Form 8.5 (EPT/NON-RI) - AVIVA PLC
Form 8.5 (EPT/NON-RI) - AVIVA PLC
BARCLAYS PLC
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RIâ€) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the “Codeâ€)
1. KEY INFORMATION
| (a) | Â | Name of exempt principal trader: | Â | BARCLAYS CAPITAL INC | |
| (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: | 12 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 | ADR | |||||||||
| Â | Interests | Â | Short Positions | ||||||||
| Â | Â | Number | Â | (%) | Number | Â | (%) | ||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 382 | 0.00% | 0 | 0.00% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 0 | 0.00% | 0 | 0.00% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (4) | |||||||||||
| TOTAL: | 382 | 0.00% | 0 | 0.00% | |||||||
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 | ||||
| ADR | Purchase | 50 | 14.9899 USD | ||||
| ADR | Purchase | 100 | 14.7100 USD | ||||
| ADR | Purchase | 100 | 14.9900 USD | ||||
| ADR | Purchase | 212 | 14.8900 USD | ||||
| ADR | Purchase | 267 | 14.6662 USD | ||||
| ADR | Purchase | 300 | 14.6693 USD | ||||
| ADR | Purchase | 300 | 14.7867 USD | ||||
| ADR | Purchase | 430 | 14.9411 USD | ||||
| ADR | Purchase | 500 | 14.6220 USD | ||||
| ADR | Purchase | 500 | 14.9960 USD | ||||
| ADR | Purchase | 501 | 14.8214 USD | ||||
| ADR | Purchase | 600 | 14.6399 USD | ||||
| ADR | Purchase | 912 | 14.6084 USD | ||||
| ADR | Purchase | 991 | 14.6282 USD | ||||
| ADR | Purchase | 1,101 | 14.6427 USD | ||||
| ADR | Purchase | 1,300 | 14.9182 USD | ||||
| ADR | Purchase | 2,300 | 14.8809 USD | ||||
| ADR | Purchase | 2,800 | 14.9226 USD | ||||
| ADR | Purchase | 3,240 | 14.8403 USD | ||||
| ADR | Sale | 22 | 14.5100 USD | ||||
| ADR | Sale | 40 | 14.4903 USD | ||||
| ADR | Sale | 100 | 14.6380 USD | ||||
| ADR | Sale | 100 | 14.7200 USD | ||||
| ADR | Sale | 178 | 14.5000 USD | ||||
| ADR | Sale | 200 | 14.7550 USD | ||||
| ADR | Sale | 330 | 15.0081 USD | ||||
| ADR | Sale | 400 | 14.8767 USD | ||||
| ADR | Sale | 650 | 14.9946 USD | ||||
| ADR | Sale | 713 | 14.8418 USD | ||||
| ADR | Sale | 1,200 | 14.8316 USD | ||||
| ADR | Sale | 1,500 | 14.9106 USD | ||||
| ADR | Sale | 1,600 | 14.9085 USD | ||||
| ADR | Sale | 2,109 | 14.8497 USD | ||||
| ADR | Sale | 2,400 | 14.9303 USD | ||||
| ADR | Sale | 4,771 | 14.6350 USD |
(b) Derivatives transactions (other than options)
| Class of relevant security | Â |
Product description
e.g. CFD |
 |
Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a long/short position |
 | Number of reference securities |  | Price per unit |
(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. |
 | Expiry date |  | Option money paid/ received per unit |
(ii) Exercising
| Class of relevant security | Â |
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 | Â |
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? | Â | NO | |
| 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 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.
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