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 (“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:		2 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	Â	Â	ORD
				Interests			Â	Short Positions
Â		Â		Number	Â	(%)		Number	Â	(%)
(1)		Relevant securities owned
		and/or controlled:		6,487,205		0.22%		7,201,046		0.24%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		5,170,217		0.18%		4,551,155		0.15%
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
											Â
		TOTAL:		12,841,561		0.44%		11,752,201		0.40%

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		2		5.0300 GBP
ORD		Purchase		3		4.9970 GBP
ORD		Purchase		200		4.9979 GBP
ORD		Purchase		442		4.9695 GBP
ORD		Purchase		545		5.0610 GBP
ORD		Purchase		699		4.9985 GBP
ORD		Purchase		792		5.1500 GBP
ORD		Purchase		796		5.0475 GBP
ADR		Purchase		800		15.6250 USD
ORD		Purchase		1,124		5.0125 GBP
ORD		Purchase		1,146		5.0425 GBP
ORD		Purchase		1,169		5.0950 GBP
ORD		Purchase		1,273		5.1450 GBP
ORD		Purchase		1,279		4.9984 GBP
ORD		Purchase		1,280		5.0925 GBP
ORD		Purchase		1,284		4.9989 GBP
ORD		Purchase		1,286		5.0825 GBP
ORD		Purchase		1,452		5.0175 GBP
ORD		Purchase		2,040		5.0525 GBP
ORD		Purchase		2,291		5.0050 GBP
ORD		Purchase		2,568		5.1025 GBP
ORD		Purchase		2,884		5.1250 GBP
ORD		Purchase		2,947		5.1130 GBP
ORD		Purchase		3,074		5.0150 GBP
ORD		Purchase		3,132		5.0720 GBP
ORD		Purchase		3,344		5.0075 GBP
ORD		Purchase		3,399		5.0325 GBP
ORD		Purchase		3,408		5.1175 GBP
ORD		Purchase		3,479		5.0225 GBP
ORD		Purchase		3,809		5.1125 GBP
ORD		Purchase		4,228		5.0025 GBP
ADR		Purchase		4,300		15.7832 USD
ORD		Purchase		4,369		5.0275 GBP
ORD		Purchase		5,075		5.0775 GBP
ORD		Purchase		5,420		5.0124 GBP
ORD		Purchase		5,577		5.0375 GBP
ORD		Purchase		5,709		5.1150 GBP
ORD		Purchase		6,040		5.0350 GBP
ORD		Purchase		6,055		5.1325 GBP
ORD		Purchase		6,143		5.0200 GBP
ORD		Purchase		6,160		5.1200 GBP
ORD		Purchase		6,507		5.0750 GBP
ORD		Purchase		7,035		5.1275 GBP
ORD		Purchase		7,793		5.1475 GBP
ORD		Purchase		8,020		5.1550 GBP
ORD		Purchase		8,183		4.9925 GBP
ORD		Purchase		8,256		5.0550 GBP
ORD		Purchase		8,634		5.1232 GBP
ORD		Purchase		8,942		5.1050 GBP
ORD		Purchase		9,070		5.0675 GBP
ORD		Purchase		9,324		5.1400 GBP
ORD		Purchase		9,994		5.0500 GBP
ORD		Purchase		10,992		5.0625 GBP
ORD		Purchase		11,367		5.1350 GBP
ORD		Purchase		11,690		5.0300 GBP
ORD		Purchase		11,729		5.1425 GBP
ORD		Purchase		12,008		5.0250 GBP
ORD		Purchase		14,824		5.1300 GBP
ORD		Purchase		16,567		5.0725 GBP
ORD		Purchase		16,670		5.0650 GBP
ORD		Purchase		20,840		5.0400 GBP
ORD		Purchase		26,657		5.0357 GBP
ORD		Purchase		27,514		5.0820 GBP
ORD		Purchase		32,402		5.0600 GBP
ORD		Purchase		43,875		5.0830 GBP
ORD		Purchase		53,525		5.1525 GBP
ORD		Purchase		55,940		5.0407 GBP
ORD		Purchase		64,401		5.0607 GBP
ORD		Purchase		69,376		5.0833 GBP
ORD		Purchase		79,412		5.0700 GBP
ORD		Purchase		89,494		5.0100 GBP
ORD		Purchase		112,967		5.0451 GBP
ORD		Purchase		130,155		5.0450 GBP
ORD		Purchase		143,378		5.0844 GBP
ORD		Purchase		155,189		5.0741 GBP
ORD		Purchase		164,131		5.0975 GBP
ORD		Purchase		173,511		5.0128 GBP
ORD		Purchase		231,124		5.0577 GBP
ORD		Purchase		236,661		5.0000 GBP
ORD		Purchase		268,701		5.1233 GBP
ORD		Purchase		303,544		5.0554 GBP
ORD		Purchase		986,472		5.0495 GBP
ORD		Purchase		1,031,614		5.0688 GBP
ORD		Sale		3		4.9970 GBP
ORD		Sale		88		5.0756 GBP
ORD		Sale		149		5.0709 GBP
ORD		Sale		200		4.9979 GBP
ORD		Sale		442		4.9695 GBP
ORD		Sale		545		5.0610 GBP
ORD		Sale		699		4.9985 GBP
ORD		Sale		792		5.1500 GBP
ORD		Sale		796		5.0475 GBP
ADR		Sale		800		15.6250 USD
ORD		Sale		1,124		5.0125 GBP
ORD		Sale		1,146		5.0425 GBP
ORD		Sale		1,169		5.0950 GBP
ORD		Sale		1,273		5.0975 GBP
ORD		Sale		1,273		5.1450 GBP
ORD		Sale		1,279		4.9984 GBP
ORD		Sale		1,280		5.0925 GBP
ORD		Sale		1,284		4.9989 GBP
ORD		Sale		1,286		5.0825 GBP
ORD		Sale		1,420		5.0456 GBP
ORD		Sale		1,452		5.0175 GBP
ORD		Sale		2,040		5.0525 GBP
ORD		Sale		2,070		5.0675 GBP
ORD		Sale		2,291		5.0050 GBP
ORD		Sale		2,568		5.1025 GBP
ORD		Sale		2,884		5.1250 GBP
ORD		Sale		2,947		5.1130 GBP
ORD		Sale		3,132		5.0720 GBP
ORD		Sale		3,344		5.0075 GBP
ORD		Sale		3,408		5.1175 GBP
ORD		Sale		3,809		5.1125 GBP
ORD		Sale		3,879		5.0225 GBP
ORD		Sale		4,228		5.0025 GBP
ADR		Sale		4,300		15.7832 USD
ORD		Sale		4,369		5.0275 GBP
ORD		Sale		4,691		5.0200 GBP
ORD		Sale		4,721		5.0100 GBP
ORD		Sale		5,075		5.0775 GBP
ORD		Sale		5,577		5.0375 GBP
ORD		Sale		5,709		5.1150 GBP
ORD		Sale		6,040		5.0350 GBP
ORD		Sale		6,055		5.1325 GBP
ORD		Sale		6,160		5.1200 GBP
ORD		Sale		6,507		5.0750 GBP
ORD		Sale		7,035		5.1275 GBP
ORD		Sale		7,793		5.1475 GBP
ORD		Sale		8,020		5.1550 GBP
ORD		Sale		8,256		5.0550 GBP
ORD		Sale		8,942		5.1050 GBP
ORD		Sale		9,324		5.1400 GBP
ORD		Sale		9,994		5.0500 GBP
ORD		Sale		10,992		5.0625 GBP
ORD		Sale		11,367		5.1350 GBP
ORD		Sale		11,690		5.0300 GBP
ORD		Sale		11,729		5.1425 GBP
ORD		Sale		13,647		5.0450 GBP
ORD		Sale		16,623		5.0250 GBP
ORD		Sale		16,670		5.0650 GBP
ORD		Sale		16,797		5.0725 GBP
ORD		Sale		20,840		5.0400 GBP
ORD		Sale		23,789		5.0396 GBP
ORD		Sale		25,688		5.1300 GBP
ORD		Sale		29,500		5.0700 GBP
ORD		Sale		30,116		5.0817 GBP
ORD		Sale		32,402		5.0600 GBP
ORD		Sale		36,120		5.0936 GBP
ORD		Sale		38,933		5.0793 GBP
ORD		Sale		58,012		5.0783 GBP
ORD		Sale		58,853		5.0325 GBP
ORD		Sale		73,024		5.0639 GBP
ORD		Sale		81,479		5.0647 GBP
ORD		Sale		86,134		5.0190 GBP
ORD		Sale		106,410		5.0707 GBP
ORD		Sale		119,241		5.0150 GBP
ORD		Sale		126,591		5.0846 GBP
ORD		Sale		145,589		5.0789 GBP
ORD		Sale		156,805		5.0687 GBP
ORD		Sale		175,226		5.0690 GBP
ORD		Sale		177,342		5.0000 GBP
ORD		Sale		191,721		5.0429 GBP
ORD		Sale		325,124		5.0524 GBP
ORD		Sale		341,906		5.0659 GBP
ORD		Sale		350,000		5.1051 GBP
ORD		Sale		368,793		5.0746 GBP
ORD		Sale		410,351		5.0628 GBP
ORD		Sale		426,356		5.0250 GBP
ORD		Sale		555,576		5.0721 GBP

