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 17 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 23,929,135 5.68% 195,512 0.05%
securities
(2) Derivatives 5,620,044 1.33% 5,111,083 1.21%
(other than
options)
(3) Options and 0 0.00% 0 0.00%
agreements to
purchase/sell
Total 29,549,179 7.02% 5,306,595 1.26%
(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 267 2.2422
Purchase 4,000 2.1894
Purchase 400 2.1391
Purchase 3,400 2.2966
Purchase 2,727 2.1997
Purchase 7,314 2.17
Purchase 7,500 2.1997
Purchase 4,685 2.1222
Purchase 48 2.2646
Purchase 368 2.17
Purchase 1,153 2.1497
Purchase 1,000 2.1497
Purchase 500 2.2171
Purchase 1,000 2.1272
Purchase 455 2.1697
Purchase 1,868 2.1268
Purchase 1,919 2.0694
Purchase 421 2.1372
Purchase 2,360 2.1044
Purchase 2,000 2.1194
Purchase 2,175 2.2797
Purchase 1,385 2.1497
Purchase 2,000 2.0844
Purchase 4,689 2.1322
Purchase 935 2.1194
Purchase 238 2.0994
Purchase 4,535 2.2047
Purchase 205 2.2347
Purchase 2,000 2.1796
Purchase 3,615 2.1848
Purchase 4,541 2.1892
Purchase 2,093 2.1497
Purchase 3,000 2.1848
Purchase 1,412 2.1945
Purchase 1,000 2.1718
Purchase 3,000 2.1796
Purchase 2,500 2.1597
Purchase 2,000 2.1896
Purchase 3,177 2.19
Purchase 92 2.1697
Purchase 3,362 2.2172
Purchase 4,000 2.1497
Purchase 1,086 2.2794
Purchase 2,289 2.17
Purchase 773 2.07
Purchase 2,500 2.1044
Purchase 5,000 2.2575
Purchase 5,000 2.1069
Purchase 977 2.2443
Purchase 2,000 2.2497
Purchase 1,300 2.1272
Purchase 500 2.2397
Purchase 700 2.229
Purchase 4,207 2.1397
Purchase 500 2.0944
Purchase 430 2.2821
Purchase 114 2.1865
Purchase 68 2.1769
Purchase 5,000 2.1486
Purchase 1,000 2.1194
Purchase 2,311 2.1194
Purchase 25,826 2.2225
Purchase 250 Transfer
Purchase 13,000 2.175
Purchase 1,000 2.2221
Purchase 500 2.1497
Purchase 1,382 2.1697
Purchase 2,628 2.2685
Purchase 4,587 2.1797
Purchase 2,132 2.0944
Purchase 3,000 2.2309
Purchase 250 2.0944
Purchase 1,000 2.2547
Purchase 100 2.1896
Purchase 5,000 2.1697
Purchase 94 2.1268
Purchase 4,690 2.1192
Purchase 700 2.1394
Purchase 3,417 2.1944
Purchase 2,344 2.1194
Purchase 2,198 2.2597
Purchase 398 2.2662
Purchase 20,930 2.15
Purchase 1,000 2.15
Purchase 2,321 2.1397
Purchase 4,000 2.2171
Purchase 5,000 2.2596
Purchase 2,000 2.119
Purchase 1,050 2.1072
Purchase 2,357 2.1072
Purchase 824 2.1194
Purchase 500 2.0644
Purchase 1,848 2.1472
Purchase 441 2.2397
Purchase 2,000 2.1722
Purchase 2,000 2.1497
Purchase 1,901 2.1695
Purchase 1,426 2.17
Purchase 1,000 2.24
Purchase 5,000 2.2334
Purchase 5,000 2.2596
Purchase 4,425 2.2597
Purchase 934 2.1397
Purchase 1,312 2.2856
Purchase 41 2.1268
Purchase 1,370 2.1897
Purchase 3,094 2.2472
Purchase 924 2.144
Purchase 10,000 2.19
Purchase 1,332 2.2522
