Form 8.3 - COLFAX CORPORATION
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 |
 |
| (e) Date position held/dealing undertaken: | Â |
16 Nov 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 |
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 | Â | Short Positions | Â | ||||||||
| Â | Â | Number | (%) | Number | (%) | ||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 220,962 | 0.51% | 521,447 | 1.20% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 308,047 | 0.71% | 0 | 0.00% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 133,333 | 0.31% | 133,333 | 0.31% | |||||||
| Â | Â | Â | Â | Â | Â | ||||||
| (4) | TOTAL: | ||||||||||
| 662,342 | 1.52% | 654,780 | 1.50% |
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 | 30.0080 USD | ||||
| ORD | Purchase | 100 | 30.9160 USD | ||||
| ORD | Purchase | 100 | 32.2200 USD | ||||
| ORD | Purchase | 200 | 30.8910 USD | ||||
| ORD | Purchase | 200 | 31.5700 USD | ||||
| ORD | Purchase | 200 | 31.6480 USD | ||||
| ORD | Purchase | 200 | 32.2000 USD | ||||
| ORD | Purchase | 300 | 30.6633 USD | ||||
| ORD | Purchase | 300 | 31.3383 USD | ||||
| ORD | Purchase | 300 | 31.4166 USD | ||||
| ORD | Purchase | 320 | 32.1381 USD | ||||
| ORD | Purchase | 400 | 29.4500 USD | ||||
| ORD | Purchase | 400 | 30.4500 USD | ||||
| ORD | Purchase | 400 | 31.4875 USD | ||||
| ORD | Purchase | 500 | 31.0570 USD | ||||
| ORD | Purchase | 500 | 31.9760 USD | ||||
| ORD | Purchase | 600 | 30.8850 USD | ||||
| ORD | Purchase | 600 | 31.1783 USD | ||||
| ORD | Purchase | 700 | 31.0000 USD | ||||
| ORD | Purchase | 800 | 31.1293 USD | ||||
| ORD | Purchase | 900 | 30.8888 USD | ||||
| ORD | Purchase | 900 | 30.9882 USD | ||||
| ORD | Purchase | 900 | 31.0344 USD | ||||
| ORD | Purchase | 1,000 | 30.2840 USD | ||||
| ORD | Purchase | 1,000 | 30.5050 USD | ||||
| ORD | Purchase | 1,000 | 31.0183 USD | ||||
| ORD | Purchase | 1,100 | 31.8390 USD | ||||
| ORD | Purchase | 1,172 | 31.4844 USD | ||||
| ORD | Purchase | 1,200 | 30.8733 USD | ||||
| ORD | Purchase | 1,200 | 31.1079 USD | ||||
| ORD | Purchase | 1,700 | 31.0237 USD | ||||
| ORD | Purchase | 2,700 | 30.8411 USD | ||||
| ORD | Purchase | 2,700 | 31.0720 USD | ||||
| ORD | Purchase | 3,000 | 31.4303 USD | ||||
| ORD | Purchase | 5,385 | 31.8141 USD | ||||
| ORD | Purchase | 6,500 | 32.0808 USD | ||||
| ORD | Purchase | 8,900 | 31.5147 USD | ||||
| ORD | Purchase | 9,600 | 31.6771 USD | ||||
| ORD | Purchase | 10,144 | 30.9955 USD | ||||
| ORD | Purchase | 10,600 | 31.5570 USD | ||||
| ORD | Purchase | 15,900 | 31.1711 USD | ||||
| ORD | Purchase | 31,392 | 31.1350 USD | ||||
| ORD | Purchase | 33,747 | 31.2116 USD | ||||
| ORD | Sale | 71 | 29.9700 USD | ||||
| ORD | Sale | 100 | 30.0080 USD | ||||
| ORD | Sale | 100 | 30.9100 USD | ||||
