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 28 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 24,148,251 5.73% 471,866 0.11%
securities
(2) Derivatives 2,033,062 0.48% 1,245,765 0.30%
(other than
options)
(3) Options and 22,319 0.01% 0 0.00%
agreements to
purchase/sell
Total 26,203,632 6.22% 1,717,631 0.41%
(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 266 1.8232
Purchase 550 1.7788
Purchase 15,000 1.8550
Purchase 5,000 1.7860
Purchase 110 1.7887
Purchase 372 1.8379
Purchase 5,000 1.8250
Purchase 500 1.8264
Purchase 244 1.7986
Purchase 2,500 1.8600
Purchase 269 1.8488
Purchase 1,500 1.7882
Purchase 225 1.8247
Purchase 276 1.8492
Purchase 2,732 1.8300
Purchase 1,052 1.9000
Purchase 2,688 1.8600
Purchase 1,100 1.8178
Purchase 2,686 1.8490
Purchase 2,000 1.8300
Purchase 3,000 1.8300
Purchase 7,050 1.8340
Purchase 8,160 1.8280
Purchase 11,005 1.8070
Purchase 1,067 1.8538
Purchase 3,000 1.8500
Purchase 5,500 1.8400
Purchase 547 1.8264
Purchase 2,160 1.8484
Purchase 1,500 1.8057
Purchase 1,000 1.7788
Purchase 264 1.8390
Purchase 212 1.8168
Purchase 2,000 1.8155
Purchase 2,000 1.7892
Purchase 1,066 1.8600
Purchase 1,000 1.7985
Purchase 1,431 1.8550
Purchase 1,077 1.8550
Purchase 4,268 1.8630
Purchase 3,284 1.8270
Purchase 10,489 1.8370
Purchase 165 1.8600
Purchase 382 1.8295
Purchase 1,000 1.8259
Purchase 30,232 1.8310
Purchase 350 1.8085
Purchase 200 1.8398
Purchase 5,000 1.8060
Purchase 343 1.8495
Purchase 10,752 1.8600
Purchase 3,000 1.7990
Purchase 100,000 1.8500
Purchase 4,626 1.7900
Purchase 401 1.7998
Purchase 1,615 1.8430
Purchase 2,516 1.8000
Purchase 3,761 1.8500
Purchase 100 1.8980
Purchase 529 1.8550
Purchase 1,531 1.8282
Purchase 650 1.8420
Purchase 2,000 1.8724
Purchase 1,618 1.8538
Purchase 1,000 1.8500
Purchase 2,270 1.8500
Purchase 1,300 1.7986
Purchase 550 1.7992
Purchase 111 1.8600
Purchase 2,000 1.8318
Purchase 2,000 1.8500
Purchase 2,000 1.8380
Purchase 50 1.9000
Purchase 300 1.8320
Purchase 4,000 1.8410
Purchase 125 1.9000
Purchase 1,676 1.7892
Purchase 266 1.8242
Purchase 2,000 1.8300
Purchase 5,000 1.8370
Purchase 1,000 1.8288
Purchase 3,520 1.8350
Purchase 2,000 1.8158
Purchase 380 1.8486
Purchase 400 1.8440
Purchase 27,000 1.8008
Purchase 500 1.8373
Purchase 263 1.8427
Purchase 99 1.8234
Purchase 964 1.8488
Purchase 500 1.8087
Purchase 2,000 1.7822
Purchase 1,308 1.7888
Purchase 645 1.8600
Purchase 5,333 1.8750
Purchase 1,385 1.7788
Purchase 2,000 1.8440
Purchase 131 1.9000
Purchase 810 1.8500
Purchase 500 1.8550
Purchase 566 1.8291
Purchase 531 1.8500
Purchase 1,500 1.8092
Purchase 1,301 1.8188
Purchase 131 1.9000
Purchase 1,500 1.8227
Purchase 2,000 1.8430
Purchase 4,400 1.8340
Purchase 446 1.8687
