Form 8.5 (EPT/NON-RI) SEVERN TRENT PLC - Amendment
BARCLAYS PLC
FORM 8.5 (EPT/NON-RI) AMENDMENT
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RIâ€) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the “Codeâ€)
1. KEY INFORMATION
(a) | Â | Name of exempt principal trader: | Â | BARCLAYS CAPITAL SECURITIES LTD | |
(b) | Name of offeror/offeree in relation to whose |
SEVERN TRENT PLC |
|||
 | relevant securities this form relates: |  | |||
(c) | Name of the party to the offer with which exempt | Advisor to Offeree | |||
 | principal trader is connected |  | |||
(d) | Date position held/dealing undertaken: | 10 June 2013 | |||
(e) | Has the EPT previously disclosed, or is it | NO | |||
today disclosing, under the Code in respect | |||||
 | of any other party to this offer? |  | |||
2. | POSITIONS OF THE EXEMPT PRINCIPAL TRADER |
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: | Â | Â | Â | ORD | Â | Â | Â | Â | Â | Â | |
Interests | Short Positions | ||||||||||
 |  | Number | (%) | Number | (%) | ||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 4,936,064 | 2.07% | 371,227 | 0.16% | |||||||
 |  |  |  |  |  | ||||||
(2) | Derivatives (other than | ||||||||||
options): | 368,795 | 0.15% | 4,443,958 | 1.86% | |||||||
 |  |  |  |  |  | ||||||
(3) | Options and agreements to | ||||||||||
purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
 |  |  |  |  |  | ||||||
(4) | TOTAL: | ||||||||||
5,304,859 | 2.22% | 4,815,185 | 2.02% |
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(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 | Â | Purchase/sale | Â | Number of | Â | Price per unit | |
security | Â | securities | Â | ||||
ORD | Purchase | 140 | 19.8900 GBP | ||||
ORD | Purchase | 315 | 19.4600 GBP | ||||
ORD | Purchase | 528 | 19.4800 GBP | ||||
ORD | Purchase | 569 | 19.5232 GBP | ||||
ORD | Purchase | 600 | 19.6029 GBP | ||||
ORD | Purchase | 1,211 | 19.8014 GBP | ||||
ORD | Purchase | 1,342 | 19.8088 GBP | ||||
ORD | Purchase | 1,852 | 19.7828 GBP | ||||
ORD | Purchase | 3,675 | 19.6064 GBP | ||||
ORD | Purchase | 4,135 | 19.4877 GBP | ||||
ORD | Purchase | 5,536 | 19.5725 GBP | ||||
ORD | Purchase | 7,211 | 19.5916 GBP | ||||
ORD | Purchase | 7,289 | 19.5989 GBP | ||||
ORD | Purchase | 10,193 | 19.6666 GBP | ||||
ORD | Purchase | 12,070 | 19.6400 GBP | ||||
ORD | Purchase | 17,048 | 19.7649 GBP | ||||
ORD | Purchase | 17,604 | 19.5811 GBP | ||||
ORD | Purchase | 19,102 | 19.6253 GBP | ||||
ORD | Purchase | 28,227 | 19.6402 GBP | ||||
ORD | Purchase | 28,407 | 19.8136 GBP | ||||
ORD | Purchase | 30,000 | 19.8797 GBP | ||||
ORD | Purchase | 32,999 | 19.6524 GBP | ||||
ORD | Purchase | 34,948 | 19.5100 GBP | ||||
ORD | Purchase | 39,930 | 19.6159 GBP | ||||
ORD | Purchase | 50,000 | 19.8899 GBP | ||||
ORD | Purchase | 68,424 | 19.4775 GBP | ||||
ORD | Purchase | 80,889 | 19.6271 GBP | ||||
ORD | Purchase | 164,538 | 19.6282 GBP | ||||
ORD | Purchase | 175,900 | 19.5244 GBP | ||||
ORD | Purchase | 180,112 | 19.6925 GBP | ||||
ORD | Sale | 370 | 19.7622 GBP | ||||
ORD | Sale | 2,541 | 19.5440 GBP | ||||
ORD | Sale | 2,606 | 19.7223 GBP | ||||
ORD | Sale | 3,240 | 19.4600 GBP | ||||
ORD | Sale | 4,135 | 19.4823 GBP | ||||
ORD | Sale | 4,241 | 19.4900 GBP | ||||
ORD | Sale | 5,464 | 19.6128 GBP | ||||
ORD | Sale | 5,483 | 19.7316 GBP | ||||
ORD | Sale | 6,425 | 19.5924 GBP | ||||
ORD | Sale | 7,924 | 19.5862 GBP | ||||
ORD | Sale | 10,913 | 19.5390 GBP | ||||
ORD | Sale | 11,670 | 19.6699 GBP | ||||
ORD | Sale | 26,823 | 19.6268 GBP | ||||
ORD | Sale | 28,657 | 19.5050 GBP | ||||
ORD | Sale | 32,345 | 19.6230 GBP | ||||
ORD | Sale | 34,948 | 19.5100 GBP | ||||
ORD | Sale | 40,639 | 19.5835 GBP | ||||
ORD | Sale | 69,939 | 19.6021 GBP | ||||
ORD | Sale | 83,604 | 19.5805 GBP | ||||
ORD | Sale | 100,161 | 19.6379 GBP | ||||
ORD | Sale | 100,345 | 19.5267 GBP | ||||
ORD | Sale | 100,938 | 19.6530 GBP | ||||
ORD | Sale | 164,000 | 19.5706 GBP |
(b) Derivatives transactions (other than options)
Class of | Â | Product | Â | Nature of dealing | Â | Number of | Â | Price per | |
relevant | description | reference | unit | ||||||
security | Â | Â | securities | Â | |||||
ORD | SWAP | Long | 357 | 19.6576 GBP | |||||
ORD | SWAP | Long | 5,483 | 19.7317 GBP | |||||
ORD | CFD | Long | 15,238 | 19.6079 GBP | |||||
ORD | SWAP | Long | 16,124 | 19.6321 GBP | |||||
ORD | SWAP | Long | 30,000 | 19.8797 GBP | |||||
ORD | SWAP | Long | 43,859 | 19.5684 GBP | |||||
ORD | SWAP | Long | 223,150 | 21.1016 GBP | |||||
ORD | SWAP | Short | 358 | 19.6057 GBP | |||||
ORD | CFD | Short | 569 | 19.5232 GBP | |||||
ORD | SWAP | Short | 600 | 19.6029 GBP | |||||
ORD | CFD | Short | 1,339 | 19.7793 GBP | |||||
ORD | SWAP | Short | 19,626 | 19.6027 GBP | |||||
ORD | SWAP | Short | 20,870 | 19.6857 GBP | |||||
ORD | SWAP | Short | 50,000 | 19.8899 GBP | |||||
ORD | SWAP | Short | 60,000 | 19.8797 GBP | |||||
ORD | SWAP | Short | 180,112 | 19.6924 GBP | |||||
ORD | SWAP | Short | 446,300 | 21.1016 GBP |
(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. |
 | Expiry date |  | Option money paid/ received per unit |
(ii) Exercising
Class of relevant security | Â |
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 | Â |
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? | Â | NO |
Date of disclosure: | Â |
12 Jun 2013 |
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.