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 03 October 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 23,995,143 5.70% 232,086 0.06%
securities
(2) Derivatives 3,241,641 0.77% 2,680,985 0.64%
(other than
options)
(3) Options and 22,319 0.01% 0 0.00%%
agreements to
purchase/sell
Total 27,259,103 6.47% 2,913,071 0.69%
(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 1,995 1.5034
Purchase 676 1.4774
Purchase 1,000 1.4800
Purchase 100 1.4971
Purchase 5,000 1.4959
Purchase 1,000 1.5178
Purchase 331 1.5098
Purchase 186 1.5092
Purchase 321 1.5092
Purchase 5,000 1.4710
Purchase 324 1.4971
Purchase 27 1.5181
Purchase 739 1.4869
Purchase 317 1.5293
Purchase 1,000 1.4978
Purchase 2,067 1.4400
Purchase 391 1.4947
Purchase 13 1.4979
Purchase 362 1.4700
Purchase 324 1.4977
Purchase 3,155 1.4800
Purchase 1,386 1.4300
Purchase 50 1.5051
Purchase 1,000 1.4921
Purchase 5,000 1.5000
Purchase 1,675 1.4798
Purchase 2,500 1.4500
Purchase 330 1.5142
Purchase 500 1.4600
Purchase 444 1.4380
Purchase 2,314 1.5123
Purchase 2,000 1.4688
Purchase 189 1.4914
Purchase 171 1.4600
Purchase 1,358 1.4890
Purchase 2,000 1.4827
Purchase 26 1.4992
Purchase 500 1.4979
Purchase 741 1.4828
Purchase 10,489 1.4300
Purchase 3,000 1.5250
Purchase 131 1.5169
Purchase 531 1.5044
Purchase 324 1.4968
Purchase 5,000 1.4678
Purchase 671 1.4714
Purchase 2,000 1.4680
Purchase 268 1.4890
Purchase 2,500 1.4300
Purchase 1,000 1.5045
Purchase 1,293 1.5288
Purchase 6,825 1.4650
Purchase 3,360 1.4879
Purchase 475 1.4897
Purchase 1,000 1.5155
Purchase 2,794 1.4200
Purchase 67 1.4877
Purchase 300 1.5071
Purchase 6,692 1.4858
Purchase 563 1.4889
Purchase 5,000 1.4600
Purchase 1,000 1.5039
Purchase 2,794 1.4929
Purchase 13,316 1.4950
Purchase 350 1.5314
Purchase 3,973 1.5099
Purchase 1,300 1.4811
Purchase 1,100 1.5155
Purchase 6 1.4881
Purchase 3,287 1.5110
Purchase 2,000 1.4947
Purchase 682 1.4935
Purchase 1,000 1.4700
Purchase 2,000 1.4842
Purchase 1,990 1.5068
Purchase 67 1.4913
Purchase 2,674 1.4958
Purchase 675 1.4594
Purchase 4,651 1.4958
Purchase 1,659 1.5061
Purchase 133 1.4953
Purchase 3,308 1.4998
Purchase 5,000 1.4710
Purchase 124 1.4992
Purchase 1,359 1.4592
Purchase 662 1.5088
Purchase 2,000 1.4578
Purchase 324 1.4975
Purchase 1,336 1.4800
Purchase 2,500 1.5074
Purchase 1,000 1.4700
Purchase 786 1.5044
Purchase 3,145 1.4989
Purchase 5,174 1.4400
Purchase 3,333 1.4999
Purchase 1,220 1.4959
Purchase 3,000 1.4796
Purchase 50,000 1.4990
Purchase 164 1.5025
Purchase 1,041 1.4400
Purchase 1,972 1.5069
Purchase 3,000 1.4730
Purchase 400 1.4988
Purchase 138 1.4942
Purchase 1,000 1.4800
Purchase 2,042 1.4579
Purchase 2,000 1.4600
