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 | Â | Barclays PLC. |
| Â | are being disclosed: | Â | |
| (b) | Owner or controller of interest and short | ||
| Â | positions disclosed, if different from 1(a): | Â | |
| (c) | Name of offeror/offeree in relation to whose | COLFAX CORPORATION | |
| Â | relevant securities this form relates: | Â | |
| (d) | If an exempt fund manager connected with an | ||
| offeror/offeree, state this and specify identity of | |||
| Â | offeror/offeree: | Â | |
| (e) | Date position held/dealing undertaken: | 7 October 2011 | |
| (f) | Has the discloser previously disclosed, or are | YES: | |
| they today disclosing, under the Code in respect | CHARTER INTERNATIONAL PLC | ||
| Â | of any other party to this offer? | 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 | ORD | Â | Â | Â | Â | Â | Â | |
| Interests | Â | Short Positions | Â | |||||||
| Â | Â | Number | (%) | Number | (%) | |||||
| (1) | Relevant securities owned | |||||||||
| and/or controlled: | 45,799 | 0.11% | 289,984 | 0.67% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (2) | Derivatives (other than | |||||||||
| options): | 36,383 | 0.08% | 0 | 0.00% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (3) | Options and agreements to | |||||||||
| purchase/sell: | 266,666 | 0.61% | 266,666 | 0.61% | ||||||
| Â | Â | Â | Â | Â | Â | |||||
| (4) | TOTAL: | |||||||||
| 348,848 | 0.80% | 556,650 | 1.28% |
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 | 2 | 21.7800 USD | ||||
| ORD | Purchase | 49 | 21.7400 USD | ||||
| ORD | Purchase | 100 | 21.5600 USD | ||||
| ORD | Purchase | 100 | 21.7350 USD | ||||
| ORD | Purchase | 100 | 21.8100 USD | ||||
| ORD | Purchase | 200 | 21.5500 USD | ||||
| ORD | Purchase | 200 | 21.6450 USD | ||||
| ORD | Purchase | 200 | 21.6475 USD | ||||
| ORD | Purchase | 200 | 21.6750 USD | ||||
| ORD | Purchase | 200 | 21.7200 USD | ||||
| ORD | Purchase | 200 | 21.7550 USD | ||||
| ORD | Purchase | 200 | 21.8000 USD | ||||
| ORD | Purchase | 223 | 21.6632 USD | ||||
| ORD | Purchase | 300 | 21.7766 USD | ||||
| ORD | Purchase | 300 | 21.9066 USD | ||||
| ORD | Purchase | 302 | 21.6215 USD | ||||
| ORD | Purchase | 328 | 21.3500 USD | ||||
| ORD | Purchase | 348 | 21.6171 USD | ||||
| ORD | Purchase | 400 | 21.6688 USD | ||||
| ORD | Purchase | 597 | 21.5623 USD | ||||
| ORD | Purchase | 600 | 21.8316 USD | ||||
| ORD | Purchase | 692 | 21.6392 USD | ||||
| ORD | Purchase | 1,000 | 21.8260 USD | ||||
| ORD | Purchase | 1,009 | 21.6263 USD | ||||
| ORD | Purchase | 1,400 | 21.7139 USD | ||||
| ORD | Purchase | 1,500 | 21.6746 USD | ||||
| ORD | Purchase | 2,356 | 21.6631 USD | ||||
| ORD | Purchase | 2,490 | 21.4195 USD | ||||
| ORD | Purchase | 3,000 | 21.5696 USD | ||||
| ORD | Purchase | 3,200 | 21.7479 USD | ||||
| ORD | Purchase | 5,000 | 21.5790 USD | ||||
| ORD | Purchase | 7,100 | 21.5399 USD | ||||
| ORD | Purchase | 26,952 | 21.6619 USD | ||||
| ORD | Purchase | 45,345 | 21.6020 USD | ||||
| ORD | Sale | 2 | 21.7800 USD | ||||
| ORD | Sale | 23 | 21.8000 USD | ||||
| ORD | Sale | 100 | 21.4800 USD | ||||
| ORD | Sale | 100 | 21.5500 USD | ||||
| ORD | Sale | 100 | 21.6400 USD | ||||
| ORD | Sale | 100 | 21.6500 USD | ||||
| ORD | Sale | 100 | 21.6700 USD | ||||
| ORD | Sale | 100 | 21.7350 USD | ||||
| ORD | Sale | 124 | 21.5503 USD | ||||
| ORD | Sale | 200 | 21.6475 USD | ||||
| ORD | Sale | 200 | 21.6650 USD | ||||
| ORD | Sale | 200 | 21.6800 USD | ||||
| ORD | Sale | 200 | 21.6850 USD | ||||
| ORD | Sale | 200 | 21.7200 USD | ||||
| ORD | Sale | 300 | 21.6466 USD | ||||
| ORD | Sale | 300 | 21.7366 USD | ||||
| ORD | Sale | 321 | 21.5450 USD | ||||
| ORD | Sale | 400 | 21.6687 USD | ||||
| ORD | Sale | 500 | 21.5000 USD | ||||
| ORD | Sale | 500 | 21.5256 USD | ||||
| ORD | Sale | 500 | 21.7550 USD | ||||
| ORD | Sale | 600 | 21.5683 USD | ||||
| ORD | Sale | 645 | 21.5982 USD | ||||
| ORD | Sale | 719 | 21.5727 USD | ||||
| ORD | Sale | 744 | 21.5544 USD | ||||
| ORD | Sale | 800 | 21.5245 USD | ||||
| ORD | Sale | 845 | 21.5576 USD | ||||
| ORD | Sale | 892 | 21.6192 USD | ||||
| ORD | Sale | 900 | 21.6211 USD | ||||
| ORD | Sale | 1,000 | 21.7180 USD | ||||
| ORD | Sale | 1,400 | 21.6678 USD | ||||
| ORD | Sale | 1,900 | 21.5831 USD | ||||
| ORD | Sale | 2,100 | 21.7085 USD | ||||
| ORD | Sale | 2,392 | 21.6606 USD | ||||
| ORD | Sale | 3,000 | 21.5696 USD | ||||
| ORD | Sale | 3,400 | 21.5117 USD | ||||
| ORD | Sale | 4,761 | 21.6353 USD | ||||
| ORD | Sale | 5,000 | 21.5790 USD | ||||
| ORD | Sale | 6,500 | 21.5752 USD | ||||
| ORD | Sale | 8,690 | 21.6731 USD | ||||
| ORD | Sale | 9,328 | 21.5677 USD | ||||
| ORD | Sale | 11,900 | 21.7034 USD | ||||
| ORD | Sale | 12,419 | 21.5471 USD | ||||
| ORD | Sale | 24,569 | 21.6585 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 |
10 Oct 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.
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 PLC. |
| are being disclosed: | Â | |
| Name of offeror/offeree in relation to whose | COLFAX CORPORATION | |
| 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 | -133,333 | 11.7820 | European | 20 Oct 2011 | |||||||
| ORD | Put Options | Written | -133,333 | 12.6300 | European | 6 Jan 2012 | |||||||
| ORD | Call Options | Purchased | 133,333 | 14.7280 | European | 20 Oct 2011 | |||||||
| 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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