Rule 8.3 - NORTHERN ROCK PLC
FORM 8.3
DEALINGS BY PERSONS WITH INTERESTS IN SECURITIES REPRESENTING 1% OR MORE
(Rule 8.3 of the City Code on Takeovers and Mergers)
1. KEY INFORMATION
Name of person dealing BARCLAYS PLC
(Note 1)
Company dealt in NORTHERN ROCK PLC
Class of relevant security ORD GBP0.25
to which the dealings being
disclosed relate (Note 2)
Date of dealing 27 September 2007
2. INTERESTS, SHORT POSITIONS AND RIGHTS TO SUBSCRIBE
(a) Interests and short positions (following dealing) in the class of relevant
security dealt in (Note 3)
Long Short
Number (%) Number (%)
(1) Relevant 23,962,304 5.69% 653,512 0.16%
securities
(2) Derivatives 1,823,491 0.43% 990,745 0.24%
(other than
options)
(3) Options and 22,319 0.01% 0 0.00%
agreements to
purchase/sell
Total 25,808,114 6.13% 1,644,257 0.39%
(b) Interests and short positions in relevant securities of the company, other
than the class dealt in (Note 3)
Class of Long Short
relevant
security:
Number (%) Number (%)
(1) Relevant
securities
(2) Derivatives
(other than
options)
(3) Options and
agreements to
purchase/sell
Total
(c) Rights to subscribe (Note 3)
Class of relevant security: Details
3. DEALINGS (Note 4)
(a) Purchases and sales
Purchase/sale Number of Securities Price per unit
(GBP)
Purchase 100 1.9200
Purchase 250 1.9380
Purchase 5,189 1.9270
Purchase 2,000 1.9330
Purchase 3,112 1.9280
Purchase 15,628 1.9100
Purchase 4,500 1.9690
Purchase 509 1.9310
Purchase 3,000 1.9700
Purchase 1,000 1.9526
Purchase 255 1.9567
Purchase 513 1.9480
Purchase 1,000 1.9556
Purchase 2,953 1.9500
Purchase 5,000 1.9130
Purchase 10,000 1.9150
Purchase 3,000 1.9170
Purchase 854 1.9887
Purchase 20,000 1.9490
Purchase 5,016 1.9810
Purchase 5,000 1.9560
Purchase 2,596 1.9257
Purchase 10,291 1.9330
Purchase 1,000 1.7640
Purchase 5,192 1.9150
Purchase 408 1.9490
Purchase 500 1.9508
Purchase 2,593 1.9140
Purchase 761 1.9696
Purchase 3,000 1.9270
Purchase 510 1.9350
Purchase 13,020 1.9200
Purchase 95 1.9497
Purchase 492 1.9850
Purchase 365 1.9160
Purchase 102 1.9598
Purchase 2,525 1.9800
Purchase 254 1.9680
Purchase 500 1.9300
Purchase 526 1.8990
Purchase 2,000 1.9130
Purchase 4,000 1.9530
Purchase 1,023 1.9547
Purchase 260 1.9180
Purchase 1,500 1.8990
Purchase 769 1.9250
Purchase 445 1.9790
Purchase 300 1.9638
Purchase 1,000 1.9270
Purchase 500 1.9100
Purchase 250 1.9377
Purchase 4,672 1.9260
Purchase 500 1.9530
Purchase 2,000 1.9090
Purchase 128 1.9490
Purchase 2,000 1.9800
Purchase 387 1.9100
Purchase 49 1.9540
Purchase 685 1.9498
Purchase 251 1.9300
Purchase 76 1.9736
Purchase 2,600 1.9100
Purchase 11,700 1.8300
Purchase 2,604 1.9200
Purchase 517 1.8990
Purchase 3,772 1.9880