Purchase 203 1.4777
Purchase 656 1.5061
Purchase 2,040 1.4700
Purchase 1,335 1.4977
Purchase 5,000 1.4740
Purchase 1,000 1.5085
Purchase 5 1.5122
Purchase 1,700 1.4987
Purchase 2,001 1.4876
Purchase 200 1.4947
Purchase 21,036 1.5130
Purchase 1,304 1.5208
Purchase 2,000 1.4485
Purchase 339 1.5044
Purchase 295 1.4895
Purchase 3,472 1.4400
Purchase 660 1.4887
Purchase 2,444 1.4320
Purchase 637 1.4979
Purchase 1,500 1.4834
Purchase 5,750 1.4940
Purchase 2,000 1.4450
Purchase 3,000 1.4919
Purchase 668 1.4700
Purchase 3,000 1.4390
Purchase 1,351 1.4676
Purchase 4,775 1.4571
Purchase 6,746 1.4730
Purchase 4,000 1.4400
Purchase 2,327 1.5361
Purchase 2,000 1.5325
Purchase 661 1.4928
Purchase 7,002 1.4200
Purchase 2,014 1.4889
Purchase 5,334 1.4889
Purchase 333 1.4991
Purchase 2,000 1.5108
Purchase 657 1.4952
Purchase 2,000 1.4903
Purchase 16 1.4972
Purchase 1,000 1.4380
Purchase 4,231 1.4600
Purchase 669 1.4934
Purchase 5,000 1.4969
Purchase 5,000 1.4200
Purchase 3,000 1.4500
Purchase 6,560 1.5149
Purchase 248 1.4971
Purchase 1,373 1.4400
Purchase 5,201 1.5280
Purchase 58 1.4865
Purchase 964 1.4890
Purchase 1,800 1.5094
Purchase 4,769 1.4678
Purchase 668 1.4700
Purchase 2,142 1.4500
Purchase 1,964 1.5015
Purchase 5,000 1.4680
Purchase 3,300 1.5019
Purchase 1,386 1.4300
Purchase 1,972 1.5095
Purchase 186 1.4863
Purchase 4,638 1.5000
Purchase 224 1.4995
Purchase 1,000 1.4600
Purchase 1,000 1.5325
Purchase 664 1.5042
Purchase 1,780 1.5357
Purchase 342 1.4617
Purchase 2,000 1.4837
Purchase 2,000 1.4794
Purchase 1,000 1.4794
Purchase 50 1.4965
Purchase 750 1.4490
Purchase 1,671 1.4959
Purchase 6,590 1.5087
Purchase 670 1.4919
Purchase 1,000 1.4888
Purchase 1,000 1.5042
Purchase 2,000 1.5130
Purchase 5,000 1.5078
Purchase 400 1.4639
Purchase 3,907 1.5250
Purchase 3,000 1.4819
Purchase 6,302 1.4750
Purchase 2,008 1.4828
Purchase 7,000 1.4300
Purchase 5,000 1.4760
Purchase 329 1.5195
Purchase 273 1.4600
Purchase 1,124 1.4995
Purchase 2,000 1.4490
Purchase 197 1.4859
Purchase 5,000 1.4700
Purchase 272 1.4700
Purchase 2,109 1.5169
Purchase 544 1.4700
Purchase 1,000 1.4832
Purchase 3,446 1.4400
Purchase 1,000 1.4895
Purchase 3,000 1.4637
Purchase 2,000 1.4995
Purchase 800 1.4875
Purchase 675 1.4800
Purchase 328 1.4800
Purchase 4,679 1.4869
Purchase 994 1.5085
Purchase 50,000 1.4400
Purchase 1,343 1.4881
Purchase 2,000 1.4885
Purchase 500 Transfer
Purchase 1,968 1.4750
Purchase 990 1.5151
Purchase 3,474 1.4300
Purchase 326 1.5117
Purchase 4,500 1.4750
Purchase 2,500 1.5051
Purchase 1,500 1.4887
Purchase 3,242 1.5320
Purchase 1,000 1.4890
Purchase 38 1.4700
Purchase 1,000 1.4579
Purchase 66 1.5044
Purchase 4,400 1.4842
