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 22 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 23,855,991 5.66% 236,809 0.06%
securities
(2) Derivatives 6,071,364 1.44% 5,529,171 1.31%
(other than
options)
(3) Options and 0 0.00% 0 0.00%
agreements to
purchase/sell
Total 29,927,355 7.10% 5,765,980 1.37%
(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 1,000 1.801
Purchase 535 1.8458
Purchase 800 1.8494
Purchase 500 1.8508
Purchase 1,093 1.829
Purchase 1,084 1.8284
Purchase 4,174 1.786
Purchase 324 1.8478
Purchase 250 1.935
Purchase 2,000 1.9025
Purchase 825 1.8768
Purchase 2,500 1.929
Purchase 25,000 1.925
Purchase 4,943 1.81
Purchase 2,177 1.824
Purchase 600 1.79
Purchase 8,625 1.913
Purchase 7,000 1.8647
Purchase 10,000 1.8771
Purchase 300 1.8745
Purchase 1,000 1.9285
Purchase 200 1.794
Purchase 1,056 1.8778
Purchase 571 1.8
Purchase 5,000 1.8846
Purchase 510 1.924
Purchase 540 1.82
Purchase 5,000 1.8285
Purchase 5,925 1.8458
Purchase 1,569 1.799
Purchase 250 1.794
Purchase 550 1.816
Purchase 2,900 1.9277
Purchase 1,000 1.8957
Purchase 2,671 1.8594
Purchase 150 1.8947
Purchase 549 1.8444
Purchase 1,000 1.808
Purchase 267 1.8346
Purchase 542 1.8498
Purchase 5,000 1.8638
Purchase 100 1.8975
Purchase 232 1.958
Purchase 500 1.792
Purchase 3,968 1.8787
Purchase 256 1.9094
Purchase 3,310 1.8
Purchase 1,000 1.7747
Purchase 562 1.778
Purchase 2,000 1.8997
Purchase 1,045 1.9137
Purchase 2,000 1.912
Purchase 5,275 1.8847
Purchase 1,007 1.799
Purchase 54,171 1.846
Purchase 122 1.9346
Purchase 2,621 1.8949
Purchase 3,849 1.9246
Purchase 472 1.9037
Purchase 2,000 1.9394
Purchase 3,000 1.9436
Purchase 526 1.8772
Purchase 2,000 1.798
Purchase 7,621 1.879
Purchase 1,383 1.794
Purchase 700 1.923
Purchase 150 1.8
Purchase 3,000 1.9094
Purchase 2,500 1.8373
Purchase 1,337 1.829
Purchase 2,000 1.925
Purchase 130 1.8668
Purchase 1,000 1.8366
Purchase 1,062 1.8668
Purchase 300 1.9147
Purchase 2,500 1.9
Purchase 3,000 1.801
Purchase 1,000 1.789
Purchase 461 1.795
Purchase 106 1.8778
Purchase 1,000 1.79
Purchase 150 1.9048
Purchase 1,069 1.8696
Purchase 534 1.87
Purchase 1,002 1.8796
Purchase 3,521 1.8877
Purchase 1,237 Transfer
Purchase 1,637 1.82
Purchase 2,090 1.913
Purchase 3,000 1.8
Purchase 2,220 1.8196
Purchase 3,130 1.9047
Purchase 359 1.9047
Purchase 800 1.8
Purchase 200 1.9197
Purchase 5,000 1.949
Purchase 1,000 1.8428
Purchase 2,500 1.9127
Purchase 500 1.944
Purchase 2,514 1.778
Purchase 20 1.8566
Purchase 4,932 1.8246
Purchase 103 1.8
Purchase 2,500 1.8767
Purchase 706 1.854
Purchase 4,770 1.815
Purchase 1,000 1.79
Purchase 260 1.867
Purchase 1,500 1.8376
Purchase 1,100 1.8485
Purchase 1,070 1.8676
Purchase 2,051 1.8915
Purchase 500 1.8356
Purchase 2,000 1.8907
Purchase 5,957 1.829
Purchase 386 1.9024
Purchase 3,000 1.8724
Purchase 2,805 1.782
Purchase 4,500 1.8597
Purchase 100 1.82
Purchase 500 1.7987
Purchase 5,000 1.8415
Purchase 1,000 1.827
Purchase 50 1.878
Purchase 4,000 1.9297
Purchase 1,850 1.8326
Purchase 978 1.92
Purchase 822 1.8237
Purchase 1,033 1.9187
Purchase 8,108 1.8498
Purchase 516 1.9027
Purchase 6,724 1.8588
Purchase 1,100 1.798
Purchase 300 1.82
Purchase 3,739 1.8717
Purchase 1,000 1.8238
Purchase 1,066 1.8745
Purchase 333 1.9176
Purchase 2,500 1.9176
Purchase 1,064 1.8585
Purchase 5,000 1.9034
Purchase 2,397 1.8648
Purchase 13,400 1.85
Purchase 500 1.8566
Purchase 5,000 1.9044
Purchase 485 1.855
Purchase 1,100 1.8697
Purchase 5,400 1.8404
Purchase 535 1.8678
Purchase 2,500 1.8618
Purchase 5,194 1.925
Purchase 1,057 1.8746
Purchase 253 1.82
Purchase 1,500 1.829
Purchase 1,000 1.78
Purchase 4,621 1.9476
Purchase 520 1.8897
Purchase 520 1.8884
Purchase 51 1.7957
