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 05 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 24,664,784 5.86% 205,586 0.05%
securities
(2) Derivatives 3,760,076 0.89% 3,244,049 0.77%
(other than
options)
(3) Options and 22,319 0.01% 0 0.00%
agreements to
purchase/sell
Total 28,447,179 6.75% 3,449,635 0.82%
(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 2,162 1.6070
Purchase 1,000 1.6876
Purchase 2,426 1.6371
Purchase 3,122 1.5590
Purchase 500 1.6653
Purchase 7,000 1.6290
Purchase 400 1.5669
Purchase 8,314 1.6900
Purchase 2,000 1.5573
Purchase 2,266 1.6649
Purchase 6,383 1.5576
Purchase 1,618 1.5442
Purchase 3,000 1.5350
Purchase 1,000 1.6413
Purchase 1,000 1.5577
Purchase 3,000 1.5590
Purchase 492 1.6229
Purchase 2,000 1.6077
Purchase 19,078 1.5590
Purchase 5,000 1.5747
Purchase 12,743 1.5610
Purchase 1,017 1.5718
Purchase 190 1.5292
Purchase 1,552 1.5463
Purchase 288 1.6200
Purchase 308 1.5885
Purchase 439 1.5556
Purchase 1,000 1.5786
Purchase 3,000 1.5600
Purchase 7,000 1.5800
Purchase 3,000 1.5884
Purchase 12,215 1.6280
Purchase 1,526 1.6376
Purchase 3,149 1.5878
Purchase 4,500 1.5610
Purchase 430 1.6355
Purchase 7,314 1.5687
Purchase 1,802 1.6647
Purchase 3,226 1.5496
Purchase 3,942 1.6388
Purchase 549 1.6377
Purchase 168,639 1.6900
Purchase 4,528 1.5367
Purchase 123 1.6259
Purchase 149 1.6208
Purchase 1,888 1.5889
Purchase 1,284 1.5565
Purchase 12,150 1.6460
Purchase 974 1.6259
Purchase 1,927 1.5568
Purchase 597 1.6456
Purchase 1,935 1.5738
Purchase 2,500 1.6259
Purchase 1,000 1.6456
Purchase 1,819 1.6485
Purchase 244 1.5821
Purchase 25 1.6208
Purchase 303 1.6470
Purchase 5,140 1.5472
Purchase 2,500 1.6956
Purchase 1,896 1.5815
Purchase 8,844 1.6240
Purchase 2,236 1.5544
Purchase 1,876 1.5871
Purchase 500 1.5569
Purchase 10,000 1.5760
Purchase 5,000 1.5576
Purchase 300 1.5388
Purchase 1,673 1.6197
Purchase 2,411 1.6457
Purchase 5,000 1.6485
Purchase 1,296 1.5420
Purchase 3,154 1.5600
Purchase 14,988 1.6680
Purchase 56 1.6208
Purchase 2,000 1.5838
Purchase 1,874 1.5889
Purchase 1,302 1.5468
Purchase 4,546 1.5396
Purchase 800 1.5629
Purchase 1,315 1.6640
Purchase 321 1.5569
Purchase 1,234 1.6198
Purchase 200 1.5589
Purchase 1,229 1.6089
Purchase 4,500 1.6148
Purchase 5,000 1.6300
Purchase 2,157 1.5295
Purchase 1,285 1.5641
Purchase 400 1.5455
Purchase 6,000 1.5743
Purchase 617 1.6203
Purchase 500 1.5482
Purchase 6,373 1.5600
Purchase 1,000 1.5710
Purchase 140 1.6195
Purchase 312 1.5692
Purchase 7,500 1.5580
Purchase 2,000 1.6559
Purchase 1,102 1.5684
Purchase 4,867 1.6328
Purchase 6,000 1.6950
Purchase 3,229 1.5370
Purchase 158 1.5815
Purchase 1,000 1.5579
Purchase 650 1.5653
Purchase 254 1.5714
Purchase 1,500 Transfer
Purchase 5,008 1.6460
Purchase 7,000 1.5787
Purchase 1,000 1.6942
Purchase 621 1.6088
Purchase 4,791 1.6596
Purchase 6,338 1.5687