Purchase 1,073 1.8474
Purchase 3,000 1.7800
Purchase 1,904 1.8380
Purchase 45 1.8381
Purchase 1,000 1.8500
Purchase 5,000 1.8690
Purchase 47 1.8357
Purchase 2,000 1.8339
Purchase 300 1.7948
Purchase 55 1.7986
Purchase 101 1.8447
Purchase 100 1.8500
Purchase 1,000 1.8278
Purchase 400 1.8231
Purchase 225 1.7947
Purchase 500 1.8550
Purchase 190 1.8308
Purchase 2,147 1.8500
Purchase 135 1.8388
Purchase 161 1.8550
Purchase 3,888 1.8000
Purchase 2,000 1.8518
Purchase 2,000 1.8550
Purchase 1,370 1.8500
Purchase 1,629 1.8275
Purchase 430 1.8544
Purchase 3,500 1.8550
Purchase 4,050 1.8540
Purchase 550 1.8178
Purchase 2,790 1.8500
Purchase 1,631 1.8388
Purchase 2,487 1.8258
Purchase 3,000 1.8240
Purchase 127 1.8570
Purchase 263 1.9000
Purchase 2,000 1.8400
Purchase 1,250 1.8600
Purchase 263 1.8600
Purchase 2,000 1.8500
Purchase 540 1.8500
Purchase 255 1.9000
Purchase 500 Transfer
Purchase 1,985 1.8002
Purchase 2,717 1.8400
Purchase 1,086 1.8410
Purchase 347 1.8320
Purchase 1,111 1.7994
Purchase 2,000 1.8586
Purchase 4,000 1.8370
Purchase 818 1.8337
Purchase 2,733 1.8290
Purchase 1,351 1.8350
Purchase 1,000 1.8398
Purchase 1,317 1.8980
Purchase 5,452 1.8340
Purchase 1,099 1.7986
Purchase 5,374 1.8500
Purchase 5,000 1.8000
Purchase 5,000 1.7970
Purchase 2,000 1.7986
Purchase 2,500 1.8396
Purchase 250 1.7987
Purchase 5,439 1.8280
Purchase 900 1.8422
Purchase 3,000 1.8300
Purchase 2,500 1.8168
Purchase 500 1.8500
Purchase 202 1.9110
Purchase 1,500 1.8500
Purchase 4,000 1.8475
Purchase 1,071 1.8500
Purchase 1,060 1.8538
Purchase 355 1.8400
Purchase 3,000 1.8320
Purchase 3,340 1.7960
Purchase 5,182 1.8500
Purchase 3,000 1.8440
Purchase 1,000 1.8318
Purchase 526 1.9000
Purchase 551 1.7898
Purchase 210 1.9000
Purchase 109 1.8275
Purchase 5,500 1.8450
Purchase 3,000 1.8300
Purchase 3,000 1.8600
Purchase 4,000 1.8500
Purchase 200 1.8278
Purchase 2,000 1.7787
Purchase 1,000 1.8540
Purchase 266 1.8681
Purchase 300 1.8234
Purchase 1,101 1.7992
Purchase 800 1.7898
Purchase 3,831 1.8270
Purchase 10,000 1.7800
Purchase 100,000 1.8350
Purchase 1,500 1.8142
Purchase 130 1.8600
Purchase 546 1.7985
Purchase 3,000 1.8300
Purchase 543 1.8396
Purchase 47 1.8262
Purchase 500 Transfer
Purchase 5,464 1.8300
Purchase 6,000 1.8310
Purchase 500 1.8538
Purchase 250 1.8434
Purchase 2,000 1.8730
Purchase 2,000 1.8035
Purchase 1,500 1.8550
Purchase 101 1.8400
Purchase 5,421 1.8340
Purchase 2,000 1.8278
Purchase 279 1.7897
Purchase 159 1.7976
Purchase 1,084 1.8287
Purchase 269 1.8536
Purchase 811 1.8494
Purchase 545 1.8342
Purchase 1,080 1.8347
Purchase 1,000 1.7986
Purchase 2,850 1.8550
Purchase 820 1.8275
Purchase 1,200 1.8550
Purchase 2,700 1.8000
Purchase 349 1.8300
