Form 8.5 - TOMKINS PLC - AMENDMENT

 
TIDMTOMK 
 
 

  FORM 8.5 (EPT/NON-RI) 
 

  AMENDMENT 
 

  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 
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(b)   Name of offeror/offeree            TOMKINS PLC 
      in relation to whose 
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      relevant securities 
      this form relates: 
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(c)   Name of the party to the           Advisor to Offeror 
      offer with which exempt 
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      principal trader is connected 
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(d)   Date position held/dealing         15 September 2010 
      undertaken: 
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(e)   Has the EPT previously             NO 
      disclosed, or is it 
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      today disclosing, under 
      the Code in respect 
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      of any other party to this offer? 
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  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: 
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                                    Interests          Short Positions 
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                                    Number      (%)    Number      (%) 
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(1)                 Relevant 
                    securities 
                    owned 
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                    and/or          11,002,018  1.25%  3,015,000   0.34% 
                    controlled: 
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(2)                 Derivatives 
                    (other 
                    than 
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                    options):       0           0.00%  10,008,963  1.13% 
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(3)                 Options and 
                    agreements 
                    to 
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                    purchase/sell:  2,500,000   0.28%  0           0.00% 
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(4)                 TOTAL: 
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                                    13,502,018  1.53%  13,023,963  1.47% 
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  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: 
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Details, including nature of the rights 
concerned and relevant  percentages: 
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  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 relevant   Purchase/sale  Number of   Price per unit 
security                           securities 
ORD                 Purchase       1,869       3.2390 GBP 
ORD                 Purchase       4,716       3.2395 GBP 
ORD                 Purchase       4,746       3.2368 GBP 
ORD                 Purchase       7,903       3.2398 GBP 
ORD                 Purchase       8,503       3.2378 GBP 
ORD                 Purchase       20,600      3.2386 GBP 
ORD                 Purchase       43,051      3.2375 GBP 
ORD                 Purchase       1,036,387   3.2363 GBP 
ORD                 Sale           4,746       3.2368 GBP 
ORD                 Sale           8,503       3.2378 GBP 
ORD                 Sale           43,051      3.2375 GBP 
ORD                 Sale           166,318     3.2376 GBP 
ORD                 Sale           875,638     3.2361 GBP 
ORD                 Sale           1,036,387   3.2363 GBP 
 
 

  (b) Derivatives transactions (other than options) 
 
Class of   Product      Nature of dealing  Number of   Price per 
relevant   description                     reference   unit 
security                                   securities 
ORD        CFD          Long               850,338     3.2360 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 
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  (ii) Exercising 
 
Class of relevant   Product description  Number         Exercise price 
security            e.g. call option     of securities  per unit 
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  (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 
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  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" 
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NONE 
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  (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" 
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NONE 
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  (c) Attachments 
 
Is a Supplemental Form 8 (Open Positions) attached?   YES 
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Date of disclosure:   17 Sep 2010 
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Contact name:         Geoff Smith 
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Telephone number:     020 7116 2913 
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  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. 
 

  143221.01 
 

  SUPPLEMENTAL FORM 8 (OPEN POSITIONS) 
 

  DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC. 
 

  Note 5(i) on Rule 8 of the Takeover Code (the "Code") 
 

  1. KEY INFORMATION 
 
Identity of person whose open positions   Barclays Capital Securities Ltd 
are being disclosed: 
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Name of offeror/offeree                   TOMKINS 
in relation to whose 
relevant securities the 
disclosure relates: 
=------------------------------------------------------------------------ 
 
 

  2. OPTIONS AND DERIVATIVES 
 
Class      Product      Writing,     Number      Exercise  Type      Expiry 
of         description  purchasing,  of          price               date 
relevant                selling,     securities  per unit 
security                varying etc  to which 
                                     option 
                                     relates 
ORD        Call         Purchased    2,500,000   3.2000    American  17 Sep 2010 
           Options 
 
 

  3. AGREEMENTS TO PURCHASE OR SELL ETC. 
 
Full details should be given so that the nature of 
the interest or  position can be fully understood: 
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  It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences ("CFDs") or spread bets. 
 

  The currency of all prices and other monetary amounts should be stated. 
 

  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.