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 08 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 24,125,030 5.73% 244,836 0.06%
securities
(2) Derivatives 3,915,361 0.93% 3,356,354 0.80%
(other than
options)
(3) Options and 22,319 0.01% 0 0.00%
agreements to
purchase/sell
Total 28,062,710 6.66% 3,601,190 0.85%
(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 650 1.7086
Purchase 713 1.7520
Purchase 3,000 1.7550
Purchase 2,500 1.7104
Purchase 116 1.7222
Purchase 331 1.8075
Purchase 7,500 1.7247
Purchase 288 1.7302
Purchase 582 1.7171
Purchase 219 1.7267
Purchase 1,622 1.7747
Purchase 150 1.7134
Purchase 2,976 1.6800
Purchase 1,690 1.7617
Purchase 169 1.6894
Purchase 2,053 1.6922
Purchase 283 1.7142
Purchase 4,686 1.6970
Purchase 2,500 1.7690
Purchase 571 1.7500
Purchase 5,150 1.7050
Purchase 207 1.7386
Purchase 500 1.7122
Purchase 136 1.7313
Purchase 1,000 1.6976
Purchase 4,608 1.7247
Purchase 227 1.7047
Purchase 2,922 1.7000
Purchase 500 1.7234
Purchase 500 1.7122
Purchase 5,000 1.7097
Purchase 950 1.7326
Purchase 1,000 1.7400
Purchase 1,133 1.7450
Purchase 1,000 1.7592
Purchase 1,500 1.7465
Purchase 2,923 1.7100
Purchase 2,500 1.7715
Purchase 110 1.7343
Purchase 3,313 1.7987
Purchase 495 1.6929
Purchase 500 1.7354
Purchase 1,161 1.7220
Purchase 300 1.7350
Purchase 565 1.7399
Purchase 158 1.7244
Purchase 1,751 1.6976
Purchase 150 1.7400
Purchase 54 1.6932
Purchase 2,604 1.7149
Purchase 2,500 1.7742
Purchase 915 1.7259
Purchase 2,000 1.7097
Purchase 1,500 Transfer
Purchase 1,000 1.7300
Purchase 279 1.7389
Purchase 1,600 1.7672
Purchase 300 1.7286
Purchase 500 Transfer
Purchase 287 1.7400
Purchase 793 1.7460
Purchase 4,105 1.7550
Purchase 4,538 1.7294
Purchase 1,723 1.7410
Purchase 18,728 1.7210
Purchase 5,200 1.7467
Purchase 290 1.7204
Purchase 2,810 1.7790
Purchase 2,500 1.7800
Purchase 466 1.6800
Purchase 210 1.7300
Purchase 4,651 1.7098
Purchase 290 1.6912
Purchase 2,000 1.7650
Purchase 7,500 1.6960
Purchase 2,026 1.7267
Purchase 2,846 1.7290
Purchase 700 1.7211
Purchase 581 1.6976
Purchase 3,000 1.7540
Purchase 1,000 1.7197
Purchase 2,263 1.7550
Purchase 2,000 1.7550
Purchase 1,000 1.7407
Purchase 393 1.7400
Purchase 2,000 1.6983
Purchase 403 1.7088
Purchase 4,000 1.7500
Purchase 283 1.7147
Purchase 4,387 1.7176
Purchase 763 1.7124
Purchase 285 1.7496
Purchase 7,700 1.8080
Purchase 2,000 1.7507
Purchase 821 1.7520
Purchase 576 1.7342
