Form 8.5 (EPT/NON-RI) - CARPHONE WAREHOUSE GROU...

Form 8.5 (EPT/NON-RI) - CARPHONE WAREHOUSE GROUP PLC

BARCLAYS PLC

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a)   Name of exempt principal trader:   BARCLAYS CAPITAL SECURITIES LTD
(b) Name of offeror/offeree in relation to whose CARPHONE WAREHOUSE GROUP PLC
  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt DIXONS RETAIL PLC
  principal trader is connected  
(d) Date position held/dealing undertaken: 6 August 2014
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect DIXONS RETAIL PLC
  of any other party to this offer?  

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

(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: 4,887,808 0.85% 1,009,524 0.18%
           
(2) Derivatives (other than
options): 1,086,532 0.19% 2,989,060 0.52%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
 
TOTAL: 5,974,340 1.04% 3,998,584 0.69%

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(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a) Purchases and sales

Class of relevant   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 242 3.4370 GBP
ORD Purchase 944 3.4255 GBP
ORD Purchase 1,094 3.4260 GBP
ORD Purchase 1,094 3.4645 GBP
ORD Purchase 1,533 3.4235 GBP
ORD Purchase 1,767 3.4250 GBP
ORD Purchase 1,929 3.4640 GBP
ORD Purchase 1,954 3.4210 GBP
ORD Purchase 2,188 3.4550 GBP
ORD Purchase 2,271 3.4310 GBP
ORD Purchase 3,310 3.4284 GBP
ORD Purchase 3,825 3.4357 GBP
ORD Purchase 5,272 3.4300 GBP
ORD Purchase 5,405 3.4303 GBP
ORD Purchase 5,907 3.4295 GBP
ORD Purchase 6,121 3.4305 GBP
ORD Purchase 7,774 3.3439 GBP
ORD Purchase 9,015 3.4290 GBP
ORD Purchase 10,528 3.4353 GBP
ORD Purchase 11,386 3.4282 GBP
ORD Purchase 13,774 3.4285 GBP
ORD Purchase 24,888 3.4346 GBP
ORD Purchase 26,974 3.4280 GBP
ORD Purchase 41,497 3.4051 GBP
ORD Purchase 43,598 3.4270 GBP
ORD Purchase 44,056 3.3819 GBP
ORD Purchase 49,091 3.4275 GBP
ORD Purchase 73,988 3.4343 GBP
ORD Purchase 75,761 3.3470 GBP
ORD Purchase 105,841 3.4317 GBP
ORD Purchase 150,917 3.4335 GBP
ORD Purchase 154,671 3.3774 GBP
ORD Purchase 157,566 3.4000 GBP
ORD Purchase 177,292 3.4283 GBP
ORD Purchase 177,414 3.4225 GBP
ORD Purchase 227,788 3.4308 GBP
ORD Purchase 299,614 3.4307 GBP
ORD Purchase 329,271 3.4372 GBP
ORD Sale 251 3.4580 GBP
ORD Sale 944 3.4255 GBP
ORD Sale 1,094 3.4260 GBP
ORD Sale 1,094 3.4645 GBP
ORD Sale 1,533 3.4235 GBP
ORD Sale 1,767 3.4250 GBP
ORD Sale 1,929 3.4640 GBP
ORD Sale 1,954 3.4210 GBP
ORD Sale 2,271 3.4310 GBP
ORD Sale 2,621 3.4466 GBP
ORD Sale 2,648 3.4630 GBP
ORD Sale 4,561 3.4357 GBP
ORD Sale 5,272 3.4300 GBP
ORD Sale 5,907 3.4295 GBP
ORD Sale 6,121 3.4305 GBP
ORD Sale 8,343 3.4377 GBP
ORD Sale 8,401 3.4161 GBP
ORD Sale 9,015 3.4290 GBP
ORD Sale 9,200 3.4268 GBP
ORD Sale 10,415 3.4263 GBP
ORD Sale 10,440 3.3443 GBP
ORD Sale 13,774 3.4285 GBP
ORD Sale 14,400 3.3435 GBP
ORD Sale 21,417 3.4142 GBP
ORD Sale 25,379 3.3442 GBP
ORD Sale 26,974 3.4280 GBP
ORD Sale 43,138 3.4369 GBP
ORD Sale 43,598 3.4270 GBP
ORD Sale 44,644 3.4380 GBP
ORD Sale 47,802 3.4274 GBP
ORD Sale 49,091 3.4275 GBP
ORD Sale 64,934 3.4292 GBP
ORD Sale 247,614 3.4269 GBP
ORD Sale 260,000 3.4337 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 1,078 3.4491 GBP
ORD CFD Long 2,621 3.4466 GBP
ORD CFD Long 2,648 3.4627 GBP
ORD CFD Long 3,023 3.4639 GBP
ORD CFD Long 5,875 3.4589 GBP
ORD SWAP Long 13,799 3.4304 GBP
ORD CFD Long 16,161 3.4506 GBP
ORD SWAP Long 43,388 3.4306 GBP
ORD SWAP Long 60,541 3.4334 GBP
ORD CFD Long 505,892 3.4257 GBP
ORD CFD Short 1,107 3.4259 GBP
ORD SWAP Short 1,700 3.4323 GBP
ORD CFD Short 3,825 3.4357 GBP
ORD CFD Short 5,823 3.4193 GBP
ORD CFD Short 11,643 3.4653 GBP
ORD CFD Short 12,853 3.4277 GBP
ORD CFD Short 9,835 3.4400 GBP
ORD CFD Short 25,000 3.4545 GBP
ORD CFD Short 25,108 3.4341 GBP
ORD CFD Short 32,687 3.4324 GBP
ORD SWAP Short 42,826 3.4280 GBP
ORD SWAP Short 50,913 3.4394 GBP
ORD SWAP Short 259,609 TRANSFER

(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(b), 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 exempt principal trader 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 exempt principal trader 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?   NO
Date of disclosure: 7 Aug 2014
Contact name: Rajesh Muthanna
Telephone number: 020 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.

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