Form 8.5 (EPT/NON-RI) - CARPHONE WAREHOUSE GROU...

Form 8.5 (EPT/NON-RI) - CARPHONE WAREHOUSE GROUP PLC

BARCLAYS PLC

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a)	Â	Name of exempt principal trader:	Â	BARCLAYS CAPITAL SECURITIES LTD
(b)		Name of offeror/offeree in relation to whose		CARPHONE WAREHOUSE GROUP PLC
Â		relevant securities this form relates:		Â
(c)		Name of the party to the offer with which exempt		DIXONS RETAIL PLC
Â		principal trader is connected		Â
(d)		Date position held/dealing undertaken:		5 August 2014
(e)		Has the EPT previously disclosed, or is it		YES:
		today disclosing, under the Code in respect		DIXONS RETAIL PLC
Â		of any other party to this offer?		Â

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

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

Class of relevant security:			Â	ORD
	Â			Interests			Â	Short Positions
Â		Â		Number	Â	(%)		Number	Â	(%)
(1)		Relevant securities owned
		and/or controlled:		2,999,887		0.52%		845,917		0.15%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		638,305		0.11%		2,718,255		0.47%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)
		TOTAL:		3,638,192		0.63%		3,564,172		0.62%

All interests and all short positions should be disclosed.

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

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

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

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(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a) Purchases and sales

Class of relevant	Â	Purchase/sale	Â	Number of	Â	Price per unit
security		Â		securities		Â
ORD		Purchase		33		3.4175 GBP
ORD		Purchase		3,731		3.4259 GBP
ORD		Purchase		7,378		3.4173 GBP
ORD		Purchase		8,140		3.4150 GBP
ORD		Purchase		9,455		3.4323 GBP
ORD		Purchase		9,676		3.4313 GBP
ORD		Purchase		15,375		3.4146 GBP
ORD		Purchase		21,375		3.4081 GBP
ORD		Purchase		78,181		3.4241 GBP
ORD		Purchase		81,489		3.4262 GBP
ORD		Purchase		149,547		3.4085 GBP
ORD		Purchase		222,053		3.4282 GBP
ORD		Sale		66		3.4300 GBP
ORD		Sale		126		3.4090 GBP
ORD		Sale		160		3.4076 GBP
ORD		Sale		373		3.3940 GBP
ORD		Sale		722		3.4467 GBP
ORD		Sale		2,346		3.4186 GBP
ORD		Sale		3,939		3.4175 GBP
ORD		Sale		21,216		3.4248 GBP
ORD		Sale		23,162		3.4271 GBP
ORD		Sale		26,500		3.4274 GBP
ORD		Sale		28,022		3.4091 GBP
ORD		Sale		28,412		3.4008 GBP
ORD		Sale		54,674		3.4038 GBP
ORD		Sale		100,000		3.4163 GBP
ORD		Sale		157,252		3.4067 GBP
ORD		Sale		350,000		3.4282 GBP

(b) Derivatives transactions (other than options)

Class of	Â	Product	Â	Nature of dealing	Â	Number of	Â	Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
ORD		SWAP		Long		3,879		3.4288 GBP
ORD		CFD		Long		5,356		3.3915 GBP
ORD		CFD		Long		7,892		3.3994 GBP
ORD		SWAP		Long		53,424		3.4105 GBP
ORD		SWAP		Long		89,453		3.4118 GBP
ORD		CFD		Long		100,000		3.4163 GBP
ORD		CFD		Long		157,252		3.4067 GBP
ORD		CFD		Short		66		3.4175 GBP
ORD		SWAP		Short		2,600		3.4451 GBP
ORD		CFD		Short		8,140		3.4150 GBP
ORD		CFD		Short		8,151		3.3925 GBP
ORD		CFD		Short		15,375		3.4146 GBP
ORD		CFD		Short		16,030		3.4164 GBP
ORD		CFD		Short		21,375		3.4081 GBP
ORD		CFD		Short		27,984		3.4159 GBP
ORD		SWAP		Short		27,984		3.4159 GBP
ORD		CFD		Short		38,907		3.4060 GBP
ORD		SWAP		Short		91,338		3.4122 GBP

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security

Â

Product description e.g. call option

Â

Writing, purchasing, selling, varying etc.

Â

Number of securities to which option relates

Â

Exercise price per unit

Â

Type e.g. American, European etc.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Â

Product description e.g. call option

Â

Number of securities

Â

Exercise price per unit

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

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

Price per unit (if applicable)

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

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

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 exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer: If there are no such agreements, arrangements or understandings, state “none”

NONE

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

Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader 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”

NONE

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?	Â	NO
Date of disclosure:		6 Aug 2014
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 [e-mail]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on [phone].

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