Purchase 14,488 1.6460
Purchase 2,000 1.6956
Purchase 6,428 1.5467
Purchase 11,776 1.6690
Purchase 23 1.6354
Purchase 298 1.6259
Purchase 6,113 1.6358
Purchase 1,000 1.6448
Purchase 2,531 1.6458
Purchase 117 1.6259
Purchase 6,262 1.5877
Purchase 6,491 1.5318
Purchase 2,983 1.5300
Purchase 3,000 1.6398
Purchase 4,000 1.5600
Purchase 1,000 1.5355
Purchase 7,000 Transfer
Purchase 5,000 1.5495
Purchase 2,230 1.6244
Purchase 1,500 1.6653
Purchase 282 1.5578
Purchase 1,954 1.5345
Purchase 5,510 1.5777
Purchase 3,122 1.5590
Purchase 2,000 1.5453
Purchase 5,000 1.5757
Purchase 4,713 1.5718
Purchase 4,000 1.5810
Purchase 1,218 1.6413
Purchase 260 1.5367
Purchase 600 1.6370
Purchase 1,287 1.5367
Purchase 1,500 Transfer
Purchase 14,866 1.6460
Purchase 40,000 1.6980
Purchase 1,914 1.5673
Purchase 5,000 1.6366
Purchase 3,189 1.5577
Purchase 400 1.5485
Purchase 1,000 1.5792
Purchase 1,790 1.6631
Purchase 34,075 1.6350
Purchase 718 1.5584
Purchase 1,000 1.6259
Purchase 160 1.6203
Purchase 7,000 1.5357
Purchase 1,049 1.6198
Purchase 1,824 1.6322
Purchase 1,000 1.5584
Purchase 632 1.5546
Purchase 622 1.5794
Purchase 7,500 1.5747
Purchase 17 1.5586
Purchase 634 1.5579
Purchase 3,000 1.5697
Purchase 7,000 1.5576
Purchase 307 1.5783
Purchase 1,668 1.5579
Purchase 1,000 1.5718
Purchase 1,191 1.6649
Purchase 645 1.5488
Purchase 5,613 1.6294
Purchase 3,120 1.5500
Purchase 500 1.6362
Purchase 5,000 1.6275
Purchase 5,000 1.5486
Purchase 5,000 1.6900
Purchase 672 1.5485
Purchase 870 1.5347
Purchase 3,786 1.5737
Purchase 5,000 1.5257
Purchase 4,224 1.5600
Purchase 5 1.5295
Purchase 750 1.5834
Purchase 2,439 1.6287
Purchase 5,054 1.5735
Purchase 1,000 1.6416
Purchase 1,000 1.6485
Purchase 23 1.6355
Purchase 2,000 1.5488
Purchase 2,548 1.6366
Purchase 6,383 1.5665
Purchase 2,000 1.5488
Purchase 6,292 1.5800
Purchase 2,500 1.6259
Purchase 1,500 1.5345
Purchase 1,571 1.5781
Purchase 2,500 1.6649
Purchase 18,899 1.5790
Purchase 448 1.5714
Purchase 287 1.5550
Purchase 3,273 1.6398
Purchase 2,500 1.5621
Purchase 1,000 1.5295
Purchase 720 1.6208
Purchase 3,144 1.5800
Purchase 4,000 1.6485
Purchase 6,150 1.6158
Purchase 2,000 1.6197
Purchase 500 Transfer
Purchase 715 1.5489
Purchase 2,500 1.6344
Purchase 700 1.5875
Purchase 1,255 1.5797
Purchase 20,400 1.5635
Purchase 1,000 1.5641
Purchase 3,140 1.5922
Purchase 2,500 1.5565
Purchase 2,400 1.5884
Purchase 1,912 1.5574
Purchase 600 1.5694
Purchase 2,000 1.5889
Purchase 2,366 1.6788
Purchase 7,000 1.6000
Purchase 378 1.5579
Purchase 625 1.5788
Purchase 59,200 1.6217
Purchase 2,528 1.5715
Purchase 1,291 1.5485
Purchase 2,692 1.5850
Purchase 1,000 1.5463
Purchase 3,905 1.5703
Purchase 184,911 1.5895
Purchase 913 1.6259
Purchase 1,000 1.6408
Purchase 4,199 1.6670
Purchase 63 1.5751
Purchase 653 1.6636
Purchase 4,554 1.5495
Purchase 248 1.6121
Purchase 1,938 1.5361
Purchase 2,000 1.6871