Purchase 1,015 1.9700
Purchase 150 1.9874
Purchase 500 1.9150
Purchase 1,000 1.9840
Purchase 20,000 1.9277
Purchase 5,211 1.9190
Purchase 1,368 1.9858
Purchase 2,000 1.9140
Purchase 3,000 1.9110
Purchase 200 1.9227
Purchase 2,000 1.9200
Purchase 3,505 1.9850
Purchase 4,076 1.9510
Purchase 244 1.9850
Purchase 250 1.9120
Purchase 7,086 1.9640
Purchase 757 1.9800
Purchase 3,021 1.9860
Purchase 5,378 1.8500
Purchase 1,300 1.9297
Purchase 52 1.9190
Purchase 125 1.8942
Purchase 1,712 1.9270
Purchase 1,867 1.9510
Purchase 247 1.9860
Purchase 1,798 1.9300
Purchase 239 1.9472
Purchase 276 1.9490
Purchase 500 1.9330
Purchase 504 1.9497
Purchase 1,000 1.7640
Purchase 481 1.9240
Purchase 2,026 1.9600
Purchase 420 1.9000
Purchase 400 1.9648
Purchase 1,000 1.8850
Purchase 259 1.9278
Purchase 92 1.9530
Purchase 1,554 1.9302
Purchase 1,034 1.9330
Purchase 96 1.9876
Purchase 503 1.9846
Purchase 745 1.9260
Purchase 101 1.9636
Purchase 245 1.9793
Purchase 97 1.9278
Purchase 117 1.9556
Purchase 258 1.9600
Purchase 3,842 1.9390
Purchase 5,000 1.9380
Purchase 500 1.9120
Purchase 750 1.9300
Purchase 212 1.9600
Purchase 21 1.9840
Purchase 5,000 1.9800
Purchase 987 1.9917
Purchase 1,500 1.9617
Purchase 94 1.9700
Purchase 1,193 1.9270
Purchase 993 2.0121
Purchase 5,000 1.9550
Purchase 1,000 1.9480
Purchase 255 1.9567
Purchase 250 1.9242
Purchase 5,000 1.9680
Purchase 2,000 1.9140
Purchase 72 1.9480
Purchase 1,100 1.9297
Purchase 1,000 1.9580
Purchase 1,546 1.9224
Purchase 2,000 1.9600
Purchase 4,717 1.9500
Purchase 2,000 1.9800
Purchase 1,023 1.9380
Purchase 462 1.9197
Purchase 2,497 1.9870
Purchase 1,500 1.9680
Purchase 3,900 1.9190
Purchase 25,000 1.9290
Purchase 379 1.9490
Purchase 396 1.9640
Purchase 4,505 1.9860
Purchase 245 1.9180
Purchase 520 1.9350
Purchase 5,720 1.9120
Purchase 303 1.9270
Purchase 3,000 1.9190
Purchase 3,200 1.9500
Purchase 644 1.9900
Purchase 800 1.9834
Purchase 2,498 1.9880
Purchase 2,615 1.8990
Purchase 1,000 1.9888
Purchase 119 1.9500
Purchase 2,586 1.9330
Purchase 1,000 1.9150
Purchase 875 1.9500
Purchase 5,000 1.8990
Purchase 1,111 1.9590
Purchase 195 1.9740
Purchase 2,000 1.9280
Purchase 521 1.9190
Purchase 700 1.9292
Purchase 95 1.9490
Purchase 1,000 1.9287
Purchase 1,000 1.9240
Purchase 51 1.9480
Purchase 94 1.9877
Purchase 514 1.9200
Purchase 2,212 1.9730
Purchase 100 1.9570
Purchase 3,000 1.9150
Purchase 5,160 1.9260
Purchase 3,000 1.9300
Purchase 1,029 1.9697
Purchase 1,037 1.9280
Purchase 9,000 1.8430
Purchase 1,000 1.9547
Purchase 513 1.9240
Purchase 234 1.9624
Purchase 507 1.9690
Purchase 102,301 1.9550
Purchase 1,014 1.9500
Purchase 3,523 1.9750
Purchase 1,500 1.9640
Purchase 545 1.9840
