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 18 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 24,149,943 5.73% 195,512 0.05%
securities
(2) Derivatives 5,830,242 1.38% 5,357,171 1.27%
(other than
options)
(3) Options and 0 0.00% 0 0.00%
agreements to
purchase/sell
Total 29,980,185 7.12% 5,552,683 1.32%
(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 6,574 2.1175
Purchase 116 2.071
Purchase 953 1.9924
Purchase 246 2.0246
Purchase 2,000 2.0875
Purchase 1,000 2.0473
Purchase 1,000 2.0238
Purchase 1,000 2.0444
Purchase 4 2.1285
Purchase 1,000 2.0438
Purchase 10,000 2.0875
Purchase 15,112 2.1175
Purchase 1,931 2.0567
Purchase 1,456 2.0444
Purchase 1,000 2.1134
Purchase 491 2.0019
Purchase 2,000 2.0962
Purchase 187 2.1281
Purchase 1,500 2.0869
Purchase 2,309 2.1494
Purchase 2,305 2.08
Purchase 1,473 2.0356
Purchase 4,000 2.0494
Purchase 1,000 2.0967
Purchase 3,000 2.1094
Purchase 2,000 2.0869
Purchase 1,920 2.0536
Purchase 1,500 2.0827
Purchase 4,755 2.09
Purchase 1,000 2.0444
Purchase 1,000 2.1256
Purchase 1,465 2.0473
Purchase 1,000 2.1369
Purchase 5,000 2.0461
Purchase 5,000 2.0235
Purchase 2,437 2.0376
Purchase 2,383 2.0977
Purchase 200 2.1117
Purchase 470 2.1256
Purchase 1,000 2.0356
Purchase 650 2.0792
Purchase 250 2.0235
Purchase 400 2.0919
Purchase 250 2.0385
Purchase 230 1.9974
Purchase 1,000 2.0235
Purchase 5,000 2.0444
Purchase 3,360 2.1073
Purchase 3,000 2.0413
Purchase 3,695 2.0295
Purchase 296 2.0246
Purchase 500 2.052
Purchase 46 2.1253
Purchase 1,000 2.1226
Purchase 1,000 2.056
Purchase 390 2.0494
Purchase 500 2.1142
Purchase 2,197 2.0476
Purchase 4,265 2.1097
Purchase 5,000 2.0235
Purchase 200 2.1097
Purchase 6,700 2.14
Purchase 207,787 2.0587
Purchase 699 2.124
Purchase 493 2.026
Purchase 12,315 2.03
Purchase 500 1.9924
Purchase 487 2.0521
Purchase 2,643 2.0296
Purchase 2,000 2.0288
Purchase 474 2.0727
Purchase 10,000 2.0671
Purchase 800 2.0263
Purchase 1,000 2.1269
Purchase 1,000 2.0392
Purchase 4,421 2.0238
Purchase 938 2.1122
Purchase 500 2.0763
Purchase 500 2.0469
Purchase 4,900 2.0461
Purchase 1,000 2.0776
Purchase 491 2.0338
Purchase 2,000 2.0444
Purchase 1,000 2.0171
Purchase 1,000 2.0195
Purchase 1,000 2.0485
Purchase 769 2.0794
Purchase 749 2.0473
Purchase 1,000 2.0192
Purchase 2,579 2.0419
Purchase 98 2.0285
Purchase 1,000 2.1277
Purchase 18 2.0235
Purchase 3,415 2.0492
Purchase 1,459 2.0406
Purchase 500 2.0094
Purchase 750 2.0844
Purchase 10,000 2.0436
Purchase 2,799 2.13
Purchase 2,000 2.11
Purchase 2,000 2.0444
Purchase 472 2.1121
Purchase 1,100 2.0388
Purchase 468 2.0288
Purchase 3,000 2.1244
Purchase 200 2.0192
