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) Name of exempt principal trader: | Â |
BARCLAYS CAPITAL SECURITIES LTD |
|
(b) Name of offeror/offeree in relation to whose relevant securities
this form relates:
Use a separate form for each offeror/offeree |
 |
AVIVA PLC |
| (c) Name of the party to the offer with which exempt principal trader is connected: | Â |
FRIENDS LIFE GROUP LIMITED |
| (d) Date position held/dealing undertaken: | Â |
17 DEC 2014 |
| (e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | Â |
YES: FRIENDS LIFE GROUP LIMITED |
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 | Â | Â | ORD | Â | Â | Â | Â | Â | Â | |
| Interests | Â | Short Positions | |||||||||
| Â | Â | Number | (%) | Number | (%) | ||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 10,238,746 | 0.35% | 7,630,362 | 0.26% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 4,743,172 | 0.16% | 5,906,972 | 0.20% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 380,000 | 0.01% | 0 | 0.00% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (4) | |||||||||||
| TOTAL: | 15,361,918 | 0.52% | 13,537,334 | 0.46% | |||||||
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 | Â | ||
| security | Â | securities | Â | ||||||
| ORD | Purchase | 200 | 4.6855 GBP | ||||||
| ORD | Purchase | 405 | 4.6900 GBP | ||||||
| ORD | Purchase | 828 | 4.6760 GBP | ||||||
| ORD | Purchase | 855 | 4.6450 GBP | ||||||
| ORD | Purchase | 855 | 4.6530 GBP | ||||||
| ORD | Purchase | 1,225 | 4.6880 GBP | ||||||
| ORD | Purchase | 1,436 | 4.6380 GBP | ||||||
| ORD | Purchase | 1,529 | 4.6545 GBP | ||||||
| ORD | Purchase | 1,800 | 4.6750 GBP | ||||||
| ORD | Purchase | 2,045 | 4.6800 GBP | ||||||
| ORD | Purchase | 2,103 | 4.6640 GBP | ||||||
| ORD | Purchase | 2,151 | 4.6470 GBP | ||||||
| ORD | Purchase | 2,787 | 4.6671 GBP | ||||||
| ORD | Purchase | 2,954 | 4.6700 GBP | ||||||
| ORD | Purchase | 3,843 | 4.6500 GBP | ||||||
| ORD | Purchase | 3,986 | 4.6626 GBP | ||||||
| ORD | Purchase | 4,183 | 4.6494 GBP | ||||||
| ORD | Purchase | 6,454 | 4.6642 GBP | ||||||
| ORD | Purchase | 8,013 | 4.6655 GBP | ||||||
| ORD | Purchase | 11,023 | 4.6703 GBP | ||||||
| ORD | Purchase | 13,449 | 4.6635 GBP | ||||||
| ORD | Purchase | 24,336 | 4.6710 GBP | ||||||
| ORD | Purchase | 33,027 | 4.6726 GBP | ||||||
| ORD | Purchase | 33,570 | 4.6720 GBP | ||||||
| ORD | Purchase | 40,083 | 4.6810 GBP | ||||||
| ORD | Purchase | 72,227 | 4.6790 GBP | ||||||
| ORD | Purchase | 72,806 | 4.6770 GBP | ||||||
| ORD | Purchase | 116,542 | 4.6585 GBP | ||||||
| ORD | Purchase | 84,885 | 4.6680 GBP | ||||||
| ORD | Sale | 2,811 | 4.6495 GBP | ||||||
| ORD | Sale | 25 | 4.6804 GBP | ||||||
| ORD | Sale | 83 | 4.6810 GBP | ||||||
| ORD | Sale | 405 | 4.6900 GBP | ||||||
| ORD | Sale | 828 | 4.6760 GBP | ||||||
| ORD | Sale | 855 | 4.6450 GBP | ||||||
| ORD | Sale | 855 | 4.6530 GBP | ||||||
| ORD | Sale | 1,225 | 4.6880 GBP | ||||||
| ORD | Sale | 1,436 | 4.6380 GBP | ||||||
| ORD | Sale | 1,800 | 4.6750 GBP | ||||||
| ORD | Sale | 2,045 | 4.6800 GBP | ||||||
| ORD | Sale | 2,103 | 4.6640 GBP | ||||||
| ORD | Sale | 2,103 | 4.6805 GBP | ||||||
| ORD | Sale | 2,236 | 4.6820 GBP | ||||||
| ORD | Sale | 2,800 | 4.6429 GBP | ||||||
| ORD | Sale | 2,954 | 4.6700 GBP | ||||||
| ORD | Sale | 3,146 | 4.6470 GBP | ||||||
| ORD | Sale | 3,843 | 4.6500 GBP | ||||||
| ORD | Sale | 3,864 | 4.6770 GBP | ||||||
| ORD | Sale | 4,715 | 4.6606 GBP | ||||||
| ORD | Sale | 6,092 | 4.6733 GBP | ||||||
| ORD | Sale | 7,312 | 4.6669 GBP | ||||||
| ORD | Sale | 10,000 | 4.6549 GBP | ||||||
| ORD | Sale | 11,917 | 4.6675 GBP | ||||||
| ORD | Sale | 15,017 | 4.6765 GBP | ||||||
| ORD | Sale | 21,728 | 4.6824 GBP | ||||||
| ORD | Sale | 29,836 | 4.6736 GBP | ||||||
| ORD | Sale | 53,273 | 4.6790 GBP | ||||||
| ORD | Sale | 91,530 | 4.6759 GBP | ||||||
| ORD | Sale | 142,260 | 4.6735 GBP | ||||||
| ADR | Purchase | 284 | 14.6100 USD | ||||||
| ADR | Purchase | 6,080 | 14.7443 USD | ||||||
| ADR | Sale | 284 | 14.6100 USD | ||||||
| ADR | Sale | 6,080 | 14.7443 USD | ||||||
| Â | |||||||||
| (b) | Derivatives transactions (other than options) | Â | Â | Â | |||||
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | Â | Â | securities | Â | |||||
| ORD | CFD | Long | 6,276 | 4.6790 GBP | |||||
| ORD | SWAP | Long | 31,220 | 4.6746 GBP | |||||
| ORD | CFD | Long | 45,348 | 4.6797 GBP | |||||
| ORD | SWAP | Long | 61,851 | 4.6727 GBP | |||||
| ORD | CFD | Short | 8,013 | 4.6654 GBP | |||||
| ORD | SWAP | Short | 24,379 | 4.6524 GBP | |||||
| ORD | SWAP | Short | 33,570 | 4.6720 GBP | |||||
| ORD | SWAP | Short | 57,821 | 4.6731 GBP | |||||
| ORD | CFD | Short | 68,942 | 4.6770 GBP | |||||
| ORD | CFD | Short | 72,127 | 4.6544 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. |
 | 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 |
YES |
| Date of disclosure: |
18 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.
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 “Codeâ€)
1. KEY INFORMATION
| Identity of person whose open positions are being disclosed: | Â |
BARCLAYS CAPITAL SECURITIES LTD |
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: |
AVIVA PLC |
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 | 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 (“CFDsâ€) 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 +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
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