Purchase 3,817 1.9528
Purchase 2,552 1.9590
Purchase 97 1.9190
Purchase 500 1.9270
Purchase 40 1.9567
Purchase 1,500 1.9548
Purchase 557 1.9200
Purchase 5,000 1.9372
Purchase 2,534 1.9600
Purchase 2,000 1.9220
Purchase 1,000 1.9490
Purchase 755 1.9590
Purchase 991 1.9878
Purchase 2,000 1.9320
Purchase 364 1.9190
Purchase 1,300 1.6980
Purchase 800 1.9470
Purchase 148 1.9287
Purchase 2,011 1.9610
Purchase 756 1.9960
Purchase 251 1.9452
Purchase 496 1.9785
Purchase 614 1.9305
Purchase 326 1.9850
Purchase 2,000 1.9270
Purchase 2,594 1.9270
Purchase 5,078 1.9690
Purchase 5,000 1.9150
Purchase 10,000 1.9150
Purchase 503 1.9858
Purchase 906 1.9310
Purchase 1,000 1.9580
Purchase 2,000 1.9100
Purchase 508 1.9350
Purchase 248 1.9550
Purchase 3,000 1.9810
Purchase 295 1.9740
Purchase 3,614 1.9250
Purchase 194,436 1.9476
Purchase 413 1.9340
Purchase 255 1.9560
Purchase 1,500 1.9138
Purchase 1,300 1.9330
Purchase 251 1.9270
Purchase 332 1.9100
Purchase 7,000 1.9200
Purchase 784 1.9130
Purchase 3,100 1.9350
Purchase 9,000 1.8430
Purchase 754 1.9620
Purchase 477 1.9548
Purchase 6,000 1.9570
Purchase 518 1.9300
Purchase 5,109 1.9570
Purchase 500 1.9640
Purchase 499 1.9680
Purchase 259 1.9266
Purchase 4,692 1.9180
Purchase 257 1.9452
Purchase 5,189 1.9270
Purchase 2,598 1.9240
Purchase 514 1.9200
Purchase 3,368 1.9600
Purchase 253 1.9190
Purchase 6,261 1.9050
Purchase 577 1.9605
Purchase 2,590 1.9300
Purchase 26 1.9497
Purchase 509 1.9300
Purchase 2,586 1.9330
Purchase 379 1.9490
Purchase 500 1.9880
Purchase 5,000 1.9180
Purchase 4,127 1.9270
Purchase 2,319 1.9870
Purchase 514 1.9448
Purchase 1,000 1.9274
Purchase 1,783 1.9000
Purchase 1,500 1.8850
Purchase 3,000 1.9290
Purchase 1,542 1.9448
Purchase 3,045 1.9700
Purchase 5,000 1.9190
Purchase 2,564 1.9500
Purchase 4,500 1.8990
Purchase 380 1.9278
Purchase 1,008 1.9500
Purchase 2,000 1.9668
Purchase 500 1.9800
Purchase 20,768 1.9260
Purchase 1,500 1.9190
Purchase 253 1.9710
Purchase 5,000 1.9700
Purchase 3,813 1.9540
Purchase 2,000 1.9190
Purchase 1,000 1.9270
Sale 5,000 1.9550
Sale 650 2.0000
Sale 102,301 1.9650
Sale 462 1.8970
Sale 1,000 1.9320
Sale 1,000 1.9480
Sale 900 1.9304
Sale 3,000 1.9410
Sale 500 1.9812
Sale 886 1.9150
Sale 30,000 1.9230
Sale 1,000 1.9348
Sale 1,500 1.9504
Sale 72 1.9460
Sale 500 1.9644
Sale 1,000 1.9320
Sale 2,741 1.9900
Sale 250 1.9290
Sale 1,775 1.9780
Sale 4,500 1.9670
Sale 500 1.9910
Sale 2,000 1.9430
Sale 195 1.9484
Sale 300 1.9100
Sale 1,500 1.9300
Sale 1,050 1.9250
Sale 981 1.9400
Sale 500 1.9400
Sale 175 1.9600
Sale 3,000 1.9560
Sale 2,000 1.9170
Sale 2,849 1.9310
Sale 2,000 1.9830
Sale 644 2.0000
Sale 10,000 1.9700