Purchase 10,000 2.255
Purchase 200 2.1362
Purchase 1,000 2.0894
Purchase 3,000 2.1697
Purchase 1,000 2.1497
Purchase 2,700 2.2222
Purchase 1,425 2.1044
Purchase 5,008 2.24
Purchase 2,200 2.2675
Purchase 4,580 2.1697
Purchase 500 2.1447
Purchase 1,408 2.1848
Purchase 922 2.1497
Purchase 4,000 2.2194
Purchase 1,010 2.1094
Purchase 1,140 2.1697
Purchase 4,627 2.1486
Purchase 2,000 2.1194
Purchase 3,279 2.07
Purchase 1,819 2.1989
Purchase 1,000 2.1562
Purchase 1,200 2.1347
Purchase 2,184 2.2269
Purchase 1,000 2.2597
Purchase 2,000 2.1497
Purchase 2,040 2.1397
Purchase 39 2.221
Purchase 2,737 2.15
Purchase 2,000 2.229
Purchase 5,000 2.2172
Purchase 2,250 2.2221
Purchase 475 2.1019
Purchase 1,000 2.2169
Purchase 1,000 2.1218
Purchase 940 2.2822
Purchase 1,000 2.1772
Purchase 2,500 2.1496
Purchase 2,392 2.0894
Purchase 656 2.2622
Purchase 636 2.1697
Purchase 1,300 2.2392
Purchase 47,201 2.24
Purchase 1,000 2.1768
Purchase 3,888 2.1342
Purchase 4,419 2.2497
Purchase 2,000 2.2222
Purchase 888 2.2269
Purchase 877 2.2597
Purchase 1,567 2.2172
Purchase 2,894 2.0944
Purchase 1,598 2.1897
Purchase 2,691 2.229
Purchase 4,405 2.2697
Purchase 1,013 2.1697
Purchase 1,321 2.2531
Purchase 4,716 2.12
Purchase 1,000 2.1497
Purchase 1,260 2.1897
Purchase 2,871 2.0894
Purchase 3,500 2.19
Purchase 4,187 2.1491
Purchase 21,633 2.265
Purchase 16,434 2.185
Purchase 1,034 2.0944
Purchase 2,000 2.0894
Purchase 5,000 2.1769
Purchase 622 2.1697
Purchase 297 2.1797
Purchase 40,000 2.165
Purchase 3,000 2.17
Purchase 500 2.1897
Purchase 1,000 2.1194
Purchase 200 2.2622
Purchase 223 2.1695
Purchase 2,289 2.1696
Purchase 4,791 2.1997
Purchase 2,000 2.1072
Purchase 1,843 2.1696
Purchase 911 2.1696
Purchase 358 2.1997
Purchase 3,401 2.2048
Purchase 2,627 2.2693
Purchase 35 2.2472
Purchase 2,243 2.229
Purchase 1,085 2.2246
Purchase 1,789 2.2197
Purchase 1,785 2.24
Purchase 1,000 2.2138
Purchase 225 2.1996
Purchase 4,000 2.2493
Purchase 2,300 2.1597
Purchase 7,000 2.1497
Purchase 300 2.1997
Purchase 238 2.0942
Purchase 3,000 2.2447
Purchase 1,000 2.2568
Purchase 224 2.2593
Purchase 1,806 2.1997
Purchase 1,219 2.1997
Purchase 2,377 2.09
Purchase 1,007 2.1697
Purchase 3,000 2.17
Purchase 1,000 2.1871
Purchase 23 2.1697
Purchase 5,000 2.1397
Purchase 1,000 2.2219
Purchase 5,000 2.2197
Purchase 4,608 2.1697
Purchase 927 2.1392
Purchase 2,362 2.1168
Purchase 500 2.1897
Purchase 1,843 2.17
Purchase 20,999 2.2175
Purchase 2,000 2.2247
Purchase 1,415 2.1192
Purchase 2,000 2.1392
Purchase 5,000 2.2297
Purchase 450 2.1848
Purchase 1,489 2.2692
Purchase 10,000 2.2
Purchase 2,931 2.2647
Purchase 438 2.2797
Purchase 500 2.2373
Purchase 4,583 2.1695
Purchase 11,086 2.255
Purchase 2,463 2.2272