Purchase 9,633 1.5480
Purchase 2,000 1.5673
Purchase 764 1.5513
Purchase 2,500 1.6286
Purchase 2,000 1.5588
Purchase 2,000 1.5480
Purchase 6,395 1.5547
Purchase 2,000 1.6355
Purchase 1,806 1.6485
Purchase 3,000 1.6980
Purchase 16,147 1.5400
Purchase 3,144 1.5800
Purchase 4,500 1.5474
Purchase 1,961 1.5295
Purchase 383 1.5402
Purchase 53,953 1.5600
Purchase 2,000 1.5670
Purchase 2,500 1.6827
Purchase 32 1.5395
Purchase 18,576 1.5690
Purchase 63 1.5717
Purchase 3,695 1.6464
Purchase 951 1.6649
Purchase 6,173 1.6098
Purchase 313 1.5488
Purchase 10,000 1.5880
Purchase 6,053 1.6427
Purchase 1,000 1.5556
Purchase 5,899 1.6950
Purchase 490 1.5292
Purchase 18,307 1.6570
Purchase 248 1.5675
Purchase 1,500 1.5872
Purchase 300 1.5420
Purchase 1,000 1.5374
Purchase 302 1.6208
Purchase 1,000 1.5367
Purchase 156 1.5423
Purchase 634 1.5486
Purchase 635 1.5391
Purchase 400 1.5395
Purchase 2,000 1.5780
Purchase 7,000 1.6148
Purchase 606 1.6203
Purchase 2,262 1.5548
Purchase 1,991 1.6451
Purchase 4,458 1.5500
Purchase 1,000 1.5520
Purchase 1,898 1.5688
Purchase 314 1.5578
Purchase 6,065 1.6390
Purchase 10,000 1.6470
Purchase 200 1.6260
Purchase 500 1.6276
Purchase 2,514 1.5907
Purchase 450 1.5599
Purchase 4,056 1.6485
Purchase 53 1.6259
Purchase 905 1.6562
Purchase 1,000 1.5485
Purchase 2,668 1.6550
Purchase 1,282 1.5598
Purchase 10,121 1.6700
Purchase 5,000 1.6308
Purchase 200 1.5686
Purchase 1,291 1.5480
Purchase 2,000 1.6398
Purchase 1,951 1.5798
Purchase 1,861 1.5970
Purchase 115 1.6259
Purchase 917 1.5255
Sale 17,074 1.5580
Sale 1,205 1.6302
Sale 404 1.6730
Sale 100 1.5791
Sale 2,500 1.5535
Sale 6,065 1.5622
Sale 37 1.5644
Sale 2,668 1.6017
Sale 2,000 1.6246
Sale 7,000 1.6120
Sale 1,000 1.5807
Sale 4,000 1.6893
Sale 5,000 1.6070
Sale 656 1.5539
Sale 1,000 1.5713
Sale 5,000 1.6352
Sale 10,000 1.5604
Sale 6,085 1.5776
Sale 720 1.5617
Sale 131 1.5366
Sale 100 1.5520
Sale 6,491 1.5485
Sale 273 1.5662
Sale 625 1.5633
Sale 7,128 1.5513
Sale 5,561 1.5703
Sale 4,546 1.5553
Sale 7,000 1.5980
Sale 7,000 1.5852
Sale 10,427 1.6000
Sale 300 1.5566
Sale 6,373 1.5804
Sale 5,000 1.5972
Sale 14,866 1.5850
Sale 5,054 1.5604
Sale 15,000 1.5680
Sale 1,000 1.5423
Sale 43 1.5369
Sale 5,300 1.5604
Sale 7,000 Transfer
Sale 3,598 1.6162
Sale 4,000 1.6810
Sale 362 1.5292
Sale 4,822 1.5773
Sale 1,800 1.6230
Sale 11,590 1.6100
Sale 674 1.6037
Sale 150 1.6048
Sale 4,770 1.5725
Sale 2,000 1.5743
Sale 2,175 1.5513
Sale 2,879 1.5832
Sale 168,639 1.5900
Sale 596 1.6285
Sale 1,819 1.6632
Sale 2,528 1.5733
Sale 230 1.5690
Sale 308 1.5481
Sale 500 1.5782
Sale 5,613 1.5904
Sale 18,899 1.5460
Sale 1,005 1.6172
Sale 1,358 1.6404
Sale 353 1.5610
Sale 3,000 1.5510
Sale 2,000 1.5418
Sale 1,790 1.6907
Sale 2,500 1.6835
Sale 941 1.5578
Sale 392 1.5521
Sale 1,000 1.5410
Sale 1,150 1.6253
Sale 2,500 1.5426
Sale 2,500 1.6765
