ORD		CFD		Short		379		5.0552 GBP
ORD		CFD		Short		682		5.0635 GBP
ORD		SWAP		Short		1,287		5.0602 GBP
ORD		SWAP		Short		3,429		5.0333 GBP
ORD		SWAP		Short		3,874		5.0588 GBP
ORD		CFD		Short		4,244		5.0548 GBP
ORD		CFD		Short		4,551		5.0530 GBP
ORD		CFD		Short		4,673		5.0580 GBP
ORD		CFD		Short		6,209		5.0586 GBP
ORD		SWAP		Short		8,397		5.0605 GBP
ORD		SWAP		Short		14,412		5.0568 GBP
ORD		CFD		Short		14,758		5.0573 GBP
ORD		SWAP		Short		14,758		5.0573 GBP
ORD		SWAP		Short		18,051		5.0534 GBP
ORD		CFD		Short		20,128		5.0581 GBP
ORD		SWAP		Short		78,965		5.0539 GBP
ORD		SWAP		Short		80,369		5.0542 GBP
ORD		CFD		Short		115,766		5.0563 GBP
ORD		CFD		Short		676,172		5.0564 GBP

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security

Â

Product description e.g. call option

Â

Writing, purchasing, selling, varying etc.

Â

Number of securities to which option relates

Â

Exercise price per unit

Â

Type e.g. American, European etc.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Â

Product description e.g. call option

Â

Number of securities

Â

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

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?	Â	YES
Date of disclosure:		15 Dec 2014
Contact name:		Jay Supaya
Telephone number:		0207 773 0635

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 [e-mail]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

143221.01

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	Â	BARCLAYS CAPITAL SECURITIES LTD
are being disclosed:		Â
Name of offeror/offeree in relation to whose		AVIVA PLC
relevant securities this from relates:		Â

2. OPTIONS AND DERIVATIVES

Class

Â

Product

Â

Writing,

Â

Number

Â

Exercise

Â

Type

Â

Expiry

of

description

purchasing,

of

price

date

relevant

selling,

securities

per unit

security

varying etc

to which

option

Â

Â

Â

relates

Â

Â

Â

ORD

Call Options

Purchased

804,139

5.6110

European

11 Dec 2014

ORD

Put Options

Written

380,000

280.0000

American

19 Dec 2014

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:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences (“CFDs”) or spread bets.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.