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: |
02 Mar 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) |
||||||
Class of relevant security: |
25p ordinary |
||||||
|
Interests |
Short Positions |
|||||
Number |
(%) |
Number |
(%) |
||||
(1) Relevant securities owned and/or controlled: |
1,855,803 |
0.48% |
373,734 |
0.10% |
|||
(2) Cash-settled derivatives: |
224,911 |
0.06% |
1,831,615 |
0.48% |
|||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: |
97351.34 |
0.03% |
0 |
0.00% |
|||
|
2,178,065 |
0.57% |
2,205,349 |
0.57% |
|||
|
|
|
|
|
|
|
|
(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 |
128547 |
4.1763 GBP |
4.0173 GBP |
||||
25p ordinary |
Sale |
39087 |
4.1813 GBP |
4.0100 GBP |
||||
|
|
|
|
|
|
|
|
|
(b) |
Cash-settled derivative transactions |
|||||||
Class of |
Product description |
Nature of dealing |
Number of |
Price per |
||||
25p ordinary |
SWAP |
Closing Long |
57 |
4.1870 GBP |
||||
25p ordinary |
SWAP |
Closing Long |
135 |
4.1766 GBP |
||||
25p ordinary |
SWAP |
Closing Long |
1,087 |
4.1077 GBP |
||||
25p ordinary |
SWAP |
Closing Long |
5,789 |
4.0694 GBP |
||||
25p ordinary |
CFD |
Decreasing Long |
7,869 |
4.1623 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
50 |
4.1679 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
3,625 |
4.1183 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
3,773 |
4.1620 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
541 |
4.1688 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
1,096 |
4.0336 GBP |
||||
25p ordinary |
CFD |
Increasing Long |
8,068 |
4.1281 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
5 |
4.1635 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
242 |
4.1010 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
975 |
4.1576 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
1,094 |
4.1330 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
1,766 |
4.1421 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
2,052 |
4.1479 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
4,897 |
4.1567 GBP |
||||
25p ordinary |
SWAP |
Opening Short |
5,274 |
4.1391 GBP |
||||
25p ordinary |
SWAP |
Opening Short |
6,389 |
4.1346 GBP |
||||
25p ordinary |
SWAP |
Opening Short |
7,340 |
4.1620 GBP |
||||
25p ordinary |
SWAP |
Opening Short |
73,011 |
4.1266 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: |
03 Mar 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 |
97351 |
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: |
|
|
|
|
|
|
||
|
||||||||