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 15 November 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 24,326,035 5.78% 246,127 0.06%
securitie
(2) Derivatives 9,007,055 2.14% 9,548,543 2.27%
(other than
options)
(3) Options and 0 0.00% 0 0.00%
agreements to
purchase/sell
Total 33,333,090 7.91% 9,794,670 2.33%
(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 Price per unit (GBP)
Securities
Purchase 1,000 1.3274
Purchase 7,339 1.3624
Purchase 4,500 1.54
Purchase 1,452 1.3649
Purchase 14,527 1.369
Purchase 1,110 1.3374
Purchase 744 1.3274
Purchase 1,650 1.2976
Purchase 369 1.3267
Purchase 10,000 1.319
Purchase 3,592 1.3917
Purchase 65 1.3449
Purchase 100 1.2871
Purchase 651 1.3498
Purchase 744 1.3264
Purchase 1,000 1.3969
Purchase 3,880 1.2884
Purchase 736 1.3418
Purchase 1,000 1.3318
Purchase 4,609 1.3017
Purchase 5,000 1.3154
Purchase 699 1.2872
Purchase 4,965 1.2998
Purchase 264 1.3324
Purchase 2,000 1.3242
Purchase 2,000 1.3416
Purchase 1,506 1.3274
Purchase 2,250 1.3332
Purchase 361 1.3449
Purchase 137 1.3949
Purchase 2,241 1.3267
Purchase 7,389 1.3449
Purchase 218 1.3349
Purchase 2,642 1.3245
Purchase 1,000 1.2998
Purchase 1,129 1.3114
Purchase 250 1.3224
Purchase 65 1.4099
Purchase 2,041 1.4099
Purchase 708 1.3934
Purchase 3,000 1.2998
Purchase 2,000 1.3949
Purchase 2,008 1.4037
Purchase 3,795 1.3449
Purchase 3,756 1.3308
Purchase 300 1.3244
Purchase 3,783 1.3117
Purchase 718 1.3608
Purchase 5,000 1.3349
Purchase 115 1.2945
Purchase 2,000 1.2998
Purchase 1,000 1.4099
Purchase 904 1.3267
Purchase 1,100 1.3999
Purchase 10,000 1.32
Purchase 1,500 1.3649
Purchase 1,491 1.3181
Purchase 300 1.3449
Purchase 1,474 1.3449
Purchase 500 1.3897
Purchase 195 1.3155
Purchase 669 1.3649
Purchase 769 1.2998
Purchase 3,177 1.2884
Purchase 284 1.4074
Purchase 3,629 1.3674
Purchase 2,000 1.2861
Purchase 832 1.3297
Purchase 269 1.3306
Purchase 3,826 1.2971
Purchase 3,091 1.2837
Purchase 7,000 1.42
Purchase 10,573 1.3301
Purchase 2,459 1.399
Purchase 47,129 1.3829
Purchase 27,133 1.347
Purchase 28 1.3299
Purchase 369 1.3155
Purchase 2,003 1.3976
Purchase 153 1.4099
Purchase 102 1.3349
Purchase 2,119 1.4049
Purchase 980 1.3599
Purchase 2,000 1.3574
Purchase 5,000 1.2998
Purchase 183 1.2872
Purchase 1,016 1.2871
Purchase 1,497 1.3358
Purchase 500 1.3015
Purchase 1,959 1.3306
Purchase 3,000 1.2998
Purchase 5,248 1.4099
Purchase 1,865 1.3274
Purchase 1,000 1.3997
Purchase 1,473 1.3574
Purchase 500 1.2874
Purchase 1,000 1.2963
Purchase 3,734 1.33
Purchase 1,423 1.3934
Purchase 3,795 1.3117
Purchase 154,155 1.3428
Purchase 1,557 1.2842
Purchase 426 1.3739
Purchase 1,350 1.3308
Purchase 5,430 1.289
Purchase 250 1.3449
Purchase 2,000 1.2897
Purchase 744 1.3274
Purchase 1,000 1.3318
Purchase 500 1.3299
Purchase 2,000 1.3224
Purchase 5,000 1.3976
Purchase 1,000 1.2949
Purchase 500 1.3967
Purchase 1,361 1.3224
Purchase 750 1.3316
Purchase 4,000 1.3349
Purchase 5,000 1.3449
Purchase 1,000 1.3165
Purchase 7,099 1.3999
Purchase 2,326 1.2897
Purchase 810 1.3114
Purchase 400 1.3317
Purchase 524 1.4099
Purchase 10,000 1.3674
Purchase 400 1.3299
Purchase 1,500 1.2998
Purchase 751 1.3299
Sale 600 1.388
Sale 3,091 1.2916
Sale 465 1.3131
Sale 1,600 1.388
Sale 450 1.318
Sale 680 1.318
Sale 400 1.388
Sale 515 1.318
Sale 440 1.318
Sale 1,340 1.318
Sale 1,600 1.3887
Sale 400 1.318
Sale 1,000 1.3887
Sale 400 1.3629
Sale 665 1.318
Sale 1,350 1.3932
Sale 300 1.3236
Sale 525 1.318
Sale 10,000 1.3968
Sale 10,296 1.3984
Sale 10,000 1.3601
Sale 1,668 1.4197
Sale 500 1.318
Sale 560 1.388
Sale 630 1.3887
Sale 990 1.318
Sale 360 1.318
Sale 44,995 1.3917
Sale 850 1.393
Sale 530 1.318
Sale 365 1.388