Purchase 5,000 1.6810
Purchase 14,449 1.7210
Purchase 1,000 1.7230
Purchase 964 1.6750
Purchase 4,356 1.7000
Purchase 57 1.7242
Purchase 300 1.7211
Purchase 2,500 1.7376
Purchase 1,358 1.7120
Purchase 1,000 1.7174
Purchase 500 1.7135
Purchase 4,500 1.7325
Purchase 2,787 1.7820
Purchase 546 1.7987
Purchase 2,850 1.6750
Purchase 1,252 1.7062
Purchase 437 1.6884
Purchase 2,500 1.7402
Purchase 1,513 1.7510
Purchase 3,309 1.7400
Purchase 1,500 1.7000
Purchase 570 1.7520
Purchase 562 1.7467
Purchase 1,739 1.7089
Purchase 2,000 1.6918
Purchase 2,030 1.7234
Purchase 6,366 1.7277
Purchase 3,309 1.6927
Purchase 1,146 1.7450
Purchase 4,842 1.6916
Purchase 287 1.7077
Purchase 2,903 1.7220
Purchase 750 1.7400
Purchase 11,396 1.7550
Purchase 2,338 1.6988
Purchase 862 1.7220
Purchase 3,904 1.6990
Purchase 281 1.7259
Purchase 561 1.7500
Purchase 5,000 1.7276
Purchase 3,000 1.7137
Purchase 2,000 1.7317
Purchase 500 1.7295
Purchase 792 1.7245
Purchase 5,200 1.7267
Purchase 5,168 1.6897
Purchase 114 1.7400
Purchase 2,300 1.7600
Purchase 112,602 1.6170
Purchase 7,413 1.7130
Purchase 3,000 1.7100
Purchase 2,750 1.7077
Purchase 3,513 1.6970
Purchase 2,948 1.6960
Purchase 1,000 1.7140
Purchase 60,728 1.7290
Purchase 1,702 1.7496
Purchase 1,145 1.7266
Purchase 4,470 1.7790
Purchase 576 1.7047
Purchase 1,000 1.7635
Purchase 113 1.7670
Purchase 29,002 1.7240
Purchase 673 1.7635
Purchase 18,953 1.6900
Purchase 2,000 1.7987
Purchase 2,500 1.7352
Purchase 574 1.7107
Purchase 20 1.7205
Purchase 5,714 1.7500
Purchase 399 1.7005
Purchase 1,000 1.6990
Purchase 2,596 1.7510
Purchase 426 1.6794
Purchase 10,000 1.7400
Purchase 2,000 1.6894
Purchase 3,000 1.7187
Purchase 564 1.7400
Purchase 2,872 1.7277
Purchase 814 1.7500
Purchase 144 1.7390
Purchase 5 1.7550
Purchase 1,000 1.7067
Purchase 874 1.7171
Purchase 50 1.7259
Purchase 1,000 1.7285
Purchase 5,917 1.6900
Purchase 2,876 1.7257
Purchase 2,500 1.7740
Purchase 549 1.6994
Purchase 288 1.7354
Purchase 5,366 1.6770
Purchase 72,463 1.7250
Purchase 5,000 1.6986
Purchase 2,000 1.7088
Purchase 368 1.7086
Purchase 1,000 1.7187
Purchase 2,000 1.6918
Purchase 220 1.7467
Purchase 1,728 1.7285
Purchase 1,000 1.7450
Purchase 2,547 1.6880
Purchase 568 1.7600
Purchase 6,000 1.7182
Purchase 3,498 1.7150
Purchase 2,000 1.7035
Purchase 1,023 1.6942
Purchase 135 1.7435
Purchase 577 1.7313
Purchase 500 1.7250
Purchase 20,037 1.7554
Purchase 4 1.7304
