FORM 8.5 (EPT/NON-RI) Amendment to Sale |
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN |
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EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS |
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(OR WHERE RI STATUS IS NOT APPLICABLE) |
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Rule 8.5 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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(a) |
Name of exempt principal trader: |
BARCLAYS CAPITAL SECURITIES LTD |
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(b) |
Name of offeror/offeree in relation to whose |
SHAFTESBURY PLC |
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relevant securities this form relates: |
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(c) |
Name of the party to the offer with which exempt |
Capital & Counties Properties plc |
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principal trader is connected |
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(d) |
Date position held/dealing undertaken: |
19 December 2022 |
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(e) |
In addition to the company in 1(b) above, is the exempt principal |
YES: |
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trader making disclosures in respect of any other party to the offer? |
CAPITAL & COUNTIES PROPERTIES PLC |
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2. |
POSITIONS OF THE EXEMPT PRINCIPAL TRADER |
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(a) |
Interests and short positions in the relevant securities of the offeror or offeree |
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to which the disclosure relates following the dealing (if any) |
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Class of relevant security: |
25p ordinary |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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and/or controlled: |
2,024,339 |
0.53% |
762,367 |
0.20% |
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(2) |
Cash-settled derivatives: |
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681,318 |
0.18% |
1,706,994 |
0.44% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
2,895,394 |
0.75% |
0 |
0.00% |
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TOTAL: |
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5,601,051 |
1.46% |
2,469,361 |
0.64% |
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(b) |
Rights to subscribe for new securities (including directors and other executive |
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options) |
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Class of relevant security in relation to |
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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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3. |
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER |
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(a) |
Purchases and sales |
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Class of relevant |
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Purchase/sale |
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Total number of |
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Highest price per unit |
Lowest price per unit |
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security |
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securities |
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paid/received |
paid/received |
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25p ordinary |
Purchase |
51,927 |
3.6340 GBP |
3.5431 GBP |
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25p ordinary |
Sale |
58,625 |
3.6340 GBP |
3.554 GBP |
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(b) |
Cash-settled derivative transactions |
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Class of |
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Product |
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Nature of dealing |
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Number of |
Price per |
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relevant |
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description |
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reference |
unit |
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security |
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securities |
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25p ordinary |
SWAP |
Decreasing Short |
110 |
3.5789 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
117 |
3.6159 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
177 |
3.5799 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
348 |
3.5279 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
382 |
3.5700 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
630 |
3.5634 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
2,024 |
3.6265 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
3,770 |
3.5397 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
8,591 |
3.5864 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
11,216 |
3.5778 GBP |
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25p ordinary |
CFD |
Increasing Short |
9 |
3.6100 GBP |
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25p ordinary |
SWAP |
Increasing Short |
32 |
3.6155 GBP |
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25p ordinary |
SWAP |
Increasing Short |
200 |
3.6000 GBP |
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25p ordinary |
SWAP |
Increasing Short |
206 |
3.6120 GBP |
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25p ordinary |
SWAP |
Increasing Short |
230 |
3.6030 GBP |
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25p ordinary |
SWAP |
Increasing Short |
239 |
3.6069 GBP |
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25p ordinary |
SWAP |
Increasing Short |
261 |
3.5960 GBP |
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25p ordinary |
SWAP |
Increasing Short |
262 |
3.6213 GBP |
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25p ordinary |
SWAP |
Increasing Short |
271 |
3.6260 GBP |
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25p ordinary |
SWAP |
Increasing Short |
271 |
3.5370 GBP |
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25p ordinary |
SWAP |
Increasing Short |
289 |
3.5980 GBP |
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25p ordinary |
SWAP |
Increasing Short |
302 |
3.6206 GBP |
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25p ordinary |
SWAP |
Increasing Short |
728 |
3.5692 GBP |
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25p ordinary |
CFD |
Increasing Short |
896 |
3.5562 GBP |
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25p ordinary |
SWAP |
Increasing Short |
1,029 |
3.5785 GBP |
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25p ordinary |
SWAP |
Increasing Short |
1,906 |
3.5595 GBP |
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25p ordinary |
SWAP |
Increasing Short |
2,000 |
3.6340 GBP |
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25p ordinary |
SWAP |
Increasing Short |
2,037 |
3.6340 GBP |
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25p ordinary |
SWAP |
Increasing Short |
2,432 |
3.6295 GBP |
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25p ordinary |
SWAP |
Increasing Short |
2,825 |
3.6320 GBP |
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25p ordinary |
SWAP |
Increasing Short |
2,984 |
3.6049 GBP |
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25p ordinary |
SWAP |
Increasing Short |
3,139 |
3.6186 GBP |
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25p ordinary |
CFD |
Increasing Short |
5,589 |
3.6337 GBP |
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25p ordinary |
SWAP |
Increasing Short |
6,628 |
3.6197 GBP |
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25p ordinary |
CFD |
Increasing Short |
7,671 |
3.6136 GBP |
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(c) |
Stock-settled derivative transactions (including options) |
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(i) |
Writing, selling, purchasing or varying |
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Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
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of |
description |
purchasing, |
of |
price |
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date |
money |
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relevant |
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selling, |
securities |
per unit |
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paid/ |
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security |
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varying etc |
to which |
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received |
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option |
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per unit |
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relates |
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25p ordinary |
Exchangeable Bond |
Long |
69075.22 |
n/a |
n/a |
30 Mar 2026 |
84 GBP |
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25p ordinary |
Exchangeable Bond |
Short |
41445.13 |
n/a |
n/a |
30 Mar 2026 |
84.75 GBP |
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(ii) |
Exercising |
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Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
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security |
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securities |
unit |
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(d) |
Other dealings (including subscribing for new securities) |
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Class of relevant |
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Nature of Dealings |
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Details |
Price per unit (if |
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security |
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applicable) |
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4. |
OTHER INFORMATION |
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(a) |
Indemnity and other dealings arrangements |
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Details of any indemnity or option arrangement, or any agreement or understanding, |
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formal or informal, relating to relevant securities which may be an inducement to deal |
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or refrain from dealing entered into by the exempt principal trader making the disclosure and any party |
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to the offer or any person acting in concert with a party to the offer: |
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NONE |
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(b) |
Agreements, arrangements or understandings relating to options or derivatives |
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Details of any agreement, arrangement or understanding, formal or informal, between |
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the exempt principal trader making the disclosure and any other person relating to: |
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(i) the voting rights of any relevant securities under any option; or |
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(ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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any derivative is referenced: |
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NONE |
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(c) |
Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? |
Yes |
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Date of disclosure: |
21 Dec 2022 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |
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SUPPLEMENTAL FORM 8 (OPEN POSITIONS) |
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DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO |
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PURCHASE OR SELL ETC. |
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Note 5(i) on Rule 8 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
|||||||
Identity of the person whose positions/dealings |
BARCLAYS CAPITAL SECURITIES LTD |
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are being disclosed: |
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Name of offeror/offeree in relation to whose |
SHAFTESBURY PLC |
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relevant securities this from relates: |
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2. |
OPTIONS AND DERIVATIVES |
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Class |
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Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
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of |
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description |
purchasing, |
of |
price |
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date |
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relevant |
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selling, |
securities |
per unit |
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security |
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varying etc |
to which |
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option |
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relates |
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25p ordinary |
Exchangeable Bond |
Long |
2,895,394 |
n/a |
n/a |
30 Mar 2026 |
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3. |
AGREEMENTS TO PURCHASE OR SELL ETC. |
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Full details should be given so that the nature of the interest or position can be fully |
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understood: |
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