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:	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	Â	Â
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree	Â	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	17 October 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
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		30,551		0.07%		293,220		0.67%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		39,601		0.09%		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:
				336,818		0.77%		559,886		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		100		20.8000 USD
ORD		Purchase		100		20.9300 USD
ORD		Purchase		200		20.8500 USD
ORD		Purchase		256		20.8100 USD
ORD		Purchase		300		20.8200 USD
ORD		Purchase		300		20.8566 USD
ORD		Purchase		300		20.8616 USD
ORD		Purchase		400		20.9125 USD
ORD		Purchase		500		20.8262 USD
ORD		Purchase		500		20.8880 USD
ORD		Purchase		540		20.8244 USD
ORD		Purchase		600		20.8125 USD
ORD		Purchase		600		20.9083 USD
ORD		Purchase		800		20.9687 USD
ORD		Purchase		900		20.8511 USD
ORD		Purchase		1,000		20.8680 USD
ORD		Purchase		1,100		20.8348 USD
ORD		Purchase		1,200		20.8327 USD
ORD		Purchase		1,400		20.8309 USD
ORD		Purchase		1,900		20.8163 USD
ORD		Purchase		2,000		20.8284 USD
ORD		Purchase		2,900		20.8362 USD
ORD		Purchase		3,335		21.1291 USD
ORD		Purchase		3,400		20.8442 USD
ORD		Purchase		4,746		20.8471 USD
ORD		Purchase		13,063		20.8273 USD
ORD		Purchase		16,665		20.8340 USD
ORD		Sale		100		21.0000 USD
ORD		Sale		100		21.1300 USD
ORD		Sale		200		20.8150 USD
ORD		Sale		200		20.9300 USD
ORD		Sale		256		20.8100 USD
ORD		Sale		300		20.8616 USD
ORD		Sale		334		20.7869 USD
ORD		Sale		352		21.1296 USD
ORD		Sale		400		20.8002 USD
ORD		Sale		400		20.8350 USD
ORD		Sale		500		20.8800 USD
ORD		Sale		600		20.8191 USD
ORD		Sale		600		20.8463 USD
ORD		Sale		800		20.9687 USD
ORD		Sale		1,000		20.8680 USD
ORD		Sale		1,100		20.8348 USD
ORD		Sale		1,400		20.8308 USD
ORD		Sale		1,466		20.8052 USD
ORD		Sale		1,746		20.8254 USD
ORD		Sale		2,000		20.8284 USD
ORD		Sale		2,100		20.8600 USD
ORD		Sale		2,783		21.1336 USD
ORD		Sale		3,740		20.8617 USD
ORD		Sale		13,281		20.8300 USD
ORD		Sale		25,565		20.8342 USD

(b) Derivatives transactions (other than options)

Class of relevant security

Â

Product description e.g. CFD

Â

Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position

Â

Number of reference securities

Â

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.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Â

Product description e.g. call option

Â

Number of securities

Â

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

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	18 Oct 2011 Â
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 [e-mail]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on [phone].

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:	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

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 (“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 [phone].

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