Sale 40 Transfer
Sale 2,485 1.8750
Sale 1,000 1.9410
Sale 5,000 1.9100
Sale 200 1.9450
Sale 5,000 1.9460
Sale 2,785 1.9780
Sale 4,000 1.9500
Sale 500 2.0250
Sale 521 1.9200
Sale 1,573 1.9854
Sale 1,369 1.9050
Sale 4,000 1.9060
Sale 5,000 1.9300
Sale 901 1.9950
Sale 269 1.9200
Sale 3,000 1.9620
Sale 1,603 1.9510
Sale 500 1.9000
Sale 100 1.9020
Sale 2,353 1.9420
Sale 1,500 1.9835
Sale 2,500 1.9220
Sale 232 1.9300
Sale 1,100 1.9350
Sale 500 1.9110
Sale 5,000 1.9000
Sale 1,000 1.9602
Sale 1,000 1.9520
Sale 160 1.9800
Sale 1,459 1.9380
Sale 4,286 1.9500
Sale 7,000 1.9290
Sale 2,000 1.9400
Sale 1,000 1.9530
Sale 618 1.9503
Sale 3,900 1.9280
Sale 1,000 1.9300
Sale 5,218 1.9180
Sale 3,021 1.9810
Sale 1,132 1.9233
Sale 500 1.9670
Sale 13,263 1.8760
Sale 1,000 1.9513
Sale 7,581 1.9310
Sale 710 Transfer
Sale 1,142 1.9504
Sale 5,189 1.9490
Sale 271 1.9190
Sale 8,000 1.9150
Sale 1,342 2.0000
Sale 1,169 1.9350
Sale 555 1.9503
Sale 2,500 1.9080
Sale 2,000 1.9074
Sale 3,233 1.9830
Sale 3,731 1.9810
Sale 500 1.9300
Sale 6,500 1.9350
Sale 2,594 1.9260
Sale 3,112 1.9780
Sale 1,500 1.9502
Sale 5,000 1.9800
Sale 1,111 1.9310
Sale 1,000 1.9500
Sale 1,000 1.9120
Sale 588 1.9350
Sale 1,400 1.9484
Sale 3,000 1.9460
Sale 2,000 1.9810
Sale 1,147 1.9404
Sale 28,301 1.9500
Sale 5,000 1.9530
Sale 2,000 1.9330
Sale 2,596 1.9770
Sale 24,500 1.9170
Sale 500 1.9280
Sale 500 1.9280
Sale 400 1.9280
Sale 1,200 1.9280
Sale 1,100 1.9280
Sale 1,200 1.9280
Sale 1,000 1.9280
Sale 1,200 1.9280
Sale 493 1.9492
Sale 700 1.9280
Sale 244 1.9492
Sale 500 1.9280
Sale 500 1.9280
Sale 324 1.9500
Sale 350 1.9280
Sale 550 1.9280
Sale 500 1.9280
Sale 750 1.9280
Sale 3,000 1.9280
Sale 750 1.9280
Sale 315 1.9280
Sale 250 1.9492
Sale 800 1.9280
Sale 880 1.9210
Sale 525 1.9280
Sale 1,000 1.9210
Sale 1,400 1.9280
Sale 500 1.9780
Sale 500 1.9210
Sale 500 1.9280
Sale 4,127 1.9850
Sale 1,000 1.9620
Sale 10,432 1.9180
Sale 200 1.9780
Sale 1,033 1.9620
Sale 200 1.9503
Sale 673 1.9180
Sale 200 1.9790
Sale 533 1.9483
Sale 500 1.9820
Sale 3,184 1.9810
Sale 235 1.9350
Sale 380 1.9564
Sale 500 1.9900
Sale 600 1.9280
Sale 500 1.9280
Sale 425 1.9280
Sale 250 1.9280
Sale 900 1.9210
Sale 2,250 1.9280
Sale 2,000 1.9280
Sale 3,000 1.9810
Sale 800 1.9280
Sale 252 1.9020
Sale 1,460 1.9570
Sale 3,045 1.9450
Sale 209 1.9555
Sale 15,000 1.9460
Sale 547 1.9066
Sale 500 1.9280
Sale 600 1.9280
Sale 1,100 1.9280
Sale 750 1.9280
Sale 1,000 1.9280
Sale 275 1.9280
Sale 850 1.9280
Sale 2,900 1.9280
Sale 500 1.9210
Sale 1,500 1.9280
Sale 3,000 1.9280
Sale 1,000 1.9670
Sale 500 1.9280
Sale 9,000 1.9280
Sale 400 1.9280
Sale 350 1.9492
Sale 369 1.9492
Sale 200,789 1.9374
Sale 500 1.9280
Sale 500 1.9280
