FORM 8.5 (EPT/NON-RI) |
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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: |
01 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: |
1,291,443 |
0.34% |
1,227,169 |
0.32% |
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(2) |
Cash-settled derivatives: |
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941,103 |
0.24% |
1,099,136 |
0.29% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
317,746 |
0.08% |
0 |
0.00% |
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TOTAL: |
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2,550,292 |
0.66% |
2,326,305 |
0.61% |
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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 |
96,937 |
3.6160 GBP |
3.524 GBP |
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25p ordinary |
Sale |
86130 |
3.6857 GBP |
3.531 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 |
CFD |
Decreasing Long |
1,081 |
3.5950 GBP |
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25p ordinary |
CFD |
Decreasing Long |
3,134 |
3.5462 GBP |
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25p ordinary |
CFD |
Decreasing Long |
5,579 |
3.5538 GBP |
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25p ordinary |
CFD |
Decreasing Long |
28,290 |
3.5660 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
19 |
3.5560 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
46 |
3.5440 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
196 |
3.6200 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
200 |
3.5570 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
208 |
3.5380 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
211 |
3.6160 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
409 |
3.5465 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
878 |
3.5614 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
965 |
3.5268 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
971 |
3.6250 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
1,126 |
3.5466 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
1,936 |
3.5765 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
2,084 |
3.5875 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
2,199 |
3.6131 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
2,199 |
3.6170 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
2,641 |
3.5628 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
2,799 |
3.5658 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
2,838 |
3.5705 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
3,012 |
3.5741 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
3,347 |
3.5761 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
3,488 |
3.5675 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
3,992 |
3.5733 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
4,021 |
3.5830 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
4,290 |
3.5866 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
4,674 |
3.5955 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
4,752 |
3.5391 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
7,153 |
3.5639 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
7,965 |
3.5499 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
8,098 |
3.5604 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
15,286 |
3.5640 GBP |
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25p ordinary |
SWAP |
Increasing Short |
5 |
3.6999 GBP |
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25p ordinary |
SWAP |
Increasing Short |
980 |
3.5921 GBP |
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25p ordinary |
SWAP |
Increasing Short |
3,907 |
3.6031 GBP |
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25p ordinary |
SWAP |
Increasing Short |
4,656 |
3.5564 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 |
Short |
13815.04 |
n/a |
n/a |
30-Mar-26 |
82 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: |
2 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. |
||||||||
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 |
|||||||
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 |
317746.021 |
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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