Sale 440 1.318
Sale 975 1.388
Sale 630 1.318
Sale 450 1.388
Sale 154,584 1.3422
Sale 460 1.388
Sale 1,320 1.388
Sale 1,000 1.393
Sale 525 1.318
Sale 1,000 1.3967
Sale 595 1.388
Sale 1,560 1.318
Sale 1,000 1.388
Sale 690 1.388
Sale 600 1.318
Sale 3,289 1.3002
Sale 970 1.318
Sale 3,401 1.3017
Sale 530 1.388
Sale 380 1.388
Sale 270 1.318
Sale 497 1.2891
Sale 830 1.388
Sale 580 1.388
Sale 735 1.388
Sale 1,168 1.3204
Sale 420 1.388
Sale 12,738 1.3927
Sale 120 1.3912
Sale 4,000 1.3257
Sale 270 1.388
Sale 450 1.388
Sale 4,609 1.3283
Sale 1,422 1.388
Sale 2,530 1.388
Sale 50 1.3509
Sale 634 1.3401
Sale 1,791 1.3274
Sale 255 1.2991
Sale 465 1.318
Sale 354 1.3294
Sale 600 1.3223
Sale 920 1.318
Sale 480 1.388
Sale 2,170 1.3232
Sale 525 1.3887
Sale 1,311 1.4079
Sale 700 1.318
Sale 400 1.3307
Sale 5,000 1.3887
Sale 3,500 1.3276
Sale 3,252 1.309
Sale 500 1.2924
Sale 310 1.393
Sale 12,316 1.3401
Sale 550 1.318
Sale 660 1.388
Sale 3,542 1.3303
Sale 500 1.3301
Sale 150 1.3957
Sale 7,225 1.3
Sale 272 1.3183
Sale 1,265 1.318
Sale 1,000 1.35
Sale 3,795 1.3247
Sale 500 Transfer
Sale 300 1.3526
Sale 881 1.3403
Sale 335 1.318
Sale 620 1.318
Sale 420 1.318
Sale 332 1.2832
Sale 4,860 1.318
Sale 270 1.388
Sale 896 1.3576
Sale 272 1.3103
Sale 150 1.3009
Sale 3,000 1.3204
Sale 500 1.3914
Sale 578 1.3532
Sale 49,160 1.395
Sale 579 1.2839
Sale 4,000 1.3252
Sale 1,519 1.309
Sale 882 1.3253
Sale 1,557 1.3251
Sale 2,545 1.3293
Sale 2,000 1.3262
Sale 5,000 1.3207
Sale 1,000 1.2926
Sale 781 1.391
Sale 4,029 1.3932
Sale 3,826 1.3253
Sale 1,426 1.3974
Sale 2,750 1.2851
Sale 1,000 1.3247
Sale 1,638 1.4029
Sale 8,000 1.3355
Sale 1,443 1.391
Sale 1,000 1.3256
Sale 300 1.3203
Sale 730 1.3927
Sale 224 1.3009
Sale 222 1.3509
Sale 1,000 1.392
Sale 800 1.3907
Sale 3,795 1.3253
Sale 699 1.3311
Sale 1,000 1.3626
Sale 3,162 1.3919
Sale 1,200 1.3263
Sale 776 1.2991
Sale 2,306 1.4054
Sale 206 1.2924
Sale 1,232 1.3612
Sale 2,041 1.3947
Sale 102 1.3201
Sale 5,518 1.3231
Sale 1,060 1.383
Sale 1,721 1.391
Sale 7,500 1.3333
Sale 5,000 1.3949
Sale 1,303 1.4054
Sale 1,059 1.3378
Sale 617 1.3636
Sale 661 1.3201
Sale 80 1.334
Sale 12,274 1.3944
Sale 200 1.2916
Sale 1,010 1.393
Sale 1,180 1.388
Sale 1,050 1.388
Sale 540 1.388
Sale 1,500 1.3887
Sale 825 1.3381
Sale 215 1.318
Sale 540 1.388
Sale 330 1.3887
Sale 420 1.318
Sale 380 1.388
Sale 514 1.3257
Sale 3,783 1.3001
Sale 1,100 1.3887
Sale 430 1.388
Sale 440 1.318
Sale 375 1.318
Sale 10,125 1.3297
Sale 630 1.318
Sale 975 1.393
Sale 805 1.318
Sale 280 1.393
Sale 465 1.318
Sale 625 1.318
Sale 250 1.318
Sale 580 1.393
Sale 675 1.3526
Sale 245 1.3887
Sale 670 1.388
Sale 651 1.3009
Sale 5,718 1.2921
Sale 1,000 1.2963
Sale 2,000 1.362
Sale 18,000 1.3581
Sale 2,500 1.3293
Sale 1,000 1.3236
Sale 5,000 1.3251
Sale 3,880 1.3403
Sale 325 1.3256
Sale 700 1.3281
Sale 910 1.388
Sale 1,435 1.393
Sale 665 1.318
Sale 365 1.318
Sale 2,200 1.3301
Sale 1,135 1.3364
Sale 835 1.318
Sale 1,735 1.318
Sale 4,965 1.3303
Sale 500 1.388
Sale 1,000 1.388
Sale 615 1.388
Sale 2,400 1.3887
Sale 1,580 1.388
Sale 1,300 1.3887
NB: The below transactions which were previously disclosed have been cancelled
Deal Date Purchase/Sale Number of Securities Price per unit (GBP)
14/11/2007 Sale 1,060 1.3830
b) Derivatives transactions (other than options)
Product name, Long/Short Number of Price per
(e.g. CFD) (Note 6) Securities unit (GBP)
CFD Short 10573 1.33
CFD Short 154155 1.3427
CFD Short 47129 1.3829
CFD Long 10125 1.3297
CFD Long 154584 1.3421
CFD Long 44995 1.3917
CFD Long 10000 1.3967
CFD Long 1668 1.4197
(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 16 November 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