Sale 7,000 1.5828
Sale 339 1.5713
Sale 500 1.5706
Sale 1,500 Transfer
Sale 2,000 1.5374
Sale 200 1.6285
Sale 419 1.5329
Sale 2,000 1.6507
Sale 4,542 1.6000
Sale 1,100 1.5615
Sale 3,135 1.6075
Sale 1,571 1.5807
Sale 2,000 1.5632
Sale 11,074 1.5450
Sale 3,000 1.5282
Sale 1,000 1.6907
Sale 5,000 1.5763
Sale 7,000 1.5503
Sale 5,000 1.5423
Sale 6,000 1.5683
Sale 874 1.6015
Sale 4,000 1.6282
Sale 634 1.5928
Sale 3,625 1.6172
Sale 1,000 1.5264
Sale 7,000 1.5753
Sale 224 1.5786
Sale 187 1.5789
Sale 1,954 1.6238
Sale 524 1.5371
Sale 2,000 1.5757
Sale 7,000 1.5764
Sale 2,000 1.5266
Sale 2,500 1.5320
Sale 1,991 1.6015
Sale 294 Transfer
Sale 549 1.5623
Sale 2,200 1.5410
Sale 14,710 1.5850
Sale 209,251 1.5934
Sale 49,246 1.5863
Sale 1,350 1.5410
Sale 3,905 1.5857
Sale 95 1.5517
Sale 118 1.5795
Sale 509 1.6210
Sale 7,500 1.6075
Sale 44 1.5446
Sale 6,395 1.5683
Sale 2,000 1.6368
Sale 1,000 1.6230
Sale 500 1.5723
Sale 700 1.5422
Sale 1,900 1.6830
Sale 2,500 1.6499
Sale 1,218 1.6085
Sale 1,950 1.5683
Sale 627 1.5706
Sale 431 1.5662
Sale 23 1.5515
Sale 3,000 1.5470
Sale 2,500 1.6571
Sale 500 1.5623
Sale 2,500 1.6907
Sale 2,900 1.5773
Sale 400 1.5617
Sale 3,689 1.6502
Sale 1,938 1.6065
Sale 2,287 1.5490
Sale 30,000 1.5400
Sale 225 1.5357
Sale 5,467 1.6060
Sale 650 1.6123
Sale 7,500 1.5704
Sale 6,428 1.5612
Sale 553 1.5538
Sale 5,000 1.5514
Sale 1,991 1.6659
Sale 8,835 1.6270
Sale 1,000 1.6158
Sale 500 1.5613
Sale 1,013 1.6384
Sale 625 1.5629
Sale 1,536 1.5563
Sale 5,055 1.5404
Sale 3,500 1.6112
Sale 4,233 1.6303
Sale 1,400 1.5571
Sale 668 1.6037
Sale 5,000 1.5712
Sale 635 1.5428
Sale 2,531 1.6292
Sale 2,500 1.6878
Sale 3,325 1.5410
Sale 1,000 1.5437
Sale 11,776 1.5704
Sale 595 1.5386
Sale 7,621 1.5320
Sale 1,000 1.5361
Sale 1,935 1.5614
Sale 6,053 1.5622
Sale 4,249 1.5834
Sale 3,122 1.6000
Sale 3,144 1.5472
Sale 1,500 1.5840
Sale 2,000 1.6499
Sale 2,000 1.5706
Sale 544 1.5705
Sale 7,500 1.5633
Sale 19,078 1.5780
Sale 56 1.6142
Sale 2,000 1.6051
Sale 55,582 1.5710
Sale 1,000 1.5723
Sale 4,600 1.6202
Sale 400 1.5709
Sale 628 1.5684
Sale 3,041 1.5353
Sale 6,364 1.5803
Sale 3,000 1.5502
Sale 1,896 1.5713
Sale 500 1.6166
Sale 1,315 1.6657
Sale 3,308 1.5540
Sale 2,400 1.5419
Sale 5,804 1.5990
Sale 1,306 1.5356
Sale 9,300 1.5390
Sale 3,256 1.5683
Sale 1,824 1.6730
Sale 4,971 1.5684
Sale 3,229 1.5520
Sale 3,500 1.5470
Sale 300 1.6569
Sale 20,000 1.7300
Sale 307 1.5257
Sale 637 1.5617
Sale 2,000 1.5733
Sale 4,846 1.6162
Sale 2,500 1.6107
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per unit
(e.g. CFD) (Note 6) Securities (GBP)
CFD Short 20400 1.5635
CFD Short 3905 1.5702
CFD Short 184911 1.5894
CFD Short 59200 1.6216
CFD Long 95 1.5516
CFD Long 3905 1.5856
CFD Long 49246 1.5863
CFD Long 209251 1.5934
(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 08 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