Friday 27 May, 2022
Barclays PLC
Form 8.5 (EPT/NON-RI) Brewin Dolphin Holdings plc
RNS Number : 0834N
Barclays PLC
27 May 2022
|
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)
|
Name of exempt principal trader:
|
|
BARCLAYS CAPITAL SECURITIES LTD
|
|
(b)
|
Name of offeror/offeree in relation to whose
|
BREWIN DOLPHIN HOLDINGS PLC
|
|
|
relevant securities this form relates:
|
|
(c)
|
Name of the party to the offer with which exempt
|
Brewin Dolphin Holdings plc
|
|
|
principal trader is connected
|
|
|
(d)
|
Date position held/dealing undertaken:
|
26 May 2022
|
|
(e)
|
In addition to the company in 1(b) above, is the exempt principal
|
NO
|
|
|
|
|
trader making disclosures in respect of any other party to the offer?
|
|
|
|
|
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:
|
1p ordinary
|
|
|
|
|
|
Interests
|
Short Positions
|
|
|
|
Number
|
(%)
|
Number
|
(%)
|
|
|
(1)
|
Relevant securities owned
|
|
|
|
|
|
|
|
and/or controlled:
|
7,071,029
|
2.33%
|
297,046
|
0.10%
|
|
|
|
|
|
|
|
|
|
|
|
(2)
|
Cash-settled derivatives:
|
|
|
|
|
|
|
|
|
|
236,868
|
0.08%
|
6,885,958
|
2.27%
|
|
|
|
|
|
|
|
|
|
|
|
(3)
|
Stock-settled derivatives (including options)
|
|
|
|
|
|
|
|
and agreements to purchase/sell:
|
0
|
0.00%
|
0
|
0.00%
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
TOTAL:
|
|
7,307,897
|
2.41%
|
7,183,004
|
2.36%
|
|
|
|
|
|
|
|
|
|
|
|
(b)
|
Rights to subscribe for new securities (including directors and other executive
|
|
|
|
options)
|
|
|
|
|
|
|
|
|
Class of relevant security in relation to
|
|
|
|
which subscription right exists
|
|
|
|
Details, including nature of the rights
|
|
|
|
concerned and relevant percentages:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
3.
|
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
|
|
(a)
|
Purchases and sales
|
|
|
|
|
Class of relevant
|
|
Purchase/sale
|
|
Total number of
|
|
Highest price per unit
|
Lowest price per unit
|
|
security
|
|
|
|
securities
|
|
paid/received
|
paid/received
|
|
1p ordinary
|
Purchase
|
211,732
|
5.1151 GBP
|
5.0993 GBP
|
|
1p ordinary
|
Sale
|
372,307
|
5.1200 GBP
|
5.1 GBP
|
|
(b)
|
Cash-settled derivative transactions
|
|
|
Class of
|
|
Product
|
|
Nature of dealing
|
|
Number of
|
Price per
|
|
relevant
|
|
description
|
|
|
|
reference
|
unit
|
|
security
|
|
|
|
|
|
securities
|
|
|
1p ordinary
|
SWAP
|
Decreasing Long
|
73
|
5.1100 GBP
|
|
1p ordinary
|
SWAP
|
Decreasing Long
|
5,762
|
5.1069 GBP
|
|
1p ordinary
|
SWAP
|
Decreasing Short
|
1,938
|
5.1151 GBP
|
|
1p ordinary
|
SWAP
|
Decreasing Short
|
2,198
|
5.0999 GBP
|
|
1p ordinary
|
SWAP
|
Decreasing Short
|
2,567
|
5.1000 GBP
|
|
1p ordinary
|
SWAP
|
Decreasing Short
|
4,606
|
5.1106 GBP
|
|
1p ordinary
|
SWAP
|
Decreasing Short
|
19,438
|
5.1100 GBP
|
|
1p ordinary
|
SWAP
|
Decreasing Short
|
54,957
|
5.1006 GBP
|
|
1p ordinary
|
SWAP
|
Increasing Short
|
304
|
5.1062 GBP
|
|
1p ordinary
|
SWAP
|
Increasing Short
|
941
|
5.1009 GBP
|
|
1p ordinary
|
CFD
|
Increasing Short
|
3,395
|
5.1100 GBP
|
|
1p ordinary
|
SWAP
|
Increasing Short
|
5,379
|
5.1001 GBP
|
|
1p ordinary
|
CFD
|
Increasing Short
|
8,841
|
5.1093 GBP
|
|
1p ordinary
|
CFD
|
Increasing Short
|
24,569
|
5.1116 GBP
|
|
1p ordinary
|
SWAP
|
Increasing Short
|
24,951
|
5.1147 GBP
|
|
1p ordinary
|
CFD
|
Increasing Short
|
35,786
|
5.1000 GBP
|
|
1p ordinary
|
SWAP
|
Opening Short
|
73
|
5.1100 GBP
|
|
1p ordinary
|
SWAP
|
Opening Short
|
2,567
|
5.1000 GBP
|
|
1p ordinary
|
SWAP
|
Opening Long
|
700
|
5.1145 GBP
|
|
(c)
|
Stock-settled derivative transactions (including options)
|
|
(i)
|
Writing, selling, purchasing or varying
|
|
|
Class
|
Product
|
Writing,
|
Number
|
Exercise
|
Type
|
Expiry
|
Option
|
|
of
|
description
|
purchasing,
|
of
|
price
|
|
date
|
money
|
|
relevant
|
|
selling,
|
securities
|
per unit
|
|
|
paid/
|
|
security
|
|
varying etc
|
to which
|
|
|
|
received
|
|
|
|
|
option
|
|
|
|
per unit
|
|
|
|
|
relates
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(ii)
|
Exercising
|
|
|
|
|
|
|
Class of relevant
|
Product description
|
Exercising/ exercised against
|
Number of
|
Exercise price per
|
|
security
|
|
|
|
securities
|
unit
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(d)
|
Other dealings (including subscribing for new securities)
|
|
Class of relevant
|
|
Nature of Dealings
|
|
Details
|
Price per unit (if
|
|
|
security
|
|
|
|
applicable)
|
|
|
|
|
|
|
|
4.
|
OTHER INFORMATION
|
|
(a)
|
Indemnity and other dealings 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:
|
|
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 of future acquisition or disposal of any relevant securities to which
|
|
any derivative is referenced:
|
|
|
|
|
NONE
|
|
(c)
|
Attachments
|
|
|
|
|
|
Is a Supplemental Form 8 (Open Positions) attached?
|
NO
|
|
Date of disclosure:
|
27 May 2022
|
|
|
|
|
Contact name:
|
Large Holdings Regulatory Operations
|
|
Telephone number:
|
020 3134 7213
|
|
|
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact [email protected] or visit www.rns.com. RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy. END
FEOUBVWRUSUVURR
|
|