Purchase 1,000 1.7690
Purchase 35,000 1.7400
Purchase 1,500 1.7000
Purchase 2,895 1.7160
Purchase 1,300 1.7217
Purchase 580 1.7219
Purchase 2,500 1.7270
Purchase 112,602 1.5850
Purchase 572 1.7477
Purchase 673 1.7250
Purchase 1,000 1.7151
Purchase 87,778 1.7408
Purchase 2,300 1.7480
Purchase 2,700 1.7480
Purchase 2,000 1.7370
Purchase 112,602 1.7340
Purchase 4,490 1.7203
Purchase 3,000 1.6900
Purchase 1,302 1.7100
Purchase 4,700 1.7428
Purchase 20,000 1.7400
Purchase 2,250 1.6990
Purchase 2,000 1.7540
Purchase 1,000 1.7690
Purchase 225 1.7145
Purchase 7,171 1.6917
Purchase 188 1.7304
Purchase 2,000 1.7195
Purchase 1,138 1.7343
Purchase 5,702 1.7437
Purchase 2,877 1.7374
Purchase 3,000 1.7567
Purchase 58 1.7063
Purchase 7,232 1.7420
Purchase 574 1.7400
Purchase 3,000 1.6897
Purchase 1,148 1.7265
Purchase 11,668 1.7140
Purchase 1,000 1.6658
Purchase 2,000 1.7364
Purchase 541 1.7570
Purchase 55 1.7052
Purchase 4,236 1.7597
Purchase 5,000 1.7540
Purchase 2,000 1.7670
Purchase 172 1.7428
Purchase 285 1.7507
Purchase 14 1.7450
Purchase 250 1.7765
Purchase 4,500 1.7100
Purchase 1,151 1.7372
Purchase 348 1.7228
Purchase 34,150 1.7250
Purchase 6,482 1.6970
Purchase 4,000 1.7555
Purchase 1,141 1.7520
Purchase 500 1.7570
Purchase 4,000 1.7987
Purchase 3,000 1.7407
Purchase 566 1.7262
Purchase 1,000 1.7343
Purchase 1,000 1.7300
Purchase 4,500 1.7500
Purchase 1,002 1.7300
Purchase 2,834 1.7467
Purchase 937 1.6900
Purchase 626 1.7295
Purchase 781 1.7987
Purchase 57 1.7459
Purchase 7,500 1.7555
Purchase 1,000 1.7230
Purchase 3,000 1.8000
Purchase 8,000 1.7555
Purchase 1,341 1.7890
Purchase 1,000 1.7382
Purchase 106 1.7398
Purchase 10,000 1.7300
Purchase 2,881 1.7227
Purchase 5,000 1.7367
Purchase 500 1.7397
Purchase 1,155 1.7125
Sale 3,000 1.7950
Sale 500 1.8000
Sale 400 1.7650
Sale 2,122 1.7810
Sale 1,898 1.7170
Sale 5,000 1.7104
Sale 1,000 1.8000
Sale 2,000 1.7008
Sale 4,000 1.7420
Sale 3,013 1.7320
Sale 2,000 1.7810
Sale 6,292 1.7540
Sale 3,150 1.7103
Sale 208 1.7400
Sale 2,052 1.7530
Sale 2,300 1.6977
Sale 2,160 1.7460
Sale 4,056 1.7230
Sale 4,500 1.7013
Sale 5,887 1.7600
Sale 7,346 1.7400
Sale 2,263 1.7710
Sale 1,302 1.7270
Sale 750 1.7365
Sale 2,338 1.7243
Sale 4,686 1.6980
Sale 572 1.7102
Sale 531 1.7113
Sale 2,000 1.7810
Sale 7,500 1.7203
Sale 4,230 1.6880
Sale 273 1.7950
Sale 4,842 1.7233
Sale 5,000 1.7323
Sale 7,413 1.7104
Sale 1,788 1.7102
Sale 3,313 1.7258
Sale 4,524 1.7194
