Form 8 (DD) - Ball Corporation

Form 8 (DD) - Ball Corporation

BARCLAYS PLC

FORM 8 (DD)

PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

Rules 8.1, 8.2 and 8.4 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser:   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. For a trust, the trustee(s), settlor and beneficiaries must be named.

 
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

Ball Corporation
(d) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

Connected to Rexam Plc
(e) Date dealing undertaken: 05 February 2015
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES

If YES, specify which: Rexam Plc

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing

Class of relevant security:    

 

Interests   Short positions
Number   % Number   %
(1) Relevant securities owned and/or controlled: 153,275 0.11 181,610 0.13
(2) Cash-settled derivatives:        
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 10,900 0.01 16,400 0.01

TOTAL:

164,175 0.12 198,010 0.14

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:    
Details, including nature of the rights concerned and relevant percentages:  

3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE

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.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

(i) Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)

Class of relevant security   Purchase/sale   Number of securities  

Price per unit (in USD)

Ord Purchase 2 66.1500
Ord Purchase 5 72.0300
Ord Purchase 14 72.0300
Ord Purchase 16 71.9200
Ord Purchase 24 66.1500
Ord Purchase 30 73.1000
Ord Purchase 72 71.6700
Ord Purchase 98 71.9200
Ord Purchase 100 71.9100
Ord Purchase 100 69.0000
Ord Purchase 100 72.6701
Ord Purchase 100 72.6800
Ord Purchase 100 73.1100
Ord Purchase 100 72.2600
Ord Purchase 100 71.8600
Ord Purchase 130 72.0900
Ord Purchase 130 71.9200
Ord Purchase 162 72.0200
Ord Purchase 193 72.0048
Ord Purchase 193 72.0048
Ord Purchase 200 71.9100
Ord Purchase 200 72.7300
Ord Purchase 209 66.1500
Ord Purchase 270 72.9867
Ord Purchase 300 72.7333
Ord Purchase 300 72.5817
Ord Purchase 300 73.1633
Ord Purchase 400 72.7425
Ord Purchase 462 72.0300
Ord Purchase 600 71.6383
Ord Purchase 600 71.9625
Ord Purchase 700 73.2200
Ord Purchase 794 72.8989
Ord Purchase 945 72.9599
Ord Purchase 1,030 73.1055
Ord Purchase 1,052 72.3511
Ord Purchase 1,097 73.1628
Ord Purchase 1,100 72.9973
Ord Purchase 1,400 72.1314
Ord Purchase 1,528 71.9319
Ord Purchase 1,600 73.0609
Ord Purchase 1,650 72.0300
Ord Purchase 2,000 71.9373
Ord Purchase 2,118 72.2125
Ord Purchase 2,497 72.0300
Ord Purchase 3,081 72.9404
Ord Purchase 3,340 72.4219
Ord Purchase 5,400 73.0495
Ord Purchase 5,864 73.0511
Ord Purchase 6,100 72.6886
Ord Purchase 7,132 72.8414
Ord Purchase 8,100 73.0775
Ord Purchase 8,600 73.0667
Ord Purchase 11,525 73.0439
Ord Purchase 12,376 72.0200
Ord Purchase 13,262 72.0200
Ord Purchase 14,000 72.8829
Ord Purchase 16,747 72.7707
Ord Purchase 17,300 73.0100
Ord Purchase 18,842 71.7852
Ord Purchase 19,221 71.7875
Ord Purchase 19,900 70.0010
Ord Purchase 22,600 72.6919
Ord Purchase 24,500 72.7692
Ord Purchase 25,000 72.7662
Ord Purchase 29,843 72.9526
Ord Purchase 38,900 72.6651
Ord Purchase 41,700 72.1653
Ord Purchase 49,544 72.0200
Ord Purchase 49,753 72.0200
Ord Purchase 80,471 72.7862
Ord Purchase 392,360 71.6113
Ord Sale 2 66.1500
Ord Sale 45 70.7500
Ord Sale 50 72.6200
Ord Sale 72 71.6700
Ord Sale 100 72.0400
Ord Sale 100 72.4300
Ord Sale 100 72.2600
Ord Sale 112 71.6700
Ord Sale 114 72.0300
Ord Sale 118 72.0092
Ord Sale 181 72.0300
Ord Sale 193 69.4900
Ord Sale 193 72.0048
Ord Sale 194 73.0000
Ord Sale 200 71.9625
Ord Sale 200 71.6400
Ord Sale 200 71.6200
Ord Sale 200 71.6600
Ord Sale 209 66.1500
Ord Sale 260 72.0300
Ord Sale 300 71.6717
Ord Sale 300 71.9467
Ord Sale 400 71.9625
Ord Sale 462 72.0300
Ord Sale 476 71.6700
Ord Sale 500 72.3560
Ord Sale 500 72.6200
Ord Sale 752 71.9351
Ord Sale 850 72.0029
Ord Sale 971 71.5979
Ord Sale 1,000 71.3350
Ord Sale 1,262 71.9287
Ord Sale 1,351 72.1466
Ord Sale 1,500 71.0253
Ord Sale 1,650 72.2021
Ord Sale 1,650 72.0300
Ord Sale 1,692 72.4509
Ord Sale 2,100 72.4939
Ord Sale 2,190 71.5816
Ord Sale 2,200 72.6075
Ord Sale 2,400 70.4015
Ord Sale 2,400 72.1850
Ord Sale 2,590 72.0300
Ord Sale 3,500 71.3717
Ord Sale 3,793 71.2399
Ord Sale 4,003 72.2016
Ord Sale 6,200 72.2838
Ord Sale 6,223 71.3547
Ord Sale 6,526 71.8892
Ord Sale 8,928 72.0373
Ord Sale 9,072 71.5818
Ord Sale 12,376 72.0200
Ord Sale 13,262 72.0200
Ord Sale 16,100 72.1042
Ord Sale 17,300 73.0100
Ord Sale 22,099 72.6460
Ord Sale 22,100 72.5626
Ord Sale 22,900 72.7618
Ord Sale 24,500 72.7692
Ord Sale 25,000 72.2086
Ord Sale 25,600 72.2037
Ord Sale 41,139 71.2990
Ord Sale 49,544 72.0200
Ord Sale 49,753 72.0200
Ord Sale 77,505 71.4494
Ord Sale 244,049 71.5211
Ord Sale 275,000 72.8589