(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		200		5.0346 GBP
ORD		CFD		Long		8,725		5.0417 GBP
ORD		CFD		Long		6,928		5.1193 GBP
ORD		SWAP		Long		15,552		5.1210 GBP
ORD		SWAP		Long		42,530		5.1085 GBP
ORD		SWAP		Long		54,908		5.0082 GBP
ORD		SWAP		Long		67,468		5.1195 GBP
ORD		CFD		Long		74,844		5.0588 GBP
ORD		SWAP		Long		100,743		5.0493 GBP
ORD		CFD		Short		1,483		5.0613 GBP
ORD		CFD		Short		8,600		5.0317 GBP
ORD		CFD		Short		15,000		5.0205 GBP
ORD		SWAP		Short		30,100		5.0065 GBP
ORD		CFD		Short		35,177		5.0752 GBP
ORD		SWAP		Short		45,498		5.0177 GBP
ORD		CFD		Short		51,256		5.0440 GBP
ORD		SWAP		Short		53,525		5.1525 GBP
ORD		CFD		Short		75,937		5.0105 GBP
ORD		SWAP		Short		84,773		5.0100 GBP
ORD		SWAP		Short		115,384		5.0597 GBP
ORD		SWAP		Short		206,729		5.0312 GBP
ORD		SWAP		Short		267,644		5.0339 GBP
ORD		CFD		Short		268,701		5.1232 GBP
ORD		SWAP		Short		327,409		5.1040 GBP
ORD		CFD		Short		168,021		5.0276 GBP
ORD		CFD		Short		497,963		5.0449 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:		3 Dec 2014
Contact name:		Rajesh Muthanna
Telephone number:		020 3555 4634

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.