Purchase 2,000 1.8338
Purchase 5,000 1.8400
Purchase 5,482 1.8240
Purchase 316 1.8401
Purchase 2,000 1.9000
Purchase 413 1.8278
Purchase 143 1.9300
Purchase 263 1.9000
Purchase 394 1.8475
Purchase 470 1.7998
Purchase 500 Transfer
Purchase 124 1.9000
Purchase 1,083 1.8295
Purchase 2,000 1.8500
Purchase 3,000 1.8370
Purchase 5,000 1.7890
Purchase 200 1.8254
Purchase 517 1.8980
Purchase 3,806 1.8390
Purchase 271 1.8416
Purchase 2,000 1.8476
Purchase 5,626 1.8470
Purchase 5,589 1.7790
Purchase 1,500 1.7936
Purchase 2,000 1.8500
Purchase 250 1.7998
Purchase 1,000 1.8035
Purchase 1,345 1.7842
Purchase 622 1.9000
Purchase 6,000 1.8240
Purchase 2,154 1.8440
Purchase 91,626 1.8313
Purchase 350 1.8248
Purchase 7,716 1.8904
Purchase 5,360 1.8550
Purchase 2,000 1.8399
Purchase 700 1.8468
Purchase 650 1.9018
Purchase 4,000 1.8600
Purchase 5,150 1.8340
Purchase 5,383 1.8100
Purchase 1,000 1.7792
Purchase 5,000 1.8230
Purchase 2,000 1.8400
Purchase 4,027 1.8500
Purchase 300 1.8338
Purchase 250 1.8264
Purchase 189 1.7994
Purchase 500 1.8403
Purchase 134,189 1.8246
Purchase 395 1.8550
Purchase 13,820 1.7990
Purchase 1,000 1.8483
Purchase 517 1.9000
Sale 2,969 1.8400
Sale 148 1.8310
Sale 2,881 1.8140
Sale 5,000 1.7860
Sale 505 1.7891
Sale 4,000 1.8310
Sale 450 1.8227
Sale 230 1.8427
Sale 1,000 1.8076
Sale 2,683 1.8400
Sale 3,075 1.7890
Sale 2,929 1.8600
Sale 11,939 1.8450
Sale 30 1.8376
Sale 3,888 1.7870
Sale 1,023 1.8163
Sale 5,482 1.8010
Sale 223 1.8315
Sale 500 1.8209
Sale 335 1.8442
Sale 3,000 1.8490
Sale 2,500 1.7882
Sale 2,023 1.8256
Sale 350 1.7879
Sale 1,385 1.8710
Sale 600 1.8339
Sale 1,500 1.8129
Sale 6,000 1.7850
Sale 500 1.8385
Sale 473 1.8427
Sale 900 1.7929
Sale 7,000 1.7900
Sale 2,300 1.7754
Sale 2,000 1.8281
Sale 1,000 1.8225
Sale 157,667 1.8310
Sale 27,000 1.8283
Sale 150 1.8167
Sale 5,000 1.8200
Sale 30,232 1.8410
Sale 3,831 1.8210
Sale 250 1.8417
Sale 295 1.8057
Sale 1,130 1.8442
Sale 42,500 1.8000
Sale 257 1.8312
Sale 2,600 1.8443
Sale 5,509 1.7920
Sale 600 1.8444
Sale 5,594 1.8476
Sale 13,722 1.8220
Sale 5,000 1.8230
Sale 2,604 1.7800
Sale 321 1.8270
Sale 1,000 1.8417
Sale 628 1.8316
Sale 46,310 1.8374
Sale 5,189 1.9110
Sale 1,000 1.8370
Sale 1,000 1.8273
Sale 400 1.8595
Sale 1,000 1.7974
Sale 10,489 1.8480
Sale 2,300 1.8500
Sale 577 1.8400
Sale 8,808 1.8480
Sale 2,000 1.8110
Sale 100 1.8401
Sale 394 1.8331
Sale 524 1.8209
Sale 1,000 1.8500
Sale 7,000 1.8450
Sale 2,330 1.9110
Sale 5,000 1.7890
Sale 2,000 1.8481
Sale 1,200 1.8464
Sale 2,500 1.7793
Sale 500 1.9103
Sale 1,569 1.9110
Sale 200 1.7891
Sale 609 1.7966
Sale 2,302 1.8283
Sale 1,000 1.8380
Sale 4,000 1.8445
Sale 44,723 1.8260
Sale 4,468 1.8250
Sale 630 1.8255
Sale 2,572 1.8400
