Form 8.3 - FIRSTGROUP PLC

Form 8.3 - FIRSTGROUP PLC

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) Full name of discloser:	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. For a trust, the trustee(s), settlor and beneficiaries must be named.	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	FIRSTGROUP
(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: For an opening position disclosure, state the latest practicable date prior to the disclosure	Â	27 April 2018
(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”	Â	NO

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 (if any)

Class of relevant security:	Â	Â	Â	5p ordinary
				Interests			Â	Short Positions
Â		Â		Number	Â	(%)		Number	Â	(%)
(1)		Relevant securities owned
		and/or controlled:		9,803,946		0.81%		4,397,199		0.36%
Â		Â		Â		Â		Â		Â
(2)		Cash-settled derivatives:
				2,242,689		0.19%		1,024,980		0.08%
Â		Â		Â		Â		Â		Â
(3)		Stock-settled derivatives (including options)
		and agreements to purchase/sell:		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)
		TOTAL:		12,046,635		0.99%		5,422,179		0.45%

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).

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

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

3. DEALINGS (IF ANY) 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

Class of relevant	Â	Purchase/sale	Â	Number of	Â	Price per unit
security		Â		securities		Â
5p ordinary		Purchase		2,047		1.1400 GBP
5p ordinary		Purchase		2,052		1.1410 GBP
5p ordinary		Purchase		5,101		1.1340 GBP
5p ordinary		Purchase		6,103		1.1293 GBP
5p ordinary		Purchase		7,153		1.1360 GBP
5p ordinary		Purchase		9,750		1.1376 GBP
5p ordinary		Purchase		15,205		1.1350 GBP
5p ordinary		Purchase		24,716		1.1368 GBP
5p ordinary		Purchase		26,065		1.1388 GBP
5p ordinary		Purchase		46,030		1.1375 GBP
5p ordinary		Purchase		113,577		1.1349 GBP
5p ordinary		Purchase		200,000		1.1372 GBP
5p ordinary		Sale		316		1.1360 GBP
5p ordinary		Sale		2,155		1.1331 GBP
5p ordinary		Sale		6,103		1.1293 GBP
5p ordinary		Sale		7,070		1.1405 GBP
5p ordinary		Sale		9,390		1.1394 GBP
5p ordinary		Sale		13,783		1.1413 GBP
5p ordinary		Sale		19,525		1.1403 GBP
5p ordinary		Sale		27,699		1.1387 GBP
5p ordinary		Sale		31,439		1.1367 GBP
5p ordinary		Sale		157,302		1.1362 GBP

(b) Cash-settled derivative transactions

Class of	Â	Product	Â	Nature of dealing	Â	Number of	Â	Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
5p ordinary		SWAP		Long		5,019		1.1380 GBP
5p ordinary		SWAP		Long		6,316		1.1307 GBP
5p ordinary		SWAP		Long		30,963		1.1383 GBP
5p ordinary		SWAP		Short		3,800		1.1379 GBP
5p ordinary		SWAP		Short		10,027		1.1381 GBP
5p ordinary		SWAP		Short		27,941		1.1358 GBP
5p ordinary		CFD		Short		43,185		1.1360 GBP
5p ordinary		SWAP		Short		43,185		1.1360 GBP
5p ordinary		CFD		Short		90,826		1.1347 GBP

(c) Stock-settled derivative transactions (including options)

(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) Exercise

Class of relevant security

Â

Product description e.g. call option

Â

Exercising/ exercised against

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)

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: Irrevocable commitments and letters of intent should not be included. 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	NO
Date of disclosure:		30 Apr 2018
Contact name:		ELISE TANG
Telephone number:		0207 1163001

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on [phone].

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

View source version on businesswire.com: https://www.businesswire.com/news/home/20180430005605/en/