Sale 2,500 1.9280
Sale 1 1.9400
Sale 600 1.9280
Sale 550 1.9280
Sale 550 1.9280
Sale 965 1.9210
Sale 750 1.9280
Sale 500 1.9280
Sale 490 1.9280
Sale 400 1.9280
Sale 1,940 1.9210
Sale 1,500 1.9280
Sale 400 1.9280
Sale 675 1.9280
Sale 2,804 1.9500
Sale 500 1.9280
Sale 600 1.9280
Sale 500 1.9280
Sale 950 1.9210
Sale 820 1.9280
Sale 600 1.9280
Sale 430 1.9210
Sale 550 1.9280
Sale 250 1.9280
Sale 1,000 1.9280
Sale 800 1.9280
Sale 413 1.9210
Sale 1,400 1.9280
Sale 2,000 1.9280
Sale 450 1.9280
Sale 750 1.9280
Sale 1,500 1.9280
Sale 980 1.9250
Sale 500 1.9280
Sale 1,400 1.9280
Sale 650 1.9210
Sale 500 1.9280
Sale 550 1.9280
Sale 375 1.9280
Sale 184,541 1.9508
Sale 550 1.9280
Sale 375 1.9280
Sale 525 1.9280
Sale 2,100 1.9280
Sale 500 1.9074
Sale 1,000 1.9642
Sale 2,840 1.9300
Sale 3,523 1.9810
Sale 141 2.0000
Sale 4,500 1.9340
Sale 400 1.9280
Sale 3,521 1.9670
Sale 1,500 1.9620
Sale 1,147 1.9480
Sale 708 1.9310
Sale 100 1.9110
Sale 4,078 1.9300
Sale 600 1.9300
Sale 888 1.9623
Sale 4,535 1.9880
Sale 250 1.9230
Sale 1,206 1.9614
Sale 388 1.9850
Sale 3,200 1.9230
Sale 422 1.9300
Sale 1,112 1.9902
Sale 3,500 1.9000
Sale 8,269 1.9200
Sale 183 1.9800
Sale 4,000 1.9910
Sale 3,614 1.9540
Sale 524 1.9110
Sale 690 1.9520
Sale 3,000 1.9700
Sale 3,066 1.9850
Sale 2,000 1.9350
Sale 2,500 1.9510
Sale 1,351 1.9900
Sale 3,505 1.9380
Sale 531 2.0000
Sale 1,201 1.9700
Sale 2,500 1.9300
Sale 675 1.9065
Sale 1,000 1.9622
Sale 5,400 1.9850
Sale 500 1.9060
Sale 6,000 1.9780
Sale 250 1.9604
Sale 30,000 1.9200
Sale 2,000 1.9640
Sale 1,500 1.9502
Sale 1,000 1.9810
Sale 387 1.9502
Sale 1,000 2.0000
Sale 347 1.9300
Sale 527 1.9000
Sale 750 1.9200
Sale 254 1.9810
Sale 1,000 1.9650
Sale 1,800 1.9500
Sale 632 1.9348
Sale 5,000 1.9400
Sale 55,096 1.9050
Sale 700 1.9300
Sale 2,700 1.9320
Sale 560 1.9780
Sale 1,212 1.9020
Sale 250 1.9780
Sale 7,295 1.9280
Sale 2,052 1.9470
Sale 617 2.0000
Sale 502 1.9563
Sale 250 1.9810
Sale 1,500 1.9300
Sale 1,262 1.9310
Sale 785 1.9540
Sale 993 1.9570
Sale 5,000 1.9000
Sale 1,000 1.9400
Sale 27,225 1.9320
Sale 1,783 1.9250
Sale 1,000 2.0000
Sale 6,261 1.9420
Sale 350 1.9230
Sale 525 1.9180
Sale 781 1.9350
Sale 2,000 2.0000
Sale 3,010 1.9520
Sale 2,552 1.9050
Sale 100 2.0000
Sale 1,563 1.9200
Sale 178 1.9484
Sale 204 1.9702
Sale 1,000 1.9800
Sale 4,000 1.9900
Sale 750 1.9500
Sale 1,445 1.9560
Sale 500 1.9663
Sale 1,308 1.9500
Sale 6,000 1.9260
Sale 5,000 1.9460
Sale 2,000 1.9470
Sale 2,500 1.9340
Sale 500 1.9790
Sale 11,209 1.9300
Sale 6,920 1.9660
Sale 1,393 1.9300
Sale 502 1.9852
Sale 7,000 1.9220
Sale 721 1.9250
Sale 250 2.0000
Sale 266 2.0000
Sale 5,063 1.9900
Sale 517 1.9900
Sale 3,100 1.9050