Purchase 2,581 2.2175
Purchase 3,201 2.1868
Purchase 1,000 2.1894
Purchase 437 2.2837
Purchase 11,355 2.19
Purchase 5,000 2.17
Purchase 192 2.234
Purchase 2,000 2.1194
Purchase 173 2.2217
Purchase 20,000 2.2375
Purchase 1,921 2.0819
Purchase 90 2.2197
Purchase 2,740 2.1894
Purchase 10,000 2.2
Purchase 500 2.2293
Purchase 3,000 2.1387
Purchase 14,712 2.2294
Purchase 3,164 2.075
Purchase 1,848 2.1497
Purchase 2,208 2.2475
Purchase 2,829 2.1497
Purchase 150 2.2347
Purchase 1,000 2.2397
Purchase 1,000 2.0944
Purchase 779 2.1547
Purchase 5,400 2.1154
Purchase 2,290 2.1684
Purchase 700 2.1695
Purchase 2,325 2.1497
Purchase 3,000 2.1268
Purchase 2,000 2.1268
Purchase 5,500 2.1904
Purchase 1,000 2.19
Purchase 46,082 2.17
Purchase 500 2.1219
Purchase 1,343 2.2172
Purchase 1,000 2.1497
Purchase 186,638 2.1873
Purchase 1,000 2.2797
Sale 7,000 2.213
Sale 418 2.1543
Sale 14,712 2.2294
Sale 2,758 2.1675
Sale 4,627 2.1108
Sale 100 2.1605
Sale 500 2.2256
Sale 544 2.115
Sale 4,000 2.2343
Sale 5,000 2.0855
Sale 267 2.1237
Sale 4,808 2.163
Sale 1,500 2.1007
Sale 8,000 2.2275
Sale 3,300 2.2731
Sale 2,369 2.2531
Sale 500 2.183
Sale 179,197 2.2092
Sale 2,727 2.215
Sale 14,712 2.2294
Sale 798 2.1356
Sale 500 2.2356
Sale 1,000 2.2681
Sale 45,000 2.1
Sale 3,695 2.133
Sale 2,737 2.2512
Sale 3,000 2.1903
Sale 1,000 2.1728
Sale 4,035 2.2728
Sale 5,400 2.2246
Sale 46,082 2.23
Sale 5,000 2.223
Sale 269 2.1606
Sale 4,854 2.0605
Sale 500 2.2729
Sale 279 2.144
Sale 9,696 2.0875
Sale 3,899 2.1543
Sale 2,916 2.1606
Sale 377 2.1237
Sale 1,000 2.2321
Sale 3,000 2.2605
Sale 4,000 2.0605
Sale 500 2.0855
Sale 1,750 2.1625
Sale 22 2.164
Sale 540 2.1608
Sale 500 2.1767
Sale 125 2.167
Sale 877 2.2228
Sale 1,000 2.1807
Sale 987 2.1807
Sale 15,000 2.25
Sale 3,000 2.1919
Sale 219 2.2087
Sale 4,315 2.0858
Sale 500 2.1679
Sale 940 2.2211
Sale 107 2.1353
Sale 636 2.1855
Sale 1,000 2.2508
Sale 1,000 2.22
Sale 1,000 2.2018
Sale 295 2.2154
Sale 432 2.2186
Sale 2,000 2.0855
Sale 2,384 2.101
Sale 493 2.1936
Sale 192 2.2106
Sale 9,053 2.2137
Sale 250 Transfer
Sale 299 2.2143
Sale 2,899 2.2503
Sale 5,000 2.2512
Sale 1,941 2.2681
Sale 30 2.1503
Sale 931 2.2803
Sale 1,300 2.2732
Sale 1,000 2.1028
Sale 421 2.163
Sale 1,500 2.1903
Sale 413 2.163
Sale 2,000 2.2155
Sale 1,000 2.1155
Sale 2,093 2.1655
Sale 244 2.1887
Sale 924 2.1105
Sale 300 2.2107
Sale 300 2.2728
Sale 1,217 2.1903
Sale 7,000 2.113
Sale 378 2.2087
Sale 377 2.1828
Sale 288 2.1608
Sale 500 2.1804
Sale 1,500 2.1006
Sale 1,285 2.164
Sale 5,000 2.2195
Sale 447 2.1103
Sale 1,000 2.1712
Sale 2,888 2.078
Sale 223 2.1572
Sale 2,500 2.1605
Sale 385 2.2087
Sale 5,000 2.2555
Sale 3,544 2.2579
Sale 368 2.2675
Sale 115 2.2709
Sale 7,314 2.173
Sale 2,627 2.2728