Sale 148 1.7360
Sale 3,375 1.7800
Sale 288 1.7103
Sale 2,262 1.7107
Sale 500 1.7224
Sale 1,000 1.7510
Sale 30,395 1.7400
Sale 2,577 1.8000
Sale 1,367 Transfer
Sale 260 1.7300
Sale 4,000 1.7530
Sale 36,561 1.7400
Sale 6,000 1.7160
Sale 1,714 1.7510
Sale 10,000 1.7400
Sale 4,000 1.7150
Sale 2,000 1.6948
Sale 329 1.7200
Sale 1,908 1.7110
Sale 8,776 1.7280
Sale 1,000 1.7314
Sale 350 1.7504
Sale 1,000 1.7362
Sale 964 1.7254
Sale 4,000 1.7238
Sale 1,193 1.6835
Sale 100,000 1.7210
Sale 11,396 1.7100
Sale 2,000 1.7210
Sale 1,131 1.7102
Sale 2,907 1.7500
Sale 1,358 1.7359
Sale 5,000 1.7235
Sale 7,232 1.6870
Sale 2,905 1.7300
Sale 1,282 1.7365
Sale 974 1.7400
Sale 2,000 1.7206
Sale 922 1.7127
Sale 60,728 1.7500
Sale 1,000 1.7990
Sale 924 1.6700
Sale 12,323 1.7130
Sale 3,000 1.8000
Sale 1,300 1.7352
Sale 4,400 1.7260
Sale 4,763 1.7413
Sale 4,705 1.7018
Sale 1,000 1.7460
Sale 2,000 1.6660
Sale 4,000 1.7184
Sale 4,000 1.7228
Sale 50,000 1.7950
Sale 7,500 1.6910
Sale 1,000 1.7337
Sale 1,500 1.6804
Sale 1,000 1.8000
Sale 1,668 1.7254
Sale 4,244 1.7610
Sale 2,033 1.7255
Sale 153 1.7175
Sale 1,250 1.7177
Sale 2,500 1.7400
Sale 1,000 1.7260
Sale 750 1.7372
Sale 312 1.7630
Sale 2,500 1.7500
Sale 300 1.7210
Sale 2,000 1.6833
Sale 2,000 1.7950
Sale 5,586 1.7358
Sale 2,000 1.7404
Sale 1,600 1.7300
Sale 200 1.7224
Sale 2,600 1.7348
Sale 2,500 1.7730
Sale 1,739 1.7334
Sale 2,500 1.7710
Sale 754 1.8000
Sale 18,953 1.7100
Sale 2,976 1.7366
Sale 12,500 1.7600
Sale 500 1.7200
Sale 500 1.8000
Sale 2,500 1.7990
Sale 1,000 1.7103
Sale 2,550 1.7353
Sale 5,168 1.7103
Sale 3,465 1.7093
Sale 1,000 1.7196
Sale 62 1.7262
Sale 1,552 1.7187
Sale 1,500 Transfer
Sale 3,333 1.6910
Sale 555 1.7210
Sale 3,000 1.7334
Sale 2,400 1.7950
Sale 4,000 1.7800
Sale 581 1.7215
Sale 2,000 1.7314
Sale 2,500 1.7950
Sale 300 1.7204
Sale 240 1.7350
Sale 10,000 1.7710
Sale 2,894 1.7170
Sale 500 1.7323
Sale 2,500 1.7283
Sale 112,602 1.6170
Sale 5,835 1.7258
Sale 2,000 1.7856
Sale 2,500 1.7710
Sale 18,307 1.7710
Sale 1,405 1.7600
Sale 2,500 1.7500
Sale 1,000 1.6932
Sale 350 1.7500
Sale 5,366 1.7198
Sale 344 1.7009
Sale 112,602 1.7340
Sale 35,000 1.7450
Sale 112,602 1.7340
Sale 42,700 1.7311
Sale 1,100 1.7204
Sale 133 1.7324
Sale 8,500 1.6866
Sale 92,548 1.7412
Sale 1,825 1.7204
Sale 20,037 1.6937
Sale 112,602 1.5850
Sale 1,300 1.7195
Sale 7,500 1.7403
Sale 1,000 1.7195
Sale 2,128 1.7710
Sale 1,151 1.7093
