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 “Code”)

1. KEY INFORMATION

(a) Identity of the person whose positions/dealings are being disclosed:   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:    
(e) Date position held/dealing undertaken:  

18 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?  

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:       ORD            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 217,634 0.50% 521,893 1.20%
           
(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:
659,014 1.51% 655,226 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:  
Details, including nature of the rights concerned and relevant percentages:  

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   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 25 29.0400 USD
ORD Purchase 38 28.7200 USD
ORD Purchase 49 28.5000 USD
ORD Purchase 100 28.6300 USD
ORD Purchase 100 28.8000 USD
ORD Purchase 100 28.9000 USD
ORD Purchase 100 28.9600 USD
ORD Purchase 100 29.3000 USD
ORD Purchase 107 28.6100 USD
ORD Purchase 200 28.5400 USD
ORD Purchase 200 29.0550 USD
ORD Purchase 400 29.0050 USD
ORD Purchase 424 28.9652 USD
ORD Purchase 500 29.0352 USD
ORD Purchase 500 29.1960 USD
ORD Purchase 500 29.4500 USD
ORD Purchase 700 29.3328 USD
ORD Purchase 1,000 29.0420 USD
ORD Purchase 1,300 28.5538 USD
ORD Purchase 1,300 28.8407 USD
ORD Purchase 1,500 28.6224 USD
ORD Purchase 1,650 28.6578 USD
ORD Purchase 1,900 28.8263 USD
ORD Purchase 8,451 28.9166 USD
ORD Purchase 10,000 29.5600 USD
ORD Purchase 19,568 28.9151 USD
ORD Sale 100 28.5800 USD
ORD Sale 100 28.8000 USD
ORD Sale 100 28.9000 USD
ORD Sale 100 28.9600 USD
ORD Sale 100 29.1700 USD
ORD Sale 200 28.6250 USD
ORD Sale 200 29.3000 USD
ORD Sale 300 29.0320 USD
ORD Sale 300 29.1066 USD
ORD Sale 300 29.2366 USD
ORD Sale 376 28.8428 USD
ORD Sale 400 28.9200 USD
ORD Sale 525 29.0354 USD
ORD Sale 691 29.6000 USD
ORD Sale 700 29.3328 USD
ORD Sale 724 29.0539 USD
ORD Sale 900 28.7633 USD
ORD Sale 1,000 29.3230 USD
ORD Sale 1,200 28.5200 USD
ORD Sale 1,300 28.5538 USD
ORD Sale 10,000 29.5600 USD
ORD Sale 10,375 28.9118 USD
ORD Sale 19,855 28.9092 USD

(b) Derivatives transactions (other than options)

Class of relevant security   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   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(ii) Exercising

Class of relevant security   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   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?  

YES

 

Date of disclosure:  

21 Nov 2011

Contact name:   Geoff Smith
Telephone number:   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 “Code”)

1. KEY INFORMATION

Identity of person whose open positions are being disclosed:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

COLFAX CORPORATION

2. OPTIONS AND DERIVATIVES

Class   Product   Writing,   Number   Exercise   Type   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 (“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 +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

Companies

Barclays (BARC)
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