Purchase 5,000 1.5200
Purchase 372,047 1.4920
Purchase 1,500 1.4867
Purchase 650 1.5167
Purchase 2,000 1.5061
Purchase 1,245 1.5078
Purchase 1,311 1.4997
Purchase 1,000 1.5034
Purchase 673 1.4680
Purchase 1,667 1.4844
Purchase 2,040 1.4702
Purchase 2,000 1.4837
Purchase 6,773 1.4680
Purchase 2,900 1.4919
Purchase 4,023 1.5180
Purchase 161 1.4700
Purchase 250 1.5125
Purchase 1,000 1.4740
Purchase 1,000 1.5034
Purchase 1,367 1.4500
Purchase 333 1.4997
Purchase 1,200 1.4320
Purchase 1,707 1.4638
Purchase 323 1.4988
Purchase 3,000 1.4999
Purchase 2,427 1.4320
Purchase 5,750 1.5000
Purchase 675 1.4800
Purchase 675 1.4803
Purchase 680 1.4700
Purchase 392 1.5034
Purchase 200 1.4848
Purchase 682 1.4644
Purchase 3,426 1.4500
Purchase 5,000 1.4597
Purchase 1,500 1.4968
Purchase 300 1.4500
Purchase 5,000 1.4490
Purchase 2,000 1.4634
Purchase 2,000 1.5035
Purchase 634 1.4700
Purchase 328 1.5092
Purchase 5,000 1.4600
Purchase 1,000 1.4550
Purchase 2,000 1.4579
Purchase 5,345 1.4879
Purchase 1,324 1.4935
Purchase 3,435 1.4590
Purchase 666 1.4995
Purchase 1,000 1.4700
Purchase 3,000 1.4400
Purchase 2,000 1.4992
Purchase 364 1.4700
Purchase 6,722 1.4899
Purchase 50 1.4697
Purchase 1,326 1.4908
Purchase 2,000 1.4400
Purchase 240 1.4994
Purchase 799 1.5008
Purchase 2,500 1.4320
Purchase 335 1.4921
Purchase 322 1.5042
Purchase 187 1.5278
Purchase 3,000 1.5099
Purchase 672 1.4859
Purchase 100 1.4934
Purchase 1,000 1.5161
Purchase 2,500 1.5092
Purchase 500 1.4945
Purchase 1,666 1.4878
Sale 3,000 1.5140
Sale 1,359 1.4966
Sale 2,582 1.4200
Sale 1,867 1.5102
Sale 5,321 1.5050
Sale 1,000 1.5210
Sale 500 1.4886
Sale 4,500 1.5102
Sale 2,000 1.5099
Sale 757 1.5009
Sale 300 1.4952
Sale 21,036 1.4800
Sale 2,000 1.5053
Sale 804 1.5057
Sale 2,000 1.5304
Sale 493 1.4857
Sale 5,000 1.4972
Sale 2,000 1.5102
Sale 200 1.4816
Sale 500 1.4902
Sale 1,000 1.4982
Sale 1,000 1.4616
Sale 2,042 1.4974
Sale 2,000 1.5066
Sale 400 1.4922
Sale 1,500 1.5012
Sale 7,002 1.5002
Sale 7,380 1.5160
Sale 10,000 1.4972
Sale 1,301 1.4873
Sale 700 1.4879
Sale 900 1.4854
Sale 3,000 1.5092
Sale 2,000 1.5039
Sale 376 1.4560
Sale 500 1.4540
Sale 6,825 1.5121
Sale 1,000 1.4913
Sale 305 1.4818
Sale 5,338 1.5022
Sale 2,004 1.5012
Sale 3,000 1.5210
Sale 2,000 1.4879
Sale 2,794 1.4510
Sale 5,000 1.5002
Sale 400 1.4778
Sale 10,015 1.4500
Sale 5,300 1.5152
Sale 662 1.4891
Sale 1,227 1.4567
Sale 2,000 1.5207
Sale 4,400 1.4872
Sale 2,000 1.5012
Sale 590 1.4540
Sale 400 1.4835
Sale 18,147 1.4820
Sale 2,000 1.4913
Sale 492 1.4812
Sale 675 1.4786
Sale 500 1.4962
Sale 11,241 1.5062
Sale 445 1.4566
Sale 3,000 1.4801
Sale 3,474 1.4600
Sale 2,008 1.5130
Sale 1,000 1.4883
