Bank of America Merrill Lynch Form 8.5 (EPT/RI) (6069I)

TIDMSHAW

RNS Number : 6069I

Bank of America Merrill Lynch

20 June 2017

FORM 8.5 (EPT/RI)

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY

Rule 8.5 of the Takeover Code (the "Code")

 
1.  KEY INFORMATION 
 
 
 (a)  Name of exempt principal trader:                                                  Bank of America Merrill Lynch 
-------------------------------------------------------------------------------------  ------------------------------ 
 (b)  Name of offeror/offeree in relation to whose                                      Shawbrook Group PLC 
        relevant securities this form relates: 
        Use a separate form for each offeror/offeree 
-------------------------------------------------------------------------------------  ------------------------------ 
 (c)  Name of the party to the offer with which exempt principal trader is connected:   Shawbrook Group PLC 
-------------------------------------------------------------------------------------  ------------------------------ 
 (d)  Date dealing undertaken:                                                          19/06/2017 
-------------------------------------------------------------------------------------  ------------------------------ 
 (e)  In addition to the company in 1(b) above, is the                                  NO 
        exempt principal trader making disclosures in 
        respect of any other party to this offer? 
        If it is a cash offer or possible cash offer, state "N/A" 
-------------------------------------------------------------------------------------  ------------------------------ 
 
 
2.  DEALINGS BY THE EXEMPT PRINCIPAL TRADER 
 

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(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 security   Purchases/   Total number of securities   Highest price    Lowest price 
                               sales                                     per unit         per unit 
                                                                         paid/received    paid/received 
---------------------------  -----------  ---------------------------  ---------------  --------------- 
 Common - ISIN GB00BWDPMF43   Purchase     1,047,606                    3.4 GBP          3.356 GBP 
---------------------------  -----------  ---------------------------  ---------------  --------------- 
 Common - ISIN GB00BWDPMF43   Sale         328,453                      3.4 GBP          3.36 GBP 
---------------------------  -----------  ---------------------------  ---------------  --------------- 
 
 
(b)  Cash-settled derivative transactions 
 
 
 Class of                   Product description   Nature of dealing          Number of reference        Price per unit 
  relevant security          e.g. CFD             e.g. opening/closing a     securities 
                                                  long/short position, 
                                                  increasing/reducing a 
                                                  long/short position 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Short                      3,948                      3.386 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Long                       342                        3.386 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Long                       6,871                      3.385 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Long                       25,582                     3.374 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Long                       1,654                      3.4 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Long                       288                        3.393 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Short                      642,466                    3.395 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 Common - ISIN              Swaps                 Short                      107,534                    3.395 GBP 
 GB00BWDPMF43 
-------------------------  --------------------  -------------------------  -------------------------  --------------- 
 
 
(c)  Stock-settled derivative transactions 
      (including options) 
 
 
(i)  Writing, selling, purchasing or varying 
 
 
 Class           Product        Writing,       Number          Exercise    Type            Expiry date   Option money 
 of              description    purchasing,    of               price      e.g.                          paid/ 
 relevant        e.g. call      selling,       securities to    per unit   American,                     received per 
 security        option         varying etc.   which option                European etc.                 unit 
                                               relates 
--------------  -------------  -------------  --------------  ----------  --------------  ------------  -------------- 
 N/A             N/A            N/A            N/A             N/A         N/A             N/A           N/A 
--------------  -------------  -------------  --------------  ----------  --------------  ------------  -------------- 
 
 
(ii)  Exercise 
 
 
 Class of relevant security   Product description   Exercising/   Number of     Exercise Price per 
                               e.g. call option      exercised     securities    unit 
                                                     against 
---------------------------  --------------------  ------------  ------------  ------------------- 
 N/A                          N/A                   N/A           N/A           N/A 
---------------------------  --------------------  ------------  ------------  ------------------- 
 
 
(d)  Other dealings (including subscribing 
      for new securities) 
 
 
 Class of relevant security         Nature of dealing          Details   Price per unit (if applicable) 
                               e.g. subscription, conversion 
---------------------------  -------------------------------  --------  ------------------------------- 
            N/A                            N/A                   N/A                  N/A 
---------------------------  -------------------------------  --------  ------------------------------- 
 
 
3.  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: 
  Irrevocable commitments and letters of intent should not be included. 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 
----------------------------------------------------------------------------------------------- 
 
 
 Date of disclosure:    20/06/2017 
---------------------  ---------------- 
 Contact name:          Harshini Gopa 
---------------------  ---------------- 
 Telephone number:      [phone] 
---------------------  ---------------- 
 

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

dealing disclosure requirements on [phone].

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

This information is provided by RNS

The company news service from the London Stock Exchange

END

FERBGGDLXSDBGRG

(END) Dow Jones Newswires

June 20, 2017 06:43 ET (10:43 GMT)