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 |
||||||
(c) |
Name of the party to the offer with which exempt |
Capital & Counties Properties plc |
||||||
(d) |
Date position held/dealing undertaken: |
23 Feb 2023 |
||||||
(e) |
In addition to the company in 1(b) above, is the exempt principal |
YES: |
||||||
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) |
|||||||
|
Interests |
Short Positions |
||||||
Number |
(%) |
Number |
(%) |
|||||
(1) Relevant securities owned and/or controlled: |
1,421,833 |
0.37% |
500,046 |
0.13% |
||||
(2) Cash-settled derivatives: |
329,898 |
0.09% |
1,389,501 |
0.36% |
||||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: |
96,705 |
0.02% |
0 |
0.00% |
||||
|
1,848,436 |
0.48% |
1,889,547 |
0.49% |
||||
|
|
|
|
|
|
|
|
|
(b) |
Rights to subscribe for new securities (including directors and other executive options) |
|||||||
Class of relevant security in relation to |
|
|||||||
Details, including nature of the rights |
|
|||||||
3. |
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER |
|||||||
(a) |
Purchase and sales |
|
|
|
|
|
|
|
Class of relevant |
Purchase/sale |
Total number of |
Highest price per unit |
Lowest price per unit |
||||
25p ordinary |
Purchase |
57702 |
4.1460 GBP |
4.1120 GBP |
||||
25p ordinary |
Sale |
63669 |
4.1380 GBP |
4.1150 GBP |
||||
|
|
|
|
|
|
|
|
|
(b) |
Cash-settled derivative transactions |
|||||||
Class of |
Product description |
Nature of dealing |
Number of |
Price per |
||||
25p ordinary |
SWAP |
Decreasing Long |
12,968 |
4.1120 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
1 |
4.1380 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
1,697 |
4.1277 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
4,298 |
4.1248 GBP |
||||
25p ordinary |
CFD |
Decreasing Short |
5,462 |
4.1263 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
7,691 |
4.1264 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
11,214 |
4.1279 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
6,335 |
4.1256 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
14 |
4.1200 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
172 |
4.1460 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
895 |
4.1324 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
1,182 |
4.1280 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
9,050 |
4.1149 GBP |
||||
25p ordinary |
CFD |
Increasing Short |
20,734 |
4.1283 GBP |
||||
25p ordinary |
SWAP |
Opening Long |
25,307 |
4.1279 GBP |
||||
|
|
|
|
|
|
|
|
|
(c) |
Stock-settled derivative transactions (including options) |
|||||||
(i) |
Writing, selling, purchasing or varying |
|||||||
Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(ii) |
Exercising |
|
|
|
|
|
|
|
Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
||||
|
|
|
|
|
||||
|
|
|
|
|
|
|
|
|
(d) |
Other dealings (including subscribing for new securities) |
|||||||
Class of relevant |
Nature of Dealings |
Details |
Price per unit (if |
|||||
|
|
|
|
|||||
4. |
OTHER INFORMATION |
|||||||
(a) |
Indemnity and other dealings arrangements |
|||||||
Details of any indemnity or option arrangement, or any agreement or understanding, |
||||||||
NONE |
||||||||
(b) |
Agreements, arrangements or understandings relating to options or derivatives |
|||||||
Details of any agreement, arrangement or understanding, formal or informal, between |
||||||||
NONE |
||||||||
(c) |
Attachments |
|||||||
Is a Supplemental Form 8 (Open Positions) attached? |
Yes |
|||||||
Date of disclosure: |
24 Feb 2023 |
|||||||
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 |
96,705 |
n/a |
n/a |
30-Mar-26 |
||
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: |
|
|
|
|
|
|
||
|
||||||||