Purchase 195 2.0469
Purchase 866 2.1096
Purchase 81,939 2.0625
Purchase 194 2.0566
Purchase 632 2.0188
Purchase 956 2.0919
Purchase 300 2.0527
Purchase 551 2.027
Purchase 1,000 2.0494
Purchase 464 2.1285
Purchase 4,859 2.0463
Purchase 478 2.0891
Purchase 626 2.0444
Purchase 1,007 2.0794
Purchase 450 2.0731
Purchase 4,000 2.051
Purchase 3,000 1.9924
Purchase 500 2.0913
Purchase 733 2.046
Purchase 1,219 2.0296
Purchase 3,000 2.0371
Purchase 1,000 2.0263
Purchase 5,500 2.105
Purchase 3,000 2.08
Purchase 1,950 2.0367
Purchase 481 2.0427
Purchase 1,000 2.1122
Purchase 495 2.0195
Purchase 500 2.0263
Purchase 1,000 2.0295
Purchase 1,000 2.047
Purchase 1,250 2.1063
Purchase 468 2.1094
Purchase 1,000 2.0448
Purchase 1,000 2.0461
Purchase 4,000 2.1069
Purchase 2,000 2.0192
Purchase 2,439 2.0492
Purchase 2,847 2.0944
Purchase 50,000 2.1125
Purchase 28,800 2.1
Purchase 1,000 2.0419
Purchase 500 2.0556
Purchase 4,396 2.0469
Purchase 1,000 2.07
Purchase 610 2.1281
Purchase 2,750 2.0192
Purchase 492 1.9974
Purchase 2,334 2.1281
Purchase 1,000 2.0588
Purchase 247 2.0444
Purchase 2,500 2.1292
Purchase 2,062 2.097
Purchase 100,000 2.0925
Purchase 2,437 2.0296
Purchase 2,086 2.095
Purchase 383 2.0873
Purchase 2,000 2.0444
Purchase 800 2.0313
Purchase 5,000 2.0585
Purchase 4,921 2.0192
Purchase 1,007 2.0485
Purchase 60 2.0188
Purchase 2,500 2.0469
Purchase 1,838 2.0698
Purchase 1,944 2.0436
Purchase 1,500 2.0994
Purchase 5,008 2.1075
Purchase 1,446 2.0742
Purchase 100 2.0481
Purchase 5,000 2.1113
Purchase 1,424 2.09
Purchase 5,000 2.1146
Purchase 100 2.1266
Purchase 979 2.0195
Purchase 2,400 2.0825
Purchase 100 1.9924
Purchase 2,350 2.1119
Purchase 500 2.0188
Purchase 3,300 2.0267
Purchase 7,069 2.11
Purchase 3,323 2.0919
Purchase 300 2.0685
Purchase 2,250 2.1288
Purchase 2,500 2.1236
Purchase 190 2.0221
Purchase 5,000 2.0435
Purchase 1,000 2.0585
Purchase 46,062 2.0725
Purchase 250 2.0588
Purchase 2,427 2.0469
Purchase 500 2.1
Purchase 303 2.1117
Purchase 400 2.1211
Purchase 2,364 2.1144
Purchase 1,000 2.1011
Purchase 38,301 2.0245
Purchase 94 2.1263
Purchase 2,386 2.095
Purchase 243 2.0492
Purchase 1,000 2.0285
Purchase 4,000 2.0794
Purchase 15,734 2.1
Purchase 2,396 2.0867
Purchase 493 2.026
Purchase 5,000 2.1494
Purchase 4,867 2.0542
Sale 5,008 2.0506
Sale 1,350 2.0304
Sale 4,500 2.0353
Sale 986 2.0406
Sale 2,984 2.0496
Sale 1,715 2.078
Sale 1,470 2.078
Sale 1,000 2.0907
Sale 72 Transfer
Sale 5,000 2.0368
Sale 272 1.9755
Sale 2,847 2.0339
Sale 494 2.0157
Sale 2,427 2.1137
Sale 1,084 2.1193
Sale 4,593 2.083
Sale 1,000 2.0993
Sale 204,631 2.0758
Sale 802 2.0536
Sale 248 2.0204
Sale 5,000 2.091
