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 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: | 9 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: | 8,901,448 | 0.30% | 6,057,817 | 0.21% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 4,979,819 | 0.17% | 6,450,329 | 0.22% | |||||||
| 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: | 15,065,406 | 0.51% | 12,508,146 | 0.42% | |||||||
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 | 271 | 4.9190 GBP | ||||
| ORD | Purchase | 312 | 4.9370 GBP | ||||
| ORD | Purchase | 451 | 4.9340 GBP | ||||
| ORD | Purchase | 599 | 4.9431 GBP | ||||
| ORD | Purchase | 625 | 4.9460 GBP | ||||
| ORD | Purchase | 728 | 4.9470 GBP | ||||
| ORD | Purchase | 728 | 4.9490 GBP | ||||
| ORD | Purchase | 728 | 5.0325 GBP | ||||
| ORD | Purchase | 729 | 4.9321 GBP | ||||
| ORD | Purchase | 732 | 4.9245 GBP | ||||
| ORD | Purchase | 733 | 4.9475 GBP | ||||
| ORD | Purchase | 745 | 4.9175 GBP | ||||
| ORD | Purchase | 750 | 4.9291 GBP | ||||
| ORD | Purchase | 754 | 4.9200 GBP | ||||
| ORD | Purchase | 819 | 4.9191 GBP | ||||
| ORD | Purchase | 826 | 4.9380 GBP | ||||
| ORD | Purchase | 861 | 4.9390 GBP | ||||
| ORD | Purchase | 925 | 4.9427 GBP | ||||
| ORD | Purchase | 930 | 4.9335 GBP | ||||
| ORD | Purchase | 1,119 | 4.9351 GBP | ||||
| ORD | Purchase | 1,130 | 4.9180 GBP | ||||
| ORD | Purchase | 1,174 | 4.9355 GBP | ||||
| ORD | Purchase | 1,232 | 4.9480 GBP | ||||
| ORD | Purchase | 1,332 | 4.9395 GBP | ||||
| ORD | Purchase | 1,456 | 5.0275 GBP | ||||
| ORD | Purchase | 1,520 | 4.9325 GBP | ||||
| ORD | Purchase | 1,633 | 4.9186 GBP | ||||
| ORD | Purchase | 1,646 | 4.9590 GBP | ||||
| ORD | Purchase | 1,741 | 4.9350 GBP | ||||
| ORD | Purchase | 1,763 | 4.9290 GBP | ||||
| ORD | Purchase | 1,848 | 4.9960 GBP | ||||
| ORD | Purchase | 1,869 | 4.9420 GBP | ||||
| ORD | Purchase | 1,869 | 4.9600 GBP | ||||
| ORD | Purchase | 2,045 | 4.9465 GBP | ||||
| ORD | Purchase | 2,328 | 5.0150 GBP | ||||
| ORD | Purchase | 2,356 | 4.9220 GBP | ||||
| ORD | Purchase | 2,371 | 4.9330 GBP | ||||
| ORD | Purchase | 2,424 | 4.9300 GBP | ||||
| ORD | Purchase | 2,508 | 4.9305 GBP | ||||
| ORD | Purchase | 2,632 | 5.0100 GBP | ||||
| ORD | Purchase | 2,698 | 4.9373 GBP | ||||
| ORD | Purchase | 2,836 | 4.9275 GBP | ||||
| ORD | Purchase | 3,364 | 5.0350 GBP | ||||
| ORD | Purchase | 3,755 | 5.0000 GBP | ||||
| ORD | Purchase | 4,100 | 4.9668 GBP | ||||
| ORD | Purchase | 4,800 | 5.0143 GBP | ||||
| ORD | Purchase | 4,965 | 5.0050 GBP | ||||
| ORD | Purchase | 5,058 | 4.9320 GBP | ||||
| ORD | Purchase | 6,414 | 4.9494 GBP | ||||
| ORD | Purchase | 6,456 | 4.9602 GBP | ||||
| ORD | Purchase | 7,013 | 4.9260 GBP | ||||
