FORM 8.5 (EPT/NON-RI) - ONESAVINGS BANK PLC

FORM 8.5 (EPT/NON-RI) - ONESAVINGS BANK 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 relevant securities this form relates: Use a separate form for each offeror/offeree	ONESAVINGS BANK PLC
(c) Name of the party to the offer with which exempt principal trader is connected:	ONESAVINGS BANK PLC
(d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure	09 Sept 2019
(e) In addition to the company in 1(b) above, is the exempt principal trader 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 CHARTER COURT FINANCIAL SERVICES GR

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

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.

(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:		1p ordinary
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	1,901,645	0.78%	1,377,139	0.56%
					Â
(2)	Cash-settled derivatives:
		1,248,683	0.51%	1,837,066	0.75%
					Â
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
					Â
					Â
	TOTAL:	3,150,328	1.28%	3,214,205	1.31%
					Â

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 EXEMPT PRINCIPAL TRADER

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.

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

(a) Purchases and sales

Class of relevant	Purchase/sale	Total number of	Highest price per unit	Lowest price per unit
security		securities	paid/received	paid/received
1p ordinary	Purchase	22,210	3.3352 GBP	3.292 GBP
1p ordinary	Sale	69,045	3.3409 GBP	3.3146 GBP

(b) Cash-settled derivative transactions

Class of	Product	Nature of dealing	Number of	Price per
relevant	description		reference	unit
security			securities
1p ordinary	SWAP	Long	141	3.3394 GBP
1p ordinary	SWAP	Long	144	3.3263 GBP
1p ordinary	SWAP	Long	145	3.3343 GBP
1p ordinary	SWAP	Long	225	3.3262 GBP
1p ordinary	SWAP	Long	226	3.3273 GBP
1p ordinary	SWAP	Long	248	3.3347 GBP
1p ordinary	SWAP	Long	300	3.3180 GBP
1p ordinary	SWAP	Long	322	3.3409 GBP
1p ordinary	SWAP	Long	400	3.3420 GBP
1p ordinary	SWAP	Long	402	3.3381 GBP
1p ordinary	SWAP	Long	557	3.3137 GBP
1p ordinary	SWAP	Long	821	3.3134 GBP
1p ordinary	SWAP	Long	895	3.3164 GBP
1p ordinary	SWAP	Long	1,090	3.3346 GBP
1p ordinary	SWAP	Long	1,300	3.3396 GBP
1p ordinary	SWAP	Long	1,588	3.3265 GBP
1p ordinary	SWAP	Long	6,443	3.3146 GBP
1p ordinary	SWAP	Long	9,723	3.3214 GBP
1p ordinary	SWAP	Long	11,625	3.3261 GBP
1p ordinary	SWAP	Long	13,498	3.3384 GBP
1p ordinary	SWAP	Short	137	3.3221 GBP
1p ordinary	SWAP	Short	6,057	3.3394 GBP
1p ordinary	SWAP	Short	13,474	3.3236 GBP

(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
Â	Â	Â	Â	Â	Â	Â	Â

(ii) Exercise

Class of relevant security	Product description e.g. call option	Exercising/ exercised against	Number of securities	Exercise price per unit
Â	Â	Â	Â	  Â

(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)
Â	  Â	Â	Â

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

  None Â

(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 Â

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

NO

Date of disclosure:	10 Sept 2019
Contact name:	Large Holdings Regulatory Operations
Telephone number:	020 3134 7213

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.

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