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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(c) |
Name of the party to the offer with which exempt |
Capital & Counties Properties plc |
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(d) |
Date position held/dealing undertaken: |
28 Feb 2023 |
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(e) |
In addition to the company in 1(b) above, is the exempt principal |
YES: |
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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 and/or controlled: |
1,763,394 |
0.46% |
368,363 |
0.10% |
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(2) Cash-settled derivatives: |
206,421 |
0.05% |
1,729,709 |
0.45% |
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(3) Stock-settled derivatives (including options) and agreements to purchase/sell: |
97,351 |
0.025% |
0 |
0.00% |
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2,067,166 |
0.54% |
2,098,072 |
0.55% |
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(b) |
Rights to subscribe for new securities (including directors and other executive options) |
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Class of relevant security in relation to |
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Details, including nature of the rights |
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3. |
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER |
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(a) |
Purchase and sales |
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Class of relevant |
Purchase/sale |
Total number of |
Highest price per unit |
Lowest price per unit |
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25p ordinary |
Purchase |
199938 |
4.1874 GBP |
4.1646 GBP |
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25p ordinary |
Sale |
47925 |
4.1920 GBP |
4.1478 GBP |
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(b) |
Cash-settled derivative transactions |
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Class of |
Product description |
Nature of dealing |
Number of |
Price per |
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25p ordinary |
SWAP |
Closing Long |
824 |
4.1478 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
225 |
4.1460 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
242 |
4.1860 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
870 |
4.1741 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
1,222 |
4.1848 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
3,710 |
4.1840 GBP |
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25p ordinary |
SWAP |
Decreasing Short |
9,999 |
4.1792 GBP |
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25p ordinary |
SWAP |
Increasing Long |
3,522 |
4.1742 GBP |
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25p ordinary |
SWAP |
Increasing Short |
116 |
4.1838 GBP |
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25p ordinary |
SWAP |
Increasing Short |
2,496 |
4.1696 GBP |
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25p ordinary |
SWAP |
Increasing Short |
14,952 |
4.1723 GBP |
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25p ordinary |
SWAP |
Increasing Short |
17,471 |
4.1821 GBP |
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25p ordinary |
SWAP |
Increasing Short |
131,862 |
4.1836 GBP |
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25p ordinary |
SWAP |
Opening Long |
9 |
4.1822 GBP |
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25p ordinary |
CFD |
Opening Long |
6,007 |
4.1854 GBP |
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25p ordinary |
SWAP |
Opening Short |
267 |
4.1900 GBP |
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25p ordinary |
SWAP |
Opening Short |
345 |
4.1492 GBP |
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25p ordinary |
SWAP |
Opening Short |
473 |
4.1503 GBP |
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25p ordinary |
SWAP |
Opening Short |
2,128 |
4.1840 GBP |
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25p ordinary |
SWAP |
Opening Short |
5,075 |
4.1855 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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25p ordinary |
Convertible Bond |
Long |
13907.2 |
n/a |
n/a |
30 Mar 2026 |
89.4000 GBP |
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25p ordinary |
Convertible Bond |
Short |
13907.2 |
n/a |
n/a |
30 Mar 2026 |
89.4000 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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(d) |
Other dealings (including subscribing for new securities) |
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Class of relevant |
Nature of Dealings |
Details |
Price per unit (if |
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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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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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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: |
01 Mar 2023 |
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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 |
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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 |
97,351 |
n/a |
n/a |
30-Mar-26 |
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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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