| ORD | Purchase | 7,622 | 4.9665 GBP | ||||
| ORD | Purchase | 8,900 | 4.9249 GBP | ||||
| ORD | Purchase | 9,025 | 4.9439 GBP | ||||
| ORD | Purchase | 9,244 | 5.0250 GBP | ||||
| ORD | Purchase | 9,502 | 4.9546 GBP | ||||
| ORD | Purchase | 9,688 | 4.9640 GBP | ||||
| ORD | Purchase | 12,357 | 4.9293 GBP | ||||
| ORD | Purchase | 13,339 | 5.0300 GBP | ||||
| ORD | Purchase | 13,803 | 5.0256 GBP | ||||
| ORD | Purchase | 22,296 | 5.0144 GBP | ||||
| ORD | Purchase | 26,839 | 4.9764 GBP | ||||
| ORD | Purchase | 27,181 | 4.9662 GBP | ||||
| ORD | Purchase | 33,690 | 4.9824 GBP | ||||
| ORD | Purchase | 44,628 | 5.0025 GBP | ||||
| ORD | Purchase | 45,975 | 4.9457 GBP | ||||
| ORD | Purchase | 55,250 | 4.9581 GBP | ||||
| ORD | Purchase | 80,170 | 4.9714 GBP | ||||
| ORD | Purchase | 99,916 | 4.9442 GBP | ||||
| ORD | Purchase | 104,992 | 4.9703 GBP | ||||
| ORD | Sale | 54 | 4.9413 GBP | ||||
| ORD | Sale | 271 | 4.9190 GBP | ||||
| ORD | Sale | 312 | 4.9370 GBP | ||||
| ORD | Sale | 451 | 4.9340 GBP | ||||
| ORD | Sale | 599 | 4.9431 GBP | ||||
| ORD | Sale | 728 | 4.9470 GBP | ||||
| ORD | Sale | 728 | 4.9490 GBP | ||||
| ORD | Sale | 728 | 5.0325 GBP | ||||
| ORD | Sale | 729 | 4.9321 GBP | ||||
| ORD | Sale | 732 | 4.9245 GBP | ||||
| ORD | Sale | 733 | 4.9475 GBP | ||||
| ORD | Sale | 745 | 4.9175 GBP | ||||
| ORD | Sale | 750 | 4.9291 GBP | ||||
| ORD | Sale | 750 | 4.9460 GBP | ||||
| ORD | Sale | 754 | 4.9200 GBP | ||||
| ORD | Sale | 819 | 4.9191 GBP | ||||
| ORD | Sale | 826 | 4.9380 GBP | ||||
| ORD | Sale | 861 | 4.9390 GBP | ||||
| ORD | Sale | 925 | 4.9427 GBP | ||||
| ORD | Sale | 930 | 4.9335 GBP | ||||
| ORD | Sale | 1,119 | 4.9351 GBP | ||||
| ORD | Sale | 1,130 | 4.9180 GBP | ||||
| ORD | Sale | 1,174 | 4.9355 GBP | ||||
| ORD | Sale | 1,232 | 4.9480 GBP | ||||
| ORD | Sale | 1,332 | 4.9395 GBP | ||||
| ORD | Sale | 1,400 | 5.0239 GBP | ||||
| ORD | Sale | 1,456 | 5.0275 GBP | ||||
| ORD | Sale | 1,520 | 4.9325 GBP | ||||
| ORD | Sale | 1,628 | 5.0025 GBP | ||||
| ORD | Sale | 1,633 | 4.9186 GBP | ||||
| ORD | Sale | 1,646 | 4.9590 GBP | ||||
| ORD | Sale | 1,741 | 4.9350 GBP | ||||
| ORD | Sale | 1,763 | 4.9290 GBP | ||||
| ORD | Sale | 1,848 | 4.9960 GBP | ||||
| ORD | Sale | 1,869 | 4.9420 GBP | ||||
| ORD | Sale | 1,869 | 4.9600 GBP | ||||
| ORD | Sale | 2,045 | 4.9465 GBP | ||||
| ORD | Sale | 2,328 | 5.0150 GBP | ||||
| ORD | Sale | 2,356 | 4.9220 GBP | ||||
| ORD | Sale | 2,371 | 4.9330 GBP | ||||
| ORD | Sale | 2,418 | 4.9665 GBP | ||||
| ORD | Sale | 2,424 | 4.9300 GBP | ||||
| ORD | Sale | 2,508 | 4.9305 GBP | ||||
| ORD | Sale | 2,632 | 5.0100 GBP | ||||
| ORD | Sale | 2,641 | 4.9412 GBP | ||||