Sale 443 2.1003
Sale 500 2.2628
Sale 2,558 2.2156
Sale 2,232 2.2728
Sale 975 2.2234
Sale 2,000 2.1131
Sale 1,094 2.1655
Sale 200 2.1596
Sale 2,000 2.2728
Sale 1,000 2.2728
Sale 700 2.2168
Sale 673 2.177
Sale 480 2.156
Sale 551 Transfer
Sale 500 2.2256
Sale 3,362 2.2362
Sale 198 2.1833
Sale 21,088 2.22
Sale 590 2.2206
Sale 341 2.2037
Sale 647 2.1703
Sale 1,000 2.2728
Sale 200 2.1387
Sale 4,000 2.1005
Sale 346 2.1608
Sale 4,689 2.1655
Sale 49 2.2703
Sale 651 2.1226
Sale 2,000 2.1753
Sale 1,629 2.1503
Sale 1,293 2.2725
Sale 1,586 2.1503
Sale 1,500 2.1655
Sale 447 2.1608
Sale 2,700 2.2143
Sale 2,464 2.1767
Sale 826 2.163
Sale 832 2.1212
Sale 552 2.2278
Sale 404 2.0855
Sale 217 2.2703
Sale 470 2.1337
Sale 2,289 2.2364
Sale 400 2.2185
Sale 300 2.167
Sale 619 2.1807
Sale 257 2.2315
Sale 1,000 2.1736
Sale 2,258 2.2531
Sale 500 2.1665
Sale 1,630 2.1153
Sale 35,817 2.1
Sale 1,709 2.1178
Sale 1,255 2.1503
Sale 1,000 2.1275
Sale 2,000 2.223
Sale 5,374 2.225
Sale 13,000 2.1625
Sale 4,419 2.2703
Sale 210 2.2703
Sale 500 2.0855
Sale 927 2.2278
Sale 225 2.2729
Sale 118 2.215
Sale 2,000 2.2605
Sale 1,000 2.1572
Sale 327 2.2311
Sale 1,086 2.1672
Sale 922 2.2276
Sale 3,000 2.1605
Sale 1,074 2.1725
Sale 135 2.1028
Sale 500 2.2703
Sale 513 2.173
Sale 5,000 2.2514
Sale 700 2.1745
Sale 3,711 2.0905
Sale 3,000 2.2478
Sale 7,500 2.0855
Sale 21,633 2.085
Sale 2,700 2.1135
Sale 573 2.1003
Sale 232 2.2229
Sale 26,800 2.22
Sale 1,489 2.1736
Sale 3,000 2.2703
Sale 2,094 2.1106
Sale 1,700 2.2186
Sale 1,000 2.2729
Sale 829 2.2115
Sale 596 2.1178
Sale 20,930 2.22
Sale 102 2.2278
Sale 3,500 2.2503
Sale 876 2.2112
Sale 1,950 2.2106
Sale 712 2.1153
Sale 1,000 2.1005
Sale 1,000 2.1206
Sale 2,761 2.1903
Sale 362 2.2512
Sale 4,000 2.0855
Sale 3,400 2.2153
Sale 310 2.2753
Sale 407 2.2728
Sale 448 2.1936
Sale 1,000 2.2478
Sale 500 2.213
Sale 927 2.2728
Sale 1,000 2.2204
Sale 7,742 2.11
Sale 4,801 2.1503
Sale 2,000 2.1903
Sale 1,500 2.1706
Sale 500 2.2753
Sale 5,000 2.2362
Sale 2,311 2.164
Sale 2,000 2.083
Sale 1,038 2.2808
Sale 400 2.1936
Sale 1,400 2.0858
Sale 4,446 2.2728
NB: The below transactions which were previously disclosed have been cancelled
Deal Date Purchase/Sale Number of Securities Price per unit (GBP)
12/10/2007 Purchase 1,857 2.6750
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per unit
(e.g. CFD) (Note 6) Securities (GBP)
CFD Short 5400 .1154
CFD Short 186638 2.1873
CFD Short 5500 2.1904
CFD Short 20118 2.2294
CFD Long 179197 2.2091
CFD Long 5400 2.2245
CFD Long 14712 2.2293
(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) NO
Date of disclosure 18 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.
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