Purchase 114,977 1.8777
Purchase 1,500 1.8586
Purchase 2,000 1.819
Purchase 438 1.9385
Purchase 61 1.82
Purchase 82 1.82
Purchase 4,765 1.8887
Purchase 4,000 1.8448
Purchase 2,000 1.8877
Purchase 1,000 1.8778
Purchase 1,086 1.82
Purchase 1,000 1.91
Purchase 1,000 1.9347
Purchase 193 1.8386
Purchase 700 1.8528
Purchase 1,092 1.83
Purchase 2,500 1.949
Sale 5,925 1.892
Sale 4,998 1.78
Sale 2,514 1.9262
Sale 2,500 1.9292
Sale 3,529 1.902
Sale 386 1.781
Sale 500 1.765
Sale 500 1.898
Sale 109 1.764
Sale 978 1.764
Sale 855 1.8713
Sale 1,007 1.805
Sale 7,000 1.9012
Sale 4,000 1.8414
Sale 300 1.8202
Sale 1,446 1.773
Sale 1,000 1.77
Sale 1,070 1.9306
Sale 51,000 1.832
Sale 489 1.805
Sale 6,724 1.8984
Sale 2,748 1.8224
Sale 15,000 1.81
Sale 679 1.805
Sale 243 1.79
Sale 800 1.77
Sale 500 1.805
Sale 184 1.792
Sale 1,100 1.9015
Sale 217 1.805
Sale 1,500 1.785
Sale 500 1.8494
Sale 4,000 1.8454
Sale 500 1.765
Sale 1,500 1.9006
Sale 485 1.8814
Sale 300 1.794
Sale 4,500 1.8686
Sale 4,000 1.9212
Sale 1,000 1.9023
Sale 398 1.8
Sale 2,834 1.8382
Sale 38 1.8364
Sale 1,748 1.8924
Sale 1,100 1.8504
Sale 7,500 1.9462
Sale 464 1.777
Sale 4,621 1.9272
Sale 2,000 1.9065
Sale 5,800 1.765
Sale 600 1.855
Sale 859 1.8322
Sale 1 1.77
Sale 10,000 1.953
Sale 539 1.765
Sale 5,000 1.8
Sale 1,662 1.8637
Sale 13,400 1.9182
Sale 1,200 1.8482
Sale 215 1.811
Sale 200 1.9302
Sale 500 1.8104
Sale 176 1.8514
Sale 500 1.8565
Sale 778 1.805
Sale 2,500 1.9301
Sale 4,943 1.9023
Sale 1,038 1.9286
Sale 800 1.8482
Sale 374 1.8
Sale 1,000 1.8512
Sale 3,000 1.9227
Sale 5,000 1.8294
Sale 6,000 1.9003
Sale 600 1.846
Sale 1,000 1.8
Sale 430 1.8402
Sale 2,177 1.8612
Sale 4,932 1.8512
Sale 5,482 1.803
Sale 117,643 1.8794
Sale 4,770 1.8521
Sale 1,941 1.8442
Sale 31,207 1.9125
Sale 1,000 1.8933
Sale 472 1.9186
Sale 825 1.9013
Sale 9,235 1.79
Sale 1,100 1.8945
Sale 1,977 1.9206
Sale 224 1.9306
Sale 2,500 1.8689
Sale 5,000 1.8334
Sale 500 1.79
Sale 3,710 1.805
Sale 2 1.805
Sale 308 1.78
Sale 2,000 1.8909
Sale 2,500 1.9301
Sale 2,219 1.761
Sale 500 1.805
Sale 200 1.781
Sale 66,664 1.767
Sale 7,500 1.8908
Sale 1,000 1.922
Sale 2,000 1.8992
Sale 2,500 1.786
Sale 675 1.783
Sale 289 1.8542
Sale 589 1.793
Sale 1,153 1.791
Sale 1,287 1.805
Sale 250 1.9036
Sale 85 1.765
Sale 493 1.781
Sale 595 1.782
Sale 1,055 1.766
Sale 90 1.8664
Sale 7,069 1.9212
Sale 720 1.805
Sale 500 1.8304
Sale 1,045 1.8702
Sale 1,100 2.035
Sale 1,000 1.8922
Sale 1,459 1.9362
Sale 2,805 1.8442
Sale 10,000 1.878
Sale 2,279 1.793
Sale 700 1.8868
Sale 977 1.78
Sale 454 1.8689
Sale 500 1.8612
Sale 2,450 1.805
Sale 1,544 1.9442
Sale 1,835 1.8642
Sale 10,000 1.765
Sale 2,500 1.781
Sale 666 1.8514
Sale 3,000 1.8334
Sale 20,000 1.901
Sale 6,969 1.9052
Sale 3,069 1.9023
Sale 189 1.8
Sale 749 1.8514
Sale 8,000 1.9274
Sale 3,739 1.8454
Sale 1,120 1.786
Sale 5,275 1.9036
Sale 790 1.9212
Sale 700 1.8528
Sale 500 1.9301
Sale 2,000 1.8727
Sale 54,171 1.844
Sale 3,000 1.9012
Sale 1,000 1.8582
Sale 1,950 1.8454
Sale 362 1.783
Sale 3,000 1.8532
Sale 94 1.786
Sale 1,500 1.76
Sale 2,220 1.922
Sale 550 1.8972
Sale 5,000 1.8861
Sale 5,000 1.8868
Sale 250 1.9289
NB: The below transactions which were previously disclosed have been cancelled
Deal Date Purchase/sale Number of Securities Price per unit
19/10/07 Sale 10,000 1.9530
(b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per unit
(e.g. CFD) (Note 6) Securities (GBP)
CFD Short 4770 1.815
CFD Short 5400 1.8403
CFD Short 114977 1.8777
CFD Short 2051 1.8915
CFD Long 1941 1.8442
CFD Long 4770 1.8521
CFD Long 117643 1.8794
CFD Long 31207 1.9125
(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 23 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