| ORD | Sale | 2,718 | 4.9523 GBP | ||||
| ORD | Sale | 2,836 | 4.9275 GBP | ||||
| ORD | Sale | 3,254 | 4.9489 GBP | ||||
| ORD | Sale | 3,364 | 5.0350 GBP | ||||
| ORD | Sale | 3,755 | 5.0000 GBP | ||||
| ORD | Sale | 4,965 | 5.0050 GBP | ||||
| ORD | Sale | 5,058 | 4.9320 GBP | ||||
| ORD | Sale | 6,766 | 5.0055 GBP | ||||
| ORD | Sale | 7,225 | 4.9313 GBP | ||||
| ORD | Sale | 8,365 | 4.9499 GBP | ||||
| ORD | Sale | 9,244 | 5.0250 GBP | ||||
| ORD | Sale | 13,339 | 5.0300 GBP | ||||
| ORD | Sale | 13,683 | 4.9650 GBP | ||||
| ORD | Sale | 18,457 | 4.9571 GBP | ||||
| ORD | Sale | 19,056 | 5.0086 GBP | ||||
| ORD | Sale | 20,982 | 4.9507 GBP | ||||
| ORD | Sale | 32,923 | 4.9434 GBP | ||||
| ORD | Sale | 71,300 | 4.9391 GBP | ||||
| ORD | Sale | 94,051 | 4.9260 GBP | ||||
| ORD | Sale | 138,964 | 4.9356 GBP | ||||
| ORD | Sale | 186,015 | 4.9598 GBP | ||||
| ADR | Purchase | 785 | 15.5184 USD | ||||
| ADR | Purchase | 3,814 | 15.4117 USD | ||||
| ADR | Sale | 785 | 15.5184 USD | ||||
| ADR | Sale | 3,814 | 15.4117 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 | SWAP | Long | 600 | 5.0300 GBP | |||||
| ORD | SWAP | Long | 1,400 | 5.0239 GBP | |||||
| ORD | CFD | Long | 7,225 | 4.9313 GBP | |||||
| ORD | CFD | Long | 15,762 | 5.0233 GBP | |||||
| ORD | SWAP | Long | 24,615 | 4.9301 GBP | |||||
| ORD | SWAP | Long | 52,899 | 4.9557 GBP | |||||
| ORD | CFD | Long | 71,300 | 4.9391 GBP | |||||
| ORD | CFD | Long | 121,869 | 4.9568 GBP | |||||
| ORD | CFD | Long | 138,964 | 4.9356 GBP | |||||
| ORD | CFD | Short | 1,570 | 4.9436 GBP | |||||
| ORD | SWAP | Short | 1,899 | 5.0129 GBP | |||||
| ORD | CFD | Short | 2,698 | 4.9373 GBP | |||||
| ORD | CFD | Short | 3,225 | 4.9275 GBP | |||||
| ORD | CFD | Short | 3,231 | 4.9930 GBP | |||||
| ORD | CFD | Short | 4,100 | 4.9668 GBP | |||||
| ORD | SWAP | Short | 6,600 | 5.0145 GBP | |||||
| ORD | SWAP | Short | 7,700 | 5.0169 GBP | |||||
| ORD | SWAP | Short | 9,688 | 4.9640 GBP | |||||
| ORD | SWAP | Short | 12,357 | 4.9293 GBP | |||||
| ORD | CFD | Short | 13,139 | 4.9897 GBP | |||||
| ORD | CFD | Short | 14,247 | 4.9276 GBP | |||||
| ORD | CFD | Short | 27,181 | 4.9662 GBP | |||||
| ORD | SWAP | Short | 54,467 | 4.9795 GBP | |||||
| ORD | SWAP | Short | 73,263 | 4.9660 GBP | |||||
| ORD | CFD | Short | 278,920 | 4.9607 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: | 10 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 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.
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 “Codeâ€)
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 (“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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