Sale 1,000 1.9900
Sale 2,684 1.9860
Sale 300 1.9010
Sale 5,000 1.9260
Sale 500 1.9310
Sale 582 1.9300
Sale 379 2.0250
Sale 1,146 1.9503
Sale 1,500 1.9814
Sale 1,000 1.9503
Sale 51,339 1.9250
Sale 5,091 1.8780
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per unit
(e.g. CFD) (Note 6) Securities (GBP)
CFD Short 46806 1.9444
CFD Short 194436 1.9476
CFD Long 200789 1.9373
CFD Long 1 1.94
CFD Long 184541 1.9507
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Product name, Writing, Number of Exercise Type, e.g. Expiry Option money
e.g. call selling, securities to price American, date paid/received
option purchasing, which the option European etc. per unit (GBP)
varying etc. relates (GBP)
(ii) Exercising
Product name, e.g. Number of Exercise price per
call option securities unit (Note 5)
(d) Other dealings (including new securities) (Note 4)
Nature of transaction Details Price per unit
(Note 8) (if applicable)
(Note 5)
4. OTHER INFORMATION
None
Agreements, arrangements or understandings relating to options or derivatives
Full details of any agreement, arrangement or understanding between the
person disclosing and any other person relating to the voting rights of
any relevant securities under any option referred to on this form or
relating to the voting rights or future acquisition or disposal of any
relevant securities to which any derivative referred to on this form is
referenced. If none, this should be stated.
Is a Supplemental Form 8 attached? (Note 9) YES
Date of disclosure 28 September 2007
Contact name BARCLAYS COMPLIANCE
Telephone number 020 7116 2913
If a connected EFM, name of
offeree/offeror with which connected
If a connected EFM, state nature of
connection (Note 10)
Notes
The Notes on Form 8.3 can be viewed on the Takeover Panel's website at
www.thetakeoverpanel.org.uk
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1, Form 8.1(b)(ii) or Form 8.3, as appropriate)
Product name, Written or Number of Securities to Exercise Price Type, e.g. Expiry Date
e.g. call option Purchased which the option or (Note 2) American,
derivative relates European etc.
Option Purchased 7,103 15.8111 EURO 11/10/2007
Option Purchased 15,216 19.3427 EURO 11/10/2007
Where there are open option positions or open derivative positions (except for CFD's), full details should be given.
Full details of any existing agreements to purchase or to sell should also be given on this form.
2. For all prices and other monetary amounts, the currency must be stated.
For details of the Code's dealing disclosure requirements, see Rule 8 and its Notes which can be viewed on the Takeover
Panel's website at www.thetakeoverpanel.org.uk