Sale 1,712 1.8320
Sale 5,000 1.8140
Sale 500 1.8326
Sale 889 1.8500
Sale 126 1.7797
Sale 3,000 1.8130
Sale 4,909 1.7780
Sale 2,516 1.8230
Sale 1,110 1.8076
Sale 4,250 1.8250
Sale 199 1.8330
Sale 498 1.8310
Sale 2,500 1.8645
Sale 5,950 1.8220
Sale 990 1.8319
Sale 3,806 1.7870
Sale 1,099 1.8347
Sale 1,071 1.8446
Sale 17,299 1.7950
Sale 1,581 1.8275
Sale 3,340 1.7850
Sale 1,000 1.8320
Sale 1,000 1.8408
Sale 5,000 1.7900
Sale 372 1.8222
Sale 2,000 1.7874
Sale 100 1.8066
Sale 5,030 1.8310
Sale 500 1.8310
Sale 1,000 1.8393
Sale 26 1.7941
Sale 5,481 1.8260
Sale 209 1.8249
Sale 500 1.7892
Sale 5,000 1.8500
Sale 2,969 1.8070
Sale 4,000 1.7850
Sale 307 1.8600
Sale 1,750 1.8427
Sale 379 1.8311
Sale 197 1.8036
Sale 2,953 1.8430
Sale 850 1.7863
Sale 200 1.7933
Sale 4,000 1.8480
Sale 833 1.7891
Sale 3,000 1.8480
Sale 10,000 1.8390
Sale 1,401 1.7966
Sale 200 1.8322
Sale 250 1.7873
Sale 8,679 1.8070
Sale 2,500 1.8027
Sale 134 1.8310
Sale 1,350 1.8464
Sale 666 1.8219
Sale 2,500 1.8336
Sale 5,493 1.8220
Sale 1,071 1.8482
Sale 5,000 1.8710
Sale 51 1.7891
Sale 5,000 1.8340
Sale 260 1.8000
Sale 500 1.7735
Sale 2,000 1.8373
Sale 500 1.7824
Sale 569 1.8266
Sale 490 1.8240
Sale 654 1.8310
Sale 1,000 1.8388
Sale 500 1.8246
Sale 500 1.7857
Sale 1,900 1.8373
Sale 272 1.8364
Sale 250 1.8127
Sale 500 1.8039
Sale 1,500 1.7891
Sale 550 1.8710
Sale 1,500 1.8116
Sale 1,985 1.8356
Sale 2,593 1.8710
Sale 3,200 1.7860
Sale 2,333 1.8206
Sale 1,609 1.8251
Sale 883 1.8500
Sale 571 1.8381
Sale 2,400 1.8278
Sale 3,284 1.8400
Sale 3,000 1.8030
Sale 114 1.8311
Sale 1,000 1.8500
Sale 3,000 1.8410
Sale 2,995 1.7960
Sale 1,000 1.8339
Sale 1,000 1.7782
Sale 1,000 1.8222
Sale 2,918 1.8300
Sale 1,000 1.7989
Sale 1,550 1.7873
Sale 1,116 1.8225
Sale 10,000 1.7820
Sale 250 1.8222
Sale 672 1.8219
Sale 2,000 1.8313
Sale 42,500 2.0000
Sale 239 1.7966
Sale 656 1.8710
Sale 500 1.8310
Sale 1,612 1.8437
Sale 1,000 1.9186
Sale 794 1.8373
Sale 500 1.7991
Sale 1,438 1.8146
Sale 987 1.8340
Sale 1,368 1.8400
Sale 160 1.8227
Sale 5,500 1.8560
Sale 10,982 1.8220
Sale 2,026 1.8310
Sale 1,435 1.8026
Sale 2,587 1.8500
Sale 1,348 1.9150
Sale 1,700 1.7869
Sale 4,268 1.8200
Sale 265 1.8311
Sale 600 1.7966
Sale 1,978 1.8310
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per unit
(e.g. CFD) (Note 6) Securities (GBP)
CFD Short 21489 1.8223
CFD Short 134189 1.8245
CFD Short 91626 1.8312
CFD Short 7716 1.8903
CFD Long 157667 1.8309
CFD Long 46310 1.8373
CFD Long 5594 1.8476
(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 01 October 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 15,216 19.3427 EURO 11/10/2007
Option Purchased 7,103 15.8111 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