(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser

Class of relevant security   Purchases/ sales   Total number of securities   Highest price per unit paid/received   Lowest price per unit paid/received

(b) Cash-settled derivative transactions

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) Stock-settled derivative transactions (including options)

(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) Exercise

Class of relevant security   Product description

e.g. call option

  Exercising/ exercised against   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)

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 party to the offer or person acting in concert making the disclosure and any other person:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer or person acting in concert 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”

(c) Attachments

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions)

YES

Supplemental Form 8 (SBL)

NO

Date of disclosure:   06 February 2015
Contact name: Rajesh Muthanna
Telephone number: +44 20 3555 4634

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 STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Full name of person making disclosure:   Barclays Plc
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: Ball Corporation

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security   Product description e.g. call option   Written or purchased   Number of securities to which option or derivative relates  

Exercise price per unit (in USD)

  Type

e.g. American, European etc.

  Expiry date
Ord Put option Purchased 2,400 65 American 20/02/2015
Ord Put option Written 2,000 70 American 21/08/2015
Ord Put option Written 1,000 75 American 20/02/2015
Ord Put option Written 2,200 70 American 20/03/2015
Ord Put option Written 4,500 75 American 20/03/2015
Ord Put option Written 1,200 65 American 15/05/2015
Ord Call option Written 3,000 70 American 21/08/2015
Ord Call option Written 3,000 75 American 21/08/2015
Ord Call option Written 600 80 American 21/08/2015
Ord Call option Written 1,000 60 American 20/02/2015
Ord Call option Written 3,600 65 American 20/02/2015
Ord Call option Written 2,000 70 American 20/02/2015
Ord Call option Written 1,100 75 American 20/03/2015
Ord Call option Written 1,000 80 American 20/03/2015
Ord Call option Written 2,800 60 American 15/05/2015
Ord Call option Written 700 70 American 15/05/2015

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 cash-settled derivatives.

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 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)
UK 100
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