BARCLAYS PLC Form 8.5 (EPT/NON-RI) - VANTIV INC

 
TIDMBARC 
 
 

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                VANTIV INC 
in relation to whose 
relevant securities  this form relates: 
Use a separate form for 
each offeror/offeree 
(c) Name of the party to                   WORLDPAY GROUP PLC 
the offer with which 
exempt principal  trader is connected: 
(d) Date position held/dealing             21 July 2017 
undertaken: 
For an opening position disclosure, 
state the latest 
practicable date prior to the disclosure 
(e) In addition to the                     YES WORLDPAY GROUP PLC 
company in 1(b) above, 
is the exempt  principal trader 
making disclosures in respect of 
any other party to  the offer? 
If it is a cash offer or possible 
cash offer, state "N/A" 
 
 

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

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.

(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                    USD 0.00001 
relevant                    Class 
security:                   A common 
                            Interests           Short Positions 
                            Number       (%)    Number           (%) 
(1)         Relevant 
            securities 
            owned 
            and/or          16,943       0.01%  286,034          0.18% 
            controlled: 
(2)         Cash-settled 
            derivatives: 
                            396,174      0.24%  0                0.00% 
(3)         Stock-settled 
            derivatives 
            (including 
            options) 
            and agreements  0            0.00%  0                0.00% 
            to 
            purchase/sell: 
(4) 
            TOTAL:          413,117      0.25%  286,034          0.18% 
 
 
 

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

(b) Cash-settled derivative transactions

 
Class of      Product       Nature of dealing  Number of   Price per 
relevant      description                      reference   unit 
security                                       securities 
USD 0.00001   SWAP Expires  Long               43,737      64.2600 USD 
Class         26/09/2017 
A common 
 
 
 

(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 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 
 
 

(c) Attachments

 
Is a Supplemental Form 8 (Open Positions) attached?   NO 
 
 
Date of disclosure:   24 July 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/20170724005516/en/

 
This information is provided by Business Wire 
 
 

(END) Dow Jones Newswires

July 24, 2017 05:32 ET (09:32 GMT)