BARCLAYS PLC Form 8.5 (EPT/NON-RI) - DIXONS RETAIL PLC

 
TIDMDXNS 
 
 

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             DIXONS RETAIL PLC 
in relation to whose 
relevant securities 
this form relates: 
Use a separate form for 
each offeror/offeree 
(c) Name of the party to                DIXONS RETAIL PLC 
the offer with which 
exempt principal  trader 
is connected: 
(d) Date position held/dealing          20 June 2014 
undertaken: 
(e) Has the EPT previously disclosed,   YES: 
or is it today disclosing,              CARPHONE WAREHOUSE GROUP PLC 
under the Code in respect of any 
other party to this 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                   ORD 
security: 
                                    Interests          Short Positions 
                                    Number      (%)    Number     (%) 
(1)                 Relevant 
                    securities 
                    owned 
                    and/or          8,978,310   0.25%  8,978,223  0.25% 
                    controlled: 
(2)                 Derivatives 
                    (other 
                    than 
                    options):       7,282,590   0.20%  959,272    0.03% 
(3)                 Options and 
                    agreements 
                    to 
                    purchase/sell:  0           0.00%  0          0.00% 
(4)                 TOTAL: 
                                    16,260,900  0.44%  9,937,495  0.27% 
 
 
 

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: 
Details, including nature of the rights 
concerned and relevant  percentages: 
 
 

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   Purchase/sale  Number of          Price per unit 
relevant 
security                  securities 
ORD        Purchase       12,381             0.4846 GBP 
ORD        Purchase       29,210             0.4889 GBP 
ORD        Purchase       40,200             0.4828 GBP 
ORD        Purchase       51,868             0.4836 GBP 
ORD        Purchase       100,000            0.4832 GBP 
ORD        Sale           3,873              0.4856 GBP 
ORD        Sale           19,612             0.4849 GBP 
ORD        Sale           20,933             0.4855 GBP 
ORD        Sale           31,595             0.4850 GBP 
ORD        Sale           100,000            0.4841 GBP 
ORD        Sale           371,253            0.4874 GBP 
ORD        Sale           1,000,000          0.4840 GBP 
(b)        Derivatives 
           transactions 
           (other than 
           options) 
Class of   Product        Nature of dealing  Number of       Price per 
relevant   description                       reference       unit 
security                                     securities 
ORD        SWAP           Long               17,829          0.4852 GBP 
ORD        SWAP           Long               24,200          0.4854 GBP 
ORD        SWAP           Long               82,699          0.4850 GBP 
ORD        SWAP           Long               322,538         0.4878 GBP 
ORD        CFD            Long               1,000,000       0.4840 GBP 
ORD        SWAP           Short              9,134           0.4829 GBP 
ORD        SWAP           Short              13,372          0.4827 GBP 
ORD        SWAP           Short              81,943          0.4836 GBP 
 
 
 

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

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

(ii) Exercising

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

(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 
 
 

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?   NO 
 
 
Date of disclosure:   23 June 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.

 
 
 
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