Sale 94 1.5022
Sale 585 1.5055
Sale 3,426 1.4751
Sale 1,259 1.4806
Sale 3,000 1.4711
Sale 155 1.4796
Sale 2,000 1.4663
Sale 1,995 1.5072
Sale 1,200 1.4774
Sale 801 1.4813
Sale 308 1.4812
Sale 541 1.4936
Sale 3,000 1.4900
Sale 5,198 1.5042
Sale 600 1.5009
Sale 500 1.4892
Sale 355 1.5027
Sale 3,000 1.5052
Sale 1,000 1.4942
Sale 373 1.5016
Sale 2,000 1.5062
Sale 6,722 1.5102
Sale 786 1.4982
Sale 10,000 1.5200
Sale 507 1.4613
Sale 1,500 1.5213
Sale 675 1.4736
Sale 2,444 1.4913
Sale 317 1.4769
Sale 481 1.4310
Sale 652 1.4540
Sale 2,677 1.5112
Sale 787 1.5104
Sale 2,000 1.5229
Sale 300 1.5122
Sale 5,000 1.5022
Sale 500 1.4957
Sale 860 1.5012
Sale 450 1.4932
Sale 500 1.4800
Sale 645 1.4800
Sale 750 1.4800
Sale 440 1.4902
Sale 500 1.4800
Sale 1,400 1.4800
Sale 450 1.4800
Sale 600 1.4800
Sale 1,250 1.4800
Sale 1,500 1.4800
Sale 350 1.4902
Sale 400 1.4800
Sale 465 1.4800
Sale 150,000 1.4800
Sale 400 1.4800
Sale 450 1.4800
Sale 268 1.4886
Sale 1,000 1.4800
Sale 450 1.4932
Sale 450 1.4902
Sale 600 1.4902
Sale 1,000 1.4800
Sale 600 1.4800
Sale 8,500 1.4800
Sale 500 1.4800
Sale 400 1.4800
Sale 1,000 1.4800
Sale 400 1.4902
Sale 1,500 1.4800
Sale 8,500 1.4800
Sale 1,000 1.4800
Sale 500 1.4800
Sale 1,325 1.4902
Sale 650 1.4902
Sale 400 1.4800
Sale 500 1.4800
Sale 1,000 1.4800
Sale 325 1.4902
Sale 1,000 1.4800
Sale 650 1.4800
Sale 500 1.4800
Sale 500 1.4933
Sale 1,000 1.4800
Sale 350 1.4902
Sale 500 1.4800
Sale 500 1.4800
Sale 350 1.4800
Sale 397,333 1.4941
Sale 750 1.4800
Sale 350 1.4933
Sale 400 1.4800
Sale 2,500 1.4800
Sale 500 1.4800
Sale 800 1.4902
Sale 550 1.4800
Sale 650 1.4932
Sale 2,000 1.4933
Sale 5,000 1.4800
Sale 350 1.4902
Sale 925 1.4800
Sale 675 1.4902
Sale 1,250 1.4800
Sale 8,400 1.4800
Sale 500 1.4800
Sale 500 1.4800
Sale 450 1.4800
Sale 500 1.4800
Sale 325 1.4902
Sale 2,000 1.4800
Sale 450 1.4800
Sale 600 1.4952
Sale 850 1.4902
Sale 500 1.4933
Sale 330 1.4800
Sale 580 1.4800
Sale 300 1.4933
Sale 660 1.4800
Sale 500 1.4800
Sale 1,000 1.4800
Sale 350 1.4800
Sale 450 1.4902
Sale 150 1.4933
Sale 500 1.4800
Sale 425 1.4800
Sale 765 1.4800
Sale 1,000 1.4800
Sale 2,300 1.4800
Sale 800 1.4800
Sale 2,300 1.4800
Sale 5,000 1.4800
Sale 1,000 1.4800
Sale 400 1.4800
Sale 885 1.4800
Sale 375 1.4902
Sale 1,000 1.4800
Sale 425 1.4800
Sale 1,250 1.4800
Sale 650 1.4800
Sale 500 1.4800
Sale 750 1.4800
Sale 750 1.4800
Sale 425 1.4902
Sale 4,000 1.4800
Sale 400 1.4902
Sale 1,000 1.4800
Sale 400 1.4800
Sale 800 1.4933
Sale 600 1.4800
Sale 1,000 1.4800
Sale 500 1.4800
Sale 350 1.4933
Sale 4,000 1.4800
Sale 1,300 1.4800
Sale 1,000 1.4800
Sale 500 1.4800
Sale 500 1.4800
Sale 1,000 1.4800
Sale 350 1.4800
Sale 1,000 1.5102