Sale 500 2.1168
Sale 2,034 2.1112
Sale 480 2.1115
Sale 50 2.1212
Sale 1,000 2.0511
Sale 2,583 2.0673
Sale 2,000 2.1213
Sale 500 2.0822
Sale 735 2.0186
Sale 400 2.0922
Sale 381 2.0393
Sale 1,100 2.1011
Sale 316 2.0168
Sale 6,500 2.0304
Sale 2,400 2.1106
Sale 494 2.0105
Sale 4,421 2.0307
Sale 1,000 2.0831
Sale 5,000 2.0556
Sale 1,000 2.1043
Sale 2,000 2.0418
Sale 2,900 2.1323
Sale 700 2.0279
Sale 260 2.0861
Sale 4,000 2.1106
Sale 1,000 2.0378
Sale 633 2.0354
Sale 3,000 2.0232
Sale 1,000 2.1171
Sale 4,265 2.105
Sale 6,574 2.0604
Sale 1,465 2.0757
Sale 964 2.1212
Sale 4,921 2.0451
Sale 1,000 2.0354
Sale 2,000 2.054
Sale 1,237 Transfer
Sale 1,150 2.0354
Sale 6,000 2.0279
Sale 987 2.0476
Sale 500 2.1015
Sale 107,500 2.0225
Sale 1,000 2.0397
Sale 946 2.1276
Sale 4,791 2.0705
Sale 2,871 2.1262
Sale 4,859 2.0812
Sale 1,000 2.0393
Sale 2,631 2.0612
Sale 140 2.1215
Sale 1,923 2.0847
Sale 4,000 2.0261
Sale 4,500 2.1206
Sale 365 2.1211
Sale 45 2.0747
Sale 3,300 2.0611
Sale 2,000 2.0597
Sale 3,859 2.0311
Sale 4,396 2.0831
Sale 15,500 2.1105
Sale 1,000 2.1012
Sale 2,000 2.1143
Sale 1,400 2.0831
Sale 657 2.0351
Sale 3,000 2.11
Sale 1,000 2.1125
Sale 1,925 2.0436
Sale 7,000 2.0587
Sale 4,553 2.045
Sale 2,000 2.033
Sale 1,967 2.0962
Sale 980 2.054
Sale 748 2.0157
Sale 992 2.0105
Sale 2,208 2.0157
Sale 3,000 2.1106
Sale 1,000 2.0136
Sale 2,000 2.1276
Sale 4,000 2.0611
Sale 221 2.0105
Sale 390 2.1257
Sale 1,218 2.054
Sale 2,573 2.1031
Sale 470 2.0922
Sale 1,000 2.0468
Sale 679 2.0361
Sale 143 2.1205
Sale 13,079 2.0605
Sale 1,824 2.1043
Sale 4,900 2.0805
Sale 3,689 2.0354
Sale 5,000 2.1193
Sale 2,439 2.0476
Sale 230 2.0279
Sale 3,500 2.0457
Sale 1,500 2.0618
Sale 1,101 2.0304
Sale 656 2.0943
Sale 4,867 2.0355
Sale 1,000 2.0335
Sale 6,000 2.0712
Sale 2,213 2.1276
Sale 1,000 2.0379
Sale 1,000 2.0443
Sale 2,000 2.0516
Sale 2,250 2.0215
Sale 455 2.0726
Sale 13,000 2.118
Sale 3,000 2.0612
Sale 1,000 2.0504
Sale 691 2.0211
Sale 1,000 2.0247
Sale 1,831 2.0551
Sale 5,000 2.1107
Sale 5,500 2.1175
Sale 500 2.1107
Sale 665 2.0365
Sale 4 2.0768
Sale 100 2.0204
Sale 500 2.0436
Sale 28,800 2.05
Sale 2,579 2.0706
Sale 572 2.1137
Sale 646 2.034
Sale 4,622 2.1105
Sale 3,000 2.1056
Sale 600 2.1131
Sale 500 2.0215
Sale 1,920 2.0665
Sale 94 2.0261
Sale 129 2.0597
Sale 324 2.013
Sale 49,000 2.02
Sale 956 2.0507
Sale 2,426 2.0357
Sale 15,112 2.1105
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 38301 2.0244
CFD Short 207787 2.0586
CFD Long 2984 2.0496
CFD Long 2583 2.0672
CFD Long 204631 2.0757
(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 19 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