| ORD | Sale | 100 | 31.8300 USD | ||||
| ORD | Sale | 100 | 31.8800 USD | ||||
| ORD | Sale | 100 | 32.0600 USD | ||||
| ORD | Sale | 100 | 32.1800 USD | ||||
| ORD | Sale | 117 | 30.8543 USD | ||||
| ORD | Sale | 200 | 30.8910 USD | ||||
| ORD | Sale | 200 | 31.4940 USD | ||||
| ORD | Sale | 200 | 31.5700 USD | ||||
| ORD | Sale | 200 | 31.6480 USD | ||||
| ORD | Sale | 200 | 32.2300 USD | ||||
| ORD | Sale | 300 | 30.6633 USD | ||||
| ORD | Sale | 300 | 31.2666 USD | ||||
| ORD | Sale | 300 | 31.4166 USD | ||||
| ORD | Sale | 300 | 31.6300 USD | ||||
| ORD | Sale | 300 | 31.8466 USD | ||||
| ORD | Sale | 362 | 31.4019 USD | ||||
| ORD | Sale | 400 | 30.4500 USD | ||||
| ORD | Sale | 400 | 30.6920 USD | ||||
| ORD | Sale | 400 | 31.0600 USD | ||||
| ORD | Sale | 400 | 31.4875 USD | ||||
| ORD | Sale | 400 | 31.7800 USD | ||||
| ORD | Sale | 400 | 32.1400 USD | ||||
| ORD | Sale | 500 | 30.8480 USD | ||||
| ORD | Sale | 500 | 32.4800 USD | ||||
| ORD | Sale | 529 | 30.7963 USD | ||||
| ORD | Sale | 600 | 29.9216 USD | ||||
| ORD | Sale | 600 | 30.8850 USD | ||||
| ORD | Sale | 600 | 31.5550 USD | ||||
| ORD | Sale | 650 | 32.0430 USD | ||||
| ORD | Sale | 700 | 32.0792 USD | ||||
| ORD | Sale | 800 | 30.8993 USD | ||||
| ORD | Sale | 800 | 31.0000 USD | ||||
| ORD | Sale | 800 | 31.1293 USD | ||||
| ORD | Sale | 800 | 32.0962 USD | ||||
| ORD | Sale | 900 | 30.9882 USD | ||||
| ORD | Sale | 1,000 | 31.9230 USD | ||||
| ORD | Sale | 1,130 | 31.3249 USD | ||||
| ORD | Sale | 1,178 | 30.7568 USD | ||||
| ORD | Sale | 1,200 | 31.1079 USD | ||||
| ORD | Sale | 1,300 | 30.8784 USD | ||||
| ORD | Sale | 2,191 | 30.8757 USD | ||||
| ORD | Sale | 2,200 | 30.4518 USD | ||||
| ORD | Sale | 2,200 | 31.1615 USD | ||||
| ORD | Sale | 2,369 | 31.2292 USD | ||||
| ORD | Sale | 3,283 | 31.2625 USD | ||||
| ORD | Sale | 3,500 | 31.4377 USD | ||||
| ORD | Sale | 3,750 | 32.0760 USD | ||||
| ORD | Sale | 3,838 | 31.3304 USD | ||||
| ORD | Sale | 4,499 | 31.1477 USD | ||||
| ORD | Sale | 4,885 | 31.8104 USD | ||||
| ORD | Sale | 4,900 | 31.0669 USD | ||||
| ORD | Sale | 5,385 | 31.7982 USD | ||||
| ORD | Sale | 6,300 | 31.6020 USD | ||||
| ORD | Sale | 6,833 | 30.4634 USD | ||||
| ORD | Sale | 8,100 | 30.9693 USD | ||||
| ORD | Sale | 8,900 | 31.5147 USD | ||||
| ORD | Sale | 15,125 | 31.0716 USD | ||||
| ORD | Sale | 15,900 | 31.1711 USD | ||||
| ORD | Sale | 27,053 | 31.3851 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 |
| Date of disclosure: | Â |
17 Nov 2011 |
| Contact name: | Â | Geoff Smith |
| Telephone number: | Â | 020 7116 2913 |
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 | |||||||||||||
| Â | Â | Â | relates | Â | Â | Â | |||||||
| 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.
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