Sale 3,700 1.4930
Sale 675 1.4902
Sale 750 1.4800
Sale 150 1.4933
Sale 300 1.4800
Sale 1,250 1.4800
Sale 550 1.4933
Sale 300 1.4902
Sale 1,675 1.5022
Sale 1,000 1.4926
Sale 1,507 1.4600
Sale 2,115 1.4954
Sale 312 1.5009
Sale 10,000 1.4882
Sale 3,000 1.5020
Sale 1,001 1.4724
Sale 111 1.5219
Sale 600 1.4962
Sale 413 1.4566
Sale 5,000 1.5200
Sale 500 1.4615
Sale 900 1.4854
Sale 450 1.4800
Sale 594 1.5024
Sale 295 1.4910
Sale 1,041 1.5110
Sale 1,332 1.5026
Sale 144 1.4100
Sale 211 1.5012
Sale 4,763 1.4962
Sale 2,500 1.4962
Sale 400 1.5019
Sale 998 1.4843
Sale 150 1.4210
Sale 1,000 1.4540
Sale 3,000 1.5012
Sale 1,644 1.5016
Sale 100 1.4922
Sale 5,000 1.5012
Sale 500 1.4310
Sale 674 1.4891
Sale 243 1.4774
Sale 195 1.5054
Sale 2,427 1.4620
Sale 3,000 1.4932
Sale 2,142 1.4913
Sale 3,000 1.5200
Sale 1,000 1.4947
Sale 1,367 1.5203
Sale 3,274 1.5012
Sale 1,201 1.5009
Sale 5,000 1.5201
Sale 6,000 1.5012
Sale 1,336 1.5092
Sale 3,446 1.5000
Sale 1,671 1.5106
Sale 10,489 1.4882
Sale 2,000 1.4200
Sale 3,472 1.5102
Sale 1,500 1.4100
Sale 500 1.4800
Sale 1,276 1.5006
Sale 6,302 1.5200
Sale 5,000 1.4930
Sale 4,073 1.5112
Sale 737 1.5006
Sale 369 1.4689
Sale 500 1.5156
Sale 1,000 1.5102
Sale 6,557 1.5000
Sale 231 1.4589
Sale 750 1.5103
Sale 2,000 1.4590
Sale 305 1.4100
Sale 375 1.4933
Sale 1,250 1.4800
Sale 150 1.4540
Sale 150 1.5164
Sale 1,000 1.4800
Sale 1,373 1.4868
Sale 250 1.4932
Sale 27,500 1.4880
Sale 300 1.5207
Sale 2,000 1.5130
Sale 1,799 1.5039
Sale 5,000 1.5200
Sale 2,000 1.4974
Sale 4,775 1.4830
Sale 500 1.4800
Sale 682 1.4541
Sale 500 1.4933
Sale 3,000 1.4800
Sale 500 1.4933
Sale 300 1.4902
Sale 400 1.4800
Sale 500 1.4800
Sale 140 1.5063
Sale 500 1.4800
Sale 380 1.4800
Sale 450 1.4932
Sale 600 1.4902
Sale 500 1.4800
Sale 1,200 1.4800
Sale 525 1.4800
Sale 1,270 1.5022
Sale 5,500 1.4310
Sale 4,769 1.4962
Sale 1,972 1.5057
Sale 1,000 1.5226
Sale 1,386 1.4620
Sale 2,000 1.4658
Sale 213 1.4912
Sale 300 1.4807
Sale 2,500 1.4864
Sale 7,000 1.4962
Sale 3,000 1.5211
Sale 1,000 1.5062
Sale 1,500 1.5009
Sale 500 1.4800
Sale 2,000 1.4100
Sale 1,443 1.4962
Sale 1,386 1.4431
Sale 1,000 1.5110
Sale 400 1.5019
Sale 1,500 1.4350
Sale 867 1.4904
Sale 1,990 1.4759
Sale 563 1.4774
Sale 6,773 1.4800
Sale 300 1.4922
Sale 2,000 1.4972
Sale 5,345 1.5012
Sale 40,442 1.5120
Sale 710 1.4913
Sale 491 1.4972
Sale 5,000 1.4800
Sale 3,287 1.5012
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per unit
(e.g. CFD) (Note 6) Securities (GBP)
CFD Short 4400 1.4842
CFD Short 372047 1.4919
CFD Long 3700 1.493
CFD Long 397333 1.494
(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 04 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