Form 8.3 - Colfax Corporation
BARCLAYS PLC
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Codeâ€)
1. KEY INFORMATION
(a) Identity of the person whose positions/dealings are being disclosed: | Â | BARCLAYS PLC |
(b) Owner or controller of interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies is insufficient |
 |  |
(c) Name of offeror/offeree in relation to whose relevant securities
this form relates:
Use a separate form for each offeror/offeree |
 |
COLFAX CORPORATION |
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree: | Â | Â |
(e) Date position held/dealing undertaken: | Â |
7 November 2011 |
(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer? | Â |
YES: CHARTER INTERNATIONAL PLC Â |
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(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 | Short Positions | ||||||||||
 |  | Number | (%) | Number | (%) | ||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 47,571 | 0.11% | 464,969 | 1.07% | |||||||
 |  |  |  |  |  | ||||||
(2) | Derivatives (other than | ||||||||||
options): | 308,047 | 0.71% | 0 | 0.00% | |||||||
 |  |  |  |  |  | ||||||
(3) | Options and agreements to | ||||||||||
purchase/sell: | 133,333 | 0.31% | 133,333 | 0.31% | |||||||
 |  |  |  |  |  | ||||||
(4) | TOTAL: | ||||||||||
488,951 | 1.12% | 598,302 | 1.37% |
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(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
Class of relevant | Â | Purchase/sale | Â | Number of | Â | Price per unit | |
security | Â | securities | Â | ||||
ORD | Purchase | 100 | 26.9500 USD | ||||
ORD | Purchase | 100 | 27.0500 USD | ||||
ORD | Purchase | 100 | 27.6100 USD | ||||
ORD | Purchase | 100 | 27.6980 USD | ||||
ORD | Purchase | 200 | 27.7645 USD | ||||
ORD | Purchase | 200 | 27.9600 USD | ||||
ORD | Purchase | 500 | 27.1800 USD | ||||
ORD | Purchase | 508 | 27.3151 USD | ||||
ORD | Purchase | 521 | 27.4307 USD | ||||
ORD | Purchase | 600 | 27.0100 USD | ||||
ORD | Purchase | 600 | 27.1850 USD | ||||
ORD | Purchase | 700 | 27.2585 USD | ||||
ORD | Purchase | 700 | 27.2742 USD | ||||
ORD | Purchase | 800 | 26.9700 USD | ||||
ORD | Purchase | 999 | 27.2167 USD | ||||
ORD | Purchase | 1,000 | 26.9900 USD | ||||
ORD | Purchase | 1,233 | 26.8983 USD | ||||
ORD | Purchase | 1,300 | 27.2423 USD | ||||
ORD | Purchase | 1,492 | 27.3243 USD | ||||
ORD | Purchase | 1,627 | 26.9953 USD | ||||
ORD | Purchase | 1,700 | 27.1488 USD | ||||
ORD | Purchase | 1,800 | 27.1367 USD | ||||
ORD | Purchase | 1,800 | 27.7073 USD | ||||
ORD | Purchase | 1,900 | 27.0925 USD | ||||
ORD | Purchase | 2,100 | 27.2659 USD | ||||
ORD | Purchase | 2,336 | 26.9481 USD | ||||
ORD | Purchase | 2,800 | 27.4849 USD | ||||
ORD | Purchase | 2,900 | 27.9286 USD | ||||
ORD | Purchase | 3,000 | 27.2249 USD | ||||
ORD | Purchase | 4,501 | 27.3903 USD | ||||
ORD | Purchase | 4,800 | 26.9962 USD | ||||
ORD | Purchase | 6,200 | 27.7298 USD | ||||
ORD | Purchase | 6,205 | 27.0014 USD | ||||
ORD | Purchase | 7,347 | 26.9896 USD | ||||
ORD | Purchase | 8,931 | 27.2361 USD | ||||
ORD | Purchase | 10,500 | 27.0000 USD | ||||
ORD | Purchase | 11,017 | 26.9916 USD | ||||
ORD | Sale | 68 | 27.7800 USD | ||||
ORD | Sale | 100 | 27.6980 USD | ||||
ORD | Sale | 100 | 27.7020 USD | ||||
ORD | Sale | 100 | 27.8600 USD | ||||
ORD | Sale | 200 | 27.5050 USD | ||||
ORD | Sale | 200 | 27.7645 USD | ||||
ORD | Sale | 300 | 27.3700 USD | ||||
ORD | Sale | 326 | 27.0184 USD | ||||
ORD | Sale | 400 | 26.9600 USD | ||||
ORD | Sale | 400 | 27.0019 USD | ||||
ORD | Sale | 400 | 27.0100 USD | ||||
ORD | Sale | 400 | 27.0125 USD | ||||
ORD | Sale | 400 | 27.3850 USD | ||||
ORD | Sale | 500 | 27.2000 USD | ||||
ORD | Sale | 600 | 27.0000 USD | ||||
ORD | Sale | 600 | 27.3449 USD | ||||
ORD | Sale | 647 | 27.0255 USD | ||||
ORD | Sale | 800 | 27.0662 USD | ||||
ORD | Sale | 1,000 | 27.6412 USD | ||||
ORD | Sale | 1,064 | 26.9900 USD | ||||
ORD | Sale | 1,300 | 27.1907 USD | ||||
ORD | Sale | 1,400 | 27.4849 USD | ||||
ORD | Sale | 1,659 | 27.2105 USD | ||||
ORD | Sale | 1,700 | 27.7076 USD | ||||
ORD | Sale | 1,768 | 27.0022 USD | ||||
ORD | Sale | 2,100 | 27.2659 USD | ||||
ORD | Sale | 2,900 | 27.9286 USD | ||||
ORD | Sale | 3,000 | 26.9940 USD | ||||
ORD | Sale | 3,000 | 27.2249 USD | ||||
ORD | Sale | 3,221 | 27.1758 USD | ||||
ORD | Sale | 6,200 | 27.7298 USD | ||||
ORD | Sale | 7,341 | 27.2445 USD | ||||
ORD | Sale | 9,400 | 27.3326 USD | ||||
ORD | Sale | 39,960 | 26.9884 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(c), 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 person 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 person 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 Â |
Date of disclosure: | Â |
8 Nov 2011 |
Contact name: | Â | Geoff Smith |
Telephone number: | Â | 020 7116 2913 |
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.
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 PLC. |
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: |
COLFAX CORPORATION |
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 | |||||||||||||
 |  |  | relates |  |  |  | |||||||
ORD | Put Options | Written | -133,333 | 12.6300 | European | 6 Jan 2012 | |||||||
ORD | Call Options | Purchased | 133,333 | 15.7900 | European | 6 Jan 2012 |
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.