Form 8.5 (EPT/NON-RI) Brewin Dolphin Holdings plc

RNS Number : 4680H

Barclays PLC

06 April 2022

 

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		BREWIN DOLPHIN HOLDINGS PLC
	relevant securities this form relates:
(c)	Name of the party to the offer with which exempt		Brewin Dolphin Holdings plc
	principal trader is connected
(d)	Date position held/dealing undertaken:		05 April 2022
(e)	In addition to the company in 1(b) above, is the exempt principal		NO
	trader making disclosures in respect of any other party to the 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:			1p ordinary
			Interests		Short Positions
			Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:		3,756,787	1.24%	455,589	0.15%
(2)	Cash-settled derivatives:
			77,898	0.03%	3,428,448	1.13%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:		0	0.00%	0	0.00%
	TOTAL:		3,834,685	1.26%	3,884,037	1.28%

(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:

3.

DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(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

378,457

5.1655 GBP

5.1484 GBP

1p ordinary

Sale

158,425

5.1602 GBP

5.1482 GBP

(b)	Cash-settled derivative transactions
Class of		Product		Nature of dealing		Number of	Price per
relevant		description				reference	unit
security						securities
1p ordinary		CFD		Decreasing Short		352	5.1491 GBP
1p ordinary		SWAP		Decreasing Short		1,000	5.1521 GBP
1p ordinary		SWAP		Decreasing Short		2,000	5.1508 GBP
1p ordinary		SWAP		Decreasing Short		19,929	5.1587 GBP
1p ordinary		CFD		Decreasing Short		72,165	5.1600 GBP
1p ordinary		SWAP		Increasing Long		852	5.1634 GBP
1p ordinary		SWAP		Increasing Short		758	5.1536 GBP
1p ordinary		SWAP		Increasing Short		1,309	5.1626 GBP
1p ordinary		SWAP		Increasing Short		1,466	5.1502 GBP
1p ordinary		SWAP		Increasing Short		2,295	5.1581 GBP
1p ordinary		SWAP		Increasing Short		3,045	5.1639 GBP
1p ordinary		SWAP		Increasing Short		3,095	5.1484 GBP
1p ordinary		SWAP		Increasing Short		3,700	5.1655 GBP
1p ordinary		SWAP		Increasing Short		4,183	5.1640 GBP
1p ordinary		SWAP		Increasing Short		5,217	5.1505 GBP
1p ordinary		SWAP		Increasing Short		7,038	5.1563 GBP
1p ordinary		SWAP		Increasing Short		7,112	5.1567 GBP
1p ordinary		SWAP		Increasing Short		10,656	5.1551 GBP
1p ordinary		SWAP		Increasing Short		12,353	5.1568 GBP
1p ordinary		SWAP		Increasing Short		12,868	5.1553 GBP
1p ordinary		SWAP		Increasing Short		14,292	5.1594 GBP
1p ordinary		SWAP		Increasing Short		16,433	5.1579 GBP
1p ordinary		SWAP		Increasing Short		17,941	5.1555 GBP
1p ordinary		SWAP		Increasing Short		19,321	5.1561 GBP
1p ordinary		SWAP		Increasing Short		20,085	5.1573 GBP
1p ordinary		SWAP		Increasing Short		20,423	5.1584 GBP
1p ordinary		SWAP		Increasing Short		30,863	5.1569 GBP
1p ordinary		SWAP		Increasing Short		35,130	5.1600 GBP
1p ordinary		SWAP		Increasing Short		99,672	5.1603 GBP
1p ordinary		SWAP		Opening Long		7,722	5.1574 GBP
1p ordinary		SWAP		Opening Long		38,839	5.1600 GBP
1p ordinary		SWAP		Opening Short		16,433	5.1579 GBP
1p ordinary		SWAP		Opening Short		35,130	5.1600 GBP

(c)	Stock-settled derivative transactions (including options)
(i)	Writing, selling, purchasing or varying
Class	Product	Writing,	Number	Exercise	Type	Expiry	Option
of	description	purchasing,	of	price		date	money
relevant		selling,	securities	per unit			paid/
security		varying etc	to which				received
			option				per unit
			relates
(ii)	Exercising
Class of relevant		Product description		Exercising/ exercised against		Number of	Exercise price per
security						securities	unit
(d)	Other dealings (including subscribing for new securities)
Class of relevant		Nature of Dealings		Details		Price per unit (if
security						applicable)
4.				OTHER INFORMATION
(a)	Indemnity and other dealings 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:
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 of future acquisition or disposal of any relevant securities to which
any derivative is referenced:
NONE
(c)	Attachments
Is a Supplemental Form 8 (Open Positions) attached?				NO
Date of disclosure:				6 Apr 2022
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

 

END

 

 

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