Form 8.5 - TESCO PLC - Amendment

Form 8.5 - TESCO PLC - Amendment

BARCLAYS PLC

FORM 8.5 (EPT/NON-RI) AMENDMENT TO SECTION 2(a) & 3(a)

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:	Â	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	Â	TESCO PLC
(c) Name of the party to the offer with which exempt principal trader is connected:	Â	TESCO PLC
(d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure	Â	10 April 2017
(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”	Â	YES BOOKER GROUP PLC

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:	Â	Â	Â	ORD	Â	Â	Â	Â	Â	Â
				Interests		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		50,991,725		0.63%		42,564,723		0.52%
Â		Â		Â		Â		Â		Â
(2)		Cash-settled derivatives:
				23,400,174		0.29%		32,388,630		0.40%
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:		74,391,899		0.92%		74,953,353		0.92%

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	Â	Purchase/sale	Â	Total number of	Â	Highest price per unit	Â	Lowest price per unit
security		Â		securities		paid/received		paid/received
5p ORD		Purchase		7,257,295		1.9450 GBP		1.8975 GBP
5p ORD		Sale		12,298,519		1.9450 GBP		1.8975 GBP
ADR		Purchase		2,800		7.2000 USD		7.2 USD
ADR		Sale		2,800		7.2000 USD		7.2 USD
									Â
(b)		Cash-settled derivative transactions		Â		Â		Â
Class of		Product		Nature of dealing		Number of		Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
5p ORD		CFD		Long		39		1.9297 GBP
5p ORD		SWAP		Long		1,100		1.9095 GBP
5p ORD		CFD		Long		1,117		1.9433 GBP
5p ORD		SWAP		Long		1,312		1.9395 GBP
5p ORD		SWAP		Long		2,647		1.9397 GBP
5p ORD		SWAP		Long		3,814		1.9067 GBP
5p ORD		SWAP		Long		5,175		1.9365 GBP
5p ORD		SWAP		Long		5,311		1.9374 GBP
5p ORD		CFD		Long		5,876		1.9113 GBP
5p ORD		SWAP		Long		10,507		1.9160 GBP
5p ORD		SWAP		Long		13,101		1.9337 GBP
5p ORD		SWAP		Long		13,542		1.9229 GBP
5p ORD		SWAP		Long		16,193		1.9417 GBP
5p ORD		CFD		Long		16,750		1.9372 GBP
5p ORD		CFD		Long		26,636		1.9341 GBP
5p ORD		SWAP		Long		32,341		1.9309 GBP
5p ORD		CFD		Long		35,878		1.9401 GBP
5p ORD		SWAP		Long		37,404		1.9094 GBP
5p ORD		CFD		Long		50,000		1.9398 GBP
5p ORD		SWAP		Long		52,063		1.9255 GBP
5p ORD		SWAP		Long		55,776		1.9412 GBP
5p ORD		SWAP		Long		60,870		1.9247 GBP
5p ORD		SWAP		Long		71,139		1.9220 GBP
5p ORD		SWAP		Long		79,285		1.9399 GBP
5p ORD		CFD		Long		124,777		1.9423 GBP
5p ORD		SWAP		Long		133,510		1.9254 GBP
5p ORD		SWAP		Long		170,768		1.9420 GBP
5p ORD		CFD		Long		200,000		1.9418 GBP
5p ORD		SWAP		Long		252,813		1.9238 GBP
5p ORD		SWAP		Long		323,390		1.9293 GBP
5p ORD		SWAP		Long		383,505		1.9326 GBP
5p ORD		SWAP		Long		582,280		1.9190 GBP
5p ORD		CFD		Long		927,119		1.9287 GBP
5p ORD		SWAP		Long		927,119		1.9287 GBP
5p ORD		SWAP		Long		936,565		1.9258 GBP
5p ORD		SWAP		Long		1,160,804		1.9321 GBP
5p ORD		CFD		Long		1,358,251		1.9325 GBP
5p ORD		CFD		Short		3,853		1.9116 GBP
5p ORD		CFD		Short		9,863		1.9007 GBP
5p ORD		SWAP		Short		29,132		1.9226 GBP
5p ORD		CFD		Short		49,006		1.9096 GBP
5p ORD		CFD		Short		84,564		1.9421 GBP
5p ORD		CFD		Short		97,035		1.9425 GBP
5p ORD		CFD		Short		200,198		1.9233 GBP
5p ORD		CFD		Short		219,445		1.9419 GBP
5p ORD		SWAP		Short		219,445		1.9419 GBP
5p ORD		CFD		Short		246,352		1.9157 GBP
5p ORD		SWAP		Short		355,755		1.9200 GBP
5p ORD		SWAP		Short		421,383		1.9172 GBP
5p ORD		CFD		Short		600,242		1.9234 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 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

(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:	12 April 2017
Contact name:	Hemika Mistry
Telephone number:	020 7116 3891

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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