BARCLAYS PLC Form 8.3 - CAPE PLC

 
TIDMCIU 
 
 

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the "Code")

1.KEY INFORMATION

 
(a)   Full name of discloser:                       Barclays PLC. 
(b)   Owner or controller of interest and short 
      positions disclosed, if different from 1(a): 
(c)   Name of offeror/offeree in relation to whose  CAPE PLC 
      relevant securities this form relates: 
(d)   If an exempt fund manager connected with an 
      offeror/offeree, state this 
      and specify identity of 
      offeror/offeree: 
(e)   Date position held/dealing undertaken:        16 August 2017 
(f)   In addition to the company in 1(c)            NO 
      above, is the discloser making 
      disclosures in respect of any 
      other party to the offer? 
 
 

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 (if any)

 
Class of                    25p ordinary 
relevant 
security: 
                            Interests            Short Positions 
                            Number        (%)    Number           (%) 
(1)         Relevant 
            securities 
            owned 
            and/or          2,075,299     1.71%  116,954          0.10% 
            controlled: 
(2)         Cash-settled 
            derivatives: 
                            0             0.00%  2,075,299        1.71% 
(3)         Stock-settled 
            derivatives 
            (including 
            options) 
            and agreements  0             0.00%  0                0.00% 
            to 
            purchase/sell: 
(4) 
            TOTAL:          2,075,299     1.71%  2,192,253        1.81% 
 
 

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).

(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 (IF ANY) 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

 
Class of relevant   Purchase/sale  Number of   Price per unit 
security                           securities 
25p ordinary        Purchase       256         2.5900 GBP 
25p ordinary        Purchase       294         2.6000 GBP 
25p ordinary        Purchase       451         2.5925 GBP 
25p ordinary        Purchase       456         2.5875 GBP 
25p ordinary        Purchase       745         2.5954 GBP 
25p ordinary        Purchase       1,543       2.5970 GBP 
25p ordinary        Purchase       2,873       2.5951 GBP 
25p ordinary        Purchase       10,311      2.5928 GBP 
25p ordinary        Purchase       10,485      2.5948 GBP 
25p ordinary        Sale           256         2.5900 GBP 
25p ordinary        Sale           294         2.6000 GBP 
25p ordinary        Sale           456         2.5875 GBP 
25p ordinary        Sale           712         2.5886 GBP 
25p ordinary        Sale           820         2.5925 GBP 
25p ordinary        Sale           4,607       2.5923 GBP 
25p ordinary        Sale           6,569       2.5912 GBP 
25p ordinary        Sale           10,757      2.5949 GBP 
 
 

(b)Cash-settled derivative transactions

 
Class of       Product      Nature of dealing  Number of   Price per 
relevant       description                     reference   unit 
security                                       securities 
25p ordinary   SWAP         Long               984         2.5895 GBP 
25p ordinary   SWAP         Long               4,976       2.5923 GBP 
25p ordinary   CFD          Short              2,873       2.5951 GBP 
25p ordinary   SWAP         Short              6,030       2.5960 GBP 
 
 

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

(i)Writing, selling, purchasing or varying

 
Class of   Product          Writing,      Number         Exercise price  Type            Expiry date  Option money 
relevant   descriptione.g.  purchasing,   of securities  per unit        e.g. American,               paid/ 
security   call             selling,      to                             European etc.                received 
           option           varying etc.  which option                                                per unit 
                                          relates 
 
 

(ii)Exercise

 
Class of relevant   Product      Exercising/  Number         Exercise price 
security            description  exercised    of securities  per unit 
                    e.g. call    against 
                    option 
 
 

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

 
Class of relevant   Nature of dealing   Details  Price per unit (if 
security            e.g. subscription,           applicable) 
                    conversion 
 
 

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 person making the disclosure and any 
party to the offer or any person acting in 
concert with a party to  the offer: 
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 person 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

 
Is a Supplemental Form 8 (Open Positions) attached?   NO 
Date of disclosure:                                   17 Aug 2017 
Contact name:                                         Jay Supaya 
Telephone number:                                     020 7773 0635 
 
 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on [phone].

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

View source version on businesswire.com: http://www.businesswire.com/news/home/20170817005521/en/

 
This information is provided by Business Wire 
 
 

(END) Dow Jones Newswires

August 17, 2017 08:11 ET (12:11 GMT)