Form 8 (DD) - Equinix Inc

Form 8 (DD) - Equinix Inc

BARCLAYS PLC

45998047v1

53708991v1

45998047v1

53708991v1

FORM 8 (DD)

PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

Rules 8.1, 8.2 and 8.4 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser:   Barclays Plc
(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

Equinix Inc
(d) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

Connected to Telecity Group plc
(e) Date dealing undertaken: 29 October 2015
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

NO

If YES, specify which:

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing

Class of relevant security:    

 

Interests   Short positions
Number   % Number   %
(1) Relevant securities owned and/or controlled: 489 0.00

0

0.00
(2) Cash-settled derivatives: 78,444 0.14 0 0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 25,793 0.05 29,501 0.05

TOTAL:

104,726 0.19 29,501 0.05

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:  
Details, including nature of the rights concerned and relevant percentages:  

3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

(i) Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)

Class of relevant security   Purchase/sale   Number of securities   Price per unit (in USD)
4.75% convertible subordinated notes due June 2016 Purchase 200,000 364.7716
4.75% convertible subordinated notes due June 2016 Sale 200,000 364.7716
4.75% convertible subordinated notes due June 2016 Sale 200,000 376.8122
4.75% convertible subordinated notes due June 2016 Purchase 200,000 376.8122
4.75% convertible subordinated notes due June 2016 Purchase 200,000 364.7716
4.75% convertible subordinated notes due June 2016 Sale 200,000 376.8122

(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser

Class of relevant security   Purchases/ sales   Total number of securities   Highest price per unit paid/received   Lowest price per unit paid/received

(b) Cash-settled derivative transactions

Class of relevant security   Product description

e.g. CFD

  Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

  Number of reference securities   Price per unit

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit

(USD)

  Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit (USD)
USD 0.001 Put Option Purchasing 4,400 290 American 20112015 5.1000
USD 0.001 Put Option Selling 100 310 American 18032016 30.5000

(ii) Exercise

Class of relevant security   Product description

e.g. call option

  Exercising/ exercised against   Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   Price per unit (if applicable)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the party to the offer or person acting in concert making the disclosure and any other person:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer or person acting in concert making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

(c) Attachments

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions)  

YES

Supplemental Form 8 (SBL)

NO

Date of disclosure: 30 October 2015
Contact name: Rajesh Muthanna
Telephone number: 020 3555 4634

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Full name of person making disclosure:   Barclays Plc
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: Equinix Inc

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security   Product description e.g. call option   Written or purchased   Number of securities to which option or derivative relates   Exercise price per unit

(USD)

  Type

e.g. American, European etc.

  Expiry date
USD 0.001 Call Option Purchased 206 190 American 15012016
USD 0.001 Call Option Purchased 106 230 American 15012016
USD 0.001 Call Option Purchased 206 240 American 15012016
USD 0.001 Call Option Purchased 309 260 American 15012016
USD 0.001 Call Option Purchased 1030 270 American 15012016
USD 0.001 Call Option Purchased 103 290 American 15012016
USD 0.001 Call Option Purchased 1030 310 American 18032016
USD 0.001 Call Option Purchased 103 220 American 18122015
USD 0.001 Call Option Purchased 1030 290 American 18122015
USD 0.001 Call Option Purchased 100 270 American 20112015
USD 0.001 Call Option Purchased 200 290 American 20112015
USD 0.001 Call Option Purchased 5900 310 American 20112015
USD 0.001 Call Option Written -212 160 American 15012016
USD 0.001 Call Option Written -421 200 American 15012016
USD 0.001 Call Option Written -100 290 American 17062016
USD 0.001 Call Option Written -515 290 American 18032016
USD 0.001 Call Option Written -1030 320 American 18032016
USD 0.001 Call Option Written -100 300 American 18122015
USD 0.001 Call Option Written -1100 280 American 20112015
USD 0.001 Call Option Written -309 290 American 20112015
USD 0.001 Put Option Purchased -848 105 American 15012016
USD 0.001 Put Option Purchased -4876 180 American 15012016
USD 0.001 Put Option Purchased -2060 210 American 15012016
USD 0.001 Put Option Purchased -1030 220 American 15012016
USD 0.001 Put Option Purchased -412 250 American 15012016
USD 0.001 Put Option Purchased -1442 260 American 15012016
USD 0.001 Put Option Purchased -1133 270 American 15012016
USD 0.001 Put Option Purchased -103 290 American 15012016
USD 0.001 Put Option Purchased -1103 310 American 15012016
USD 0.001 Put Option Purchased -1339 320 American 18032016
USD 0.001 Put Option Purchased -1442 330 American 18032016
USD 0.001 Put Option Purchased -103 180 American 18122015
USD 0.001 Put Option Purchased -103 220 American 18122015
USD 0.001 Put Option Purchased -2575 230 American 18122015
USD 0.001 Put Option Purchased -1133 240 American 18122015
USD 0.001 Put Option Purchased -103 280 American 18122015
USD 0.001 Put Option Purchased -103 290 American 18122015
USD 0.001 Put Option Purchased -103 340 American 18122015
USD 0.001 Put Option Purchased -103 350 American 18122015
USD 0.001 Put Option Purchased -5600 270 American 20112015
USD 0.001 Put Option Written 318 95 American 15012016
USD 0.001 Put Option Written 212 115 American 15012016
USD 0.001 Put Option Written 530 120 American 15012016
USD 0.001 Put Option Written 515 155 American 15012016
USD 0.001 Put Option Written 1545 165 American 15012016
USD 0.001 Put Option Written 636 175 American 15012016
USD 0.001 Put Option Written 206 200 American 15012016
USD 0.001 Put Option Written 106 220 American 15012016
USD 0.001 Put Option Written 4131 230 American 15012016
USD 0.001 Put Option Written 106 240 American 15012016
USD 0.001 Put Option Written 1484 250 American 15012016
USD 0.001 Put Option Written 1060 280 American 15012016
USD 0.001 Put Option Written 206 300 American 15012016
USD 0.001 Put Option Written 212 310 American 15012016
USD 0.001 Put Option Written 100 310 American 18032016
USD 0.001 Put Option Written 103 260 American 18122015
USD 0.001 Put Option Written 2600 240 American 20112015
USD 0.001 Put Option Written 1400 290 American 20112015

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

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Barclays (BARC)
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