Sale 400 1.7500
Sale 4,236 1.7140
Sale 2,500 1.7980
Sale 803 1.7204
Sale 1,250 1.7453
Sale 1,000 1.7041
Sale 4,867 1.6810
Sale 7,000 1.7233
Sale 1,000 1.7362
Sale 500 1.7348
Sale 3,000 1.7300
Sale 2,000 1.7750
Sale 1,000 1.7104
Sale 500 1.7480
Sale 469 1.7250
Sale 1,754 1.7153
Sale 2,000 1.7207
Sale 12,743 1.7360
Sale 5,510 1.7500
Sale 5,000 1.7510
Sale 3,200 1.7354
Sale 5,008 1.7200
Sale 3,000 1.7183
Sale 5,000 1.7364
Sale 53,953 1.7530
Sale 944 1.7500
Sale 750 1.7400
Sale 3,000 1.7950
Sale 680 1.7550
Sale 200 1.7338
Sale 15,364 1.7210
Sale 3,000 1.7408
Sale 3,000 1.7314
Sale 5,000 1.7203
Sale 1,285 1.7210
Sale 349 1.7208
Sale 500 1.7283
Sale 1,290 1.7309
Sale 1,000 1.6910
Sale 1,000 1.6794
Sale 7,700 1.7130
Sale 5,209 1.7100
Sale 12,150 1.7320
Sale 6,338 1.6916
Sale 713 1.6838
Sale 5,000 1.6933
Sale 18,576 1.7360
Sale 2,500 1.7168
Sale 13,091 1.7210
Sale 1,338 1.7210
Sale 531 1.7063
Sale 1,000 1.7102
Sale 1,000 1.7850
Sale 200 1.7500
Sale 2,000 1.7402
Sale 2,000 1.7132
Sale 2,000 1.7600
Sale 272 1.7128
Sale 200 1.7063
Sale 500 1.7323
Sale 553 1.7550
Sale 1,200 1.7215
Sale 1,049 1.7210
Sale 2,500 1.7435
Sale 400 1.7264
Sale 2,000 1.7710
Sale 867 1.7323
Sale 862 1.7870
Sale 1,000 1.7514
Sale 5,200 1.7194
Sale 4,000 1.7382
Sale 4,451 1.7710
Sale 28,991 1.7950
Sale 4,500 1.7348
Sale 2,000 1.7170
Sale 1,500 1.6700
Sale 4,365 1.7203
Sale 2,850 1.7302
Sale 2,500 1.7235
Sale 463 1.7264
Sale 350 1.7419
Sale 5,000 1.7406
Sale 86 1.7232
Sale 8,000 1.6760
Sale 2,500 1.7510
Sale 2,548 1.7000
Sale 5,000 1.7214
Sale 115 1.7132
Sale 3,460 1.6700
Sale 1,017 1.8000
Sale 1,138 1.7610
Sale 3,498 1.7348
Sale 5,000 1.7366
Sale 1,912 1.7250
Sale 2,500 1.7990
Sale 1,000 1.7160
Sale 2,500 1.7334
Sale 40,000 1.7090
Sale 1,000 1.7744
Sale 1,500 1.7510
Sale 500 1.7179
Sale 9,332 1.7018
Sale 16,986 1.7220
Sale 500 1.7195
Sale 800 1.8004
Sale 1,080 1.7360
Sale 1,302 1.8000
Sale 2,000 1.7860
Sale 11,668 1.7213
Sale 2,000 1.7980
Sale 3,273 1.7500
Sale 1,334 1.7230
Sale 1,690 1.7174
Sale 2,000 1.7480
Sale 3,140 1.7363
Sale 6,383 1.7540
Sale 2,903 1.7527
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per unit
(e.g. CFD) (Note 6) Securities (GBP)
CFD Short 4490 1.7203
CFD Short 87778 1.7408
CFD Short 20037 1.7553
CFD Long 20037 1.6936
CFD Long 42700 1.731
CFD Long 92548 1.7412
(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 09 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