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: | 11 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: | 9,001,523 | 0.31% | 7,893,159 | 0.27% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 4,985,160 | 0.17% | 4,750,803 | 0.16% | |||||||
| 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: | 14,366,683 | 0.49% | 12,643,962 | 0.43% | |||||||
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 | 406 | 4.9010 GBP | ||||
| ORD | Purchase | 468 | 4.8890 GBP | ||||
| ORD | Purchase | 567 | 4.8745 GBP | ||||
| ORD | Purchase | 624 | 4.8870 GBP | ||||
| ORD | Purchase | 724 | 4.9210 GBP | ||||
| ORD | Purchase | 745 | 4.8910 GBP | ||||
| ORD | Purchase | 748 | 4.8744 GBP | ||||
| ORD | Purchase | 756 | 4.8570 GBP | ||||
| ORD | Purchase | 826 | 4.8770 GBP | ||||
| ORD | Purchase | 850 | 4.8810 GBP | ||||
| ORD | Purchase | 934 | 4.8750 GBP | ||||
| ORD | Purchase | 963 | 4.8860 GBP | ||||
| ORD | Purchase | 1,207 | 4.9190 GBP | ||||
| ORD | Purchase | 1,212 | 4.8900 GBP | ||||
| ORD | Purchase | 1,214 | 4.8780 GBP | ||||
| ORD | Purchase | 1,376 | 4.8800 GBP | ||||
| ORD | Purchase | 1,465 | 4.8830 GBP | ||||
| ORD | Purchase | 2,147 | 4.9060 GBP | ||||
| ORD | Purchase | 2,180 | 4.8840 GBP | ||||
| ORD | Purchase | 2,331 | 4.9080 GBP | ||||
| ORD | Purchase | 2,826 | 4.8960 GBP | ||||
| ORD | Purchase | 2,922 | 4.8730 GBP | ||||
| ORD | Purchase | 3,023 | 4.9030 GBP | ||||
| ORD | Purchase | 3,404 | 4.8880 GBP | ||||
| ORD | Purchase | 3,588 | 4.8767 GBP | ||||
| ORD | Purchase | 3,677 | 4.8852 GBP | ||||
| ORD | Purchase | 4,700 | 4.8858 GBP | ||||
| ORD | Purchase | 5,074 | 4.8760 GBP | ||||
| ORD | Purchase | 5,331 | 4.8932 GBP | ||||
| ORD | Purchase | 5,593 | 4.8877 GBP | ||||
| ORD | Purchase | 8,415 | 4.8777 GBP | ||||
| ORD | Purchase | 14,422 | 4.8925 GBP | ||||
| ORD | Purchase | 15,040 | 4.8773 GBP | ||||
| ORD | Purchase | 17,979 | 4.8783 GBP | ||||
| ORD | Purchase | 28,818 | 4.8806 GBP | ||||
| ORD | Purchase | 37,729 | 4.8812 GBP | ||||
| ORD | Purchase | 44,429 | 4.8835 GBP | ||||
| ORD | Purchase | 60,960 | 4.8849 GBP | ||||
| ORD | Sale | 1,544 | 4.9233 GBP | ||||
| ORD | Purchase | 1,405 | 4.9030 GBP | ||||
| ORD | Purchase | 113,569 | 4.8817 GBP | ||||
| ORD | Purchase | 118,286 | 4.8903 GBP | ||||
| ORD | Sale | 30 | 4.8763 GBP | ||||
| ORD | Sale | 406 | 4.9010 GBP | ||||
| ORD | Sale | 468 | 4.8890 GBP | ||||
| ORD | Sale | 624 | 4.8870 GBP | ||||
| ORD | Sale | 724 | 4.9210 GBP | ||||
| ORD | Sale | 745 | 4.8910 GBP | ||||
| ORD | Sale | 748 | 4.8744 GBP | ||||
| ORD | Sale | 756 | 4.8570 GBP | ||||
| ORD | Sale | 850 | 4.8810 GBP | ||||
| ORD | Sale | 934 | 4.8750 GBP | ||||
