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: |
03 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: |
1,860,008 |
0.48% |
359,625 |
0.09% |
||||
(2) Cash-settled derivatives: |
225,082 |
0.06% |
1,812,385 |
0.47% |
||||
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: |
97351.34 |
0.03% |
0 |
0.00% |
||||
|
2,182,441 |
0.57% |
2,172,010 |
0.56% |
||||
|
|
|
|
|
|
|
|
|
(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 |
1609808 |
4.2160 GBP |
4.1312 GBP |
||||
25p ordinary |
Sale |
1591494 |
4.2164 GBP |
4.0961 GBP |
||||
|
|
|
|
|
|
|
|
|
(b) |
Cash-settled derivative transactions |
|||||||
Class of |
Product description |
Nature of dealing |
Number of |
Price per |
||||
25p ordinary |
CFD |
Closing Long |
17,394 |
4.2156 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
45 |
4.1379 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
898 |
4.1559 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
1,255 |
4.1877 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
1,584 |
4.2021 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
1,631 |
4.1899 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
2,000 |
4.1620 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
5,585 |
4.1744 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
7,322 |
4.2159 GBP |
||||
25p ordinary |
SWAP |
Decreasing Short |
77,991 |
4.2160 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
526 |
4.2034 GBP |
||||
25p ordinary |
SWAP |
Increasing Long |
7,445 |
4.1545 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
9 |
4.1956 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
25 |
4.1960 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
529 |
4.1660 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
963 |
4.1779 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
2,577 |
4.1872 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
3,850 |
4.1758 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
4,127 |
4.2160 GBP |
||||
25p ordinary |
SWAP |
Increasing Short |
46,724 |
4.1480 GBP |
||||
25p ordinary |
CFD |
Opening Short |
45,471 |
4.1706 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: |
06 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: |
|
|
|
|
|
|
||
|
||||||||