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 |
SHAFTESBURY PLC |
||||||
|
relevant securities this form relates: |
|||||||
(c) |
Name of the party to the offer with which exempt |
CAPITAL & COUNTIES PROPERTIES PLC |
||||||
|
principal trader is connected |
|
||||||
(d) |
Date position held/dealing undertaken: |
17 June 2022 |
||||||
(e) |
In addition to the company in 1(b) above, is the exempt principal |
YES: |
|
|
||||
|
trader making disclosures in respect of any other party to the offer? |
CAPITAL & COUNTIES PROPERTIES PLC |
||||||
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: |
25p ordinary |
|
|
|||||
|
Interests |
Short Positions |
||||||
|
Number |
(%) |
Number |
(%) |
||||
(1) |
Relevant securities owned |
|
|
|
|
|||
|
and/or controlled: |
256,038 |
0.07% |
2,815,052 |
0.73% |
|||
|
|
|
|
|
|
|
||
(2) |
Cash-settled derivatives: |
|
|
|
|
|||
|
|
|
4,771,478 |
1.24% |
88,101 |
0.02% |
||
|
|
|
|
|
|
|
||
(3) |
Stock-settled derivatives (including options) |
|
|
|
|
|||
|
and agreements to purchase/sell: |
0 |
0.00% |
0 |
0.00% |
|||
|
|
|
|
|
|
|
||
|
|
|
|
|
|
|||
|
TOTAL: |
|
5,027,516 |
1.31% |
2,903,153 |
0.76% |
||
|
|
|
|
|
|
|
||
(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 |
|
25p ordinary |
Purchase |
446,800 |
5.5000 GBP |
5.395 GBP |
||||
25p ordinary |
Sale |
435,648 |
5.5020 GBP |
5.4007 GBP |
||||
|
|
|
|
|
|
|
|
|
(b) |
Cash-settled derivative transactions |
|
|
|
|
|||
Class of |
|
Product |
|
Nature of dealing |
|
Number of |
Price per |
|
relevant |
|
description |
|
|
|
reference |
unit |
|
security |
|
|
|
|
|
securities |
|
|
25p ordinary |
CFD |
Decreasing Long |
1 |
5.3500 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
6 |
5.4516 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
116 |
5.4500 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
400 |
5.4799 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
590 |
5.4121 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
932 |
5.5020 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
1,545 |
5.4476 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
1,646 |
5.4471 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
3,330 |
5.4487 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
4,998 |
5.4341 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
5,206 |
5.4708 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
11,159 |
5.4539 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
11,531 |
5.4356 GBP |
||||
25p ordinary |
SWAP |
Decreasing Long |
26,915 |
5.4313 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
129,512 |
5.4495 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
207,179 |
5.4512 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
1,512 |
5.4168 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
4,649 |
5.4618 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
4,776 |
5.4468 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
8,506 |
5.4359 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
46,461 |
5.4505 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
57,362 |
5.4604 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? |
YES |
|||||||
Date of disclosure: |
20 Jun 2022 |
|
|
|
||||
Contact name: |
Large Holdings Regulatory Operations |
|
||||||
Telephone number: |
020 3134 7213 |
|
|
|
||||
|
|
|
|
|
|
|
|
|
SUPPLEMENTAL FORM 8 (OPEN POSITIONS) |
||||||||
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO |
||||||||
PURCHASE OR SELL ETC. |
||||||||
Note 5(i) on Rule 8 of the Takeover Code (the "Code") |
||||||||
1. |
KEY INFORMATION |
|||||||
Identity of the person whose positions/dealings |
BARCLAYS CAPITAL SECURITIES LTD |
|||||||
are being disclosed: |
|
|||||||
Name of offeror/offeree in relation to whose |
SHAFTESBURY PLC |
|||||||
relevant securities this from relates: |
||||||||
2. |
OPTIONS AND DERIVATIVES |
|||||||
Class |
|
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
|
of |
|
description |
purchasing, |
of |
price |
|
date |
|
relevant |
|
|
selling, |
securities |
per unit |
|
|
|
security |
|
|
varying etc |
to which |
|
|
|
|
|
|
|
|
option |
|
|
|
|
|
|
|
|
relates |
|
|
|
|
25p ordinary |
Exchangeable Bond |
Long |
456097.65 |
n/a |
n/a |
30 Mar 2026 |
||
3. |
AGREEMENTS TO PURCHASE OR SELL ETC. |
|||||||
Full details should be given so that the nature of the interest or position can be fully |
||||||||
understood: |
|
|
|
|
|
|
||
|
||||||||