| ORD | Sale | 963 | 4.8860 GBP | ||||
| ORD | Sale | 1,207 | 4.9190 GBP | ||||
| ORD | Sale | 1,208 | 4.8904 GBP | ||||
| ORD | Sale | 1,212 | 4.8900 GBP | ||||
| ORD | Sale | 1,214 | 4.8780 GBP | ||||
| ORD | Sale | 1,376 | 4.8800 GBP | ||||
| ORD | Sale | 1,382 | 4.8841 GBP | ||||
| ORD | Sale | 1,465 | 4.8830 GBP | ||||
| ORD | Sale | 2,180 | 4.8840 GBP | ||||
| ORD | Sale | 2,214 | 4.9030 GBP | ||||
| ORD | Sale | 2,331 | 4.9080 GBP | ||||
| ORD | Sale | 2,341 | 4.8770 GBP | ||||
| ORD | Sale | 2,826 | 4.8960 GBP | ||||
| ORD | Sale | 2,922 | 4.8730 GBP | ||||
| ORD | Sale | 3,404 | 4.8880 GBP | ||||
| ORD | Sale | 3,692 | 4.9060 GBP | ||||
| ORD | Sale | 4,893 | 4.8765 GBP | ||||
| ORD | Sale | 5,074 | 4.8760 GBP | ||||
| ORD | Sale | 5,329 | 4.8813 GBP | ||||
| ORD | Sale | 8,620 | 4.8822 GBP | ||||
| ORD | Sale | 8,832 | 4.8823 GBP | ||||
| ORD | Sale | 10,494 | 4.8921 GBP | ||||
| ORD | Sale | 11,822 | 4.8916 GBP | ||||
| ORD | Sale | 30,400 | 4.8836 GBP | ||||
| ORD | Sale | 45,714 | 4.8752 GBP | ||||
| ORD | Sale | 60,743 | 4.8940 GBP | ||||
| ORD | Sale | 78,686 | 4.8954 GBP | ||||
| ORD | Sale | 144,404 | 4.8909 GBP | ||||
| ORD | Sale | 169,848 | 4.8923 GBP | ||||
| ORD | Sale | 185,000 | 4.8837 GBP | ||||
| ORD | Sale | 185,789 | 4.8818 GBP | ||||
| ADR | Purchase | 2,200 | 15.3295 USD | ||||
| ADR | Purchase | 8,433 | 15.2522 USD | ||||
| ADR | Sale | 2,200 | 15.3295 USD | ||||
| ADR | Sale | 8,433 | 15.2522 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 | 1,310 | 4.9197 GBP | |||||
| ORD | CFD | Long | 1,382 | 4.8841 GBP | |||||
| ORD | CFD | Long | 5,550 | 4.8877 GBP | |||||
| ORD | SWAP | Long | 42,672 | 4.8933 GBP | |||||
| ORD | SWAP | Long | 42,721 | 4.8995 GBP | |||||
| ORD | SWAP | Long | 45,714 | 4.8752 GBP | |||||
| ORD | CFD | Long | 24,130 | 4.8876 GBP | |||||
| ORD | SWAP | Long | 138,203 | 4.8932 GBP | |||||
| ORD | CFD | Long | 185,000 | 4.8837 GBP | |||||
| ORD | SWAP | Long | 194,395 | 4.8911 GBP | |||||
| ORD | CFD | Short | 567 | 4.8745 GBP | |||||
| ORD | CFD | Short | 4,000 | 4.8844 GBP | |||||
| ORD | SWAP | Short | 4,880 | 4.8746 GBP | |||||
| ORD | SWAP | Short | 19,200 | 4.8764 GBP | |||||
| ORD | SWAP | Short | 19,361 | 4.8770 GBP | |||||
| ORD | SWAP | Short | 23,869 | 4.8736 GBP | |||||
| ORD | SWAP | Short | 42,665 | 4.8921 GBP | |||||
| ORD | SWAP | Short | 116,966 | 4.8909 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: | 12 Dec 2014 | ||
| Contact name: | Sushil Vashisht | ||
| Telephone number: | 020 7773 0744 |
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 | 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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