TIDMBARC TIDMBRW

RNS Number : 8480A

Barclays PLC

27 September 2022

 
 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 in relation                        BREWIN DOLPHIN HOLDINGS 
                  to whose                                                   PLC 
                                                                           ------------------------------------------ 
                 relevant securities this form 
                  relates: 
--------------  ---------------------------------------------------------  ----------  --------------  -------------- 
 (c)             Name of the party to the offer                             BREWIN DOLPHIN HOLDINGS 
                  with which exempt                                          PLC 
                                                                           ------------------------------------------ 
                 principal trader is connected 
--------------  ---------------------------------------------------------  ----------  --------------  -------------- 
 (d)             Date position held/dealing undertaken:                     26 September 2022 
--------------  ---------------------------------------------------------  ------------------------------------------ 
 (e)             In addition to the company in                              NO 
                  1(b) above, is the exempt principal 
                 trader making disclosures in respect 
                  of any other party to the 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 security:                     1p ordinary 
                                                -------------------------  -------------------------- 
                                                        Interests                Short Positions 
                                                -------------------------  -------------------------- 
                                                   Number         (%)        Number          (%) 
----------------------------------------------  -----------  ------------  ----------  -------------- 
 (1)             Relevant securities 
                  owned 
  and/or controlled:                             9,842,379       3.24%       463,485        0.15% 
 
 (2)             Cash-settled derivatives: 
                                                  386,530        0.13%      7,810,537       2.57% 
 
 (3)             Stock-settled derivatives 
                  (including options) 
  and agreements 
   to purchase/sell:                                 0           0.00%          0           0.00% 
 
 
  TOTAL:                                         10,228,909      3.37%      8,274,022       2.72% 
 
 (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: 
-----------------------------------------------------------  -------------------------------------------------------- 
 3.                                                           DEALINGS (IF ANY) BY THE EXEMPT 
                                                               PRINCIPAL TRADER 
 (a)             Purchases and sales 
--------------  -------------------------------------------  ------------  ----------  --------------  -------------- 
     Class                      Purchase/sale                    Total                     Highest         Lowest 
  of relevant                                                    number                   price per       price per 
                                                                   of                        unit            unit 
   security                                                   securities                paid/received   paid/received 
--------------  -------------  ---------------  -----------  ------------  ----------  --------------  -------------- 
         1p ordinary                     Purchase                    1,143,215                 5.1500        5.14 GBP 
                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                       Sale                      1,204,384                 5.1505          5.1399 
                                                                                                  GBP             GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
 
 (b)             Cash-settled derivative transactions 
--------------  ---------------------------------------------------------  ----------  --------------  -------------- 
     Class                         Product                      Nature                     Number           Price 
       of                                                      of dealing                     of             per 
   relevant                      description                                              reference         unit 
   security                                                                              securities 
--------------  -------------  ---------------  -----------  ------------  ----------  --------------  -------------- 
         1p ordinary                        SWAP                  Decreasing Long            895               5.1499 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                 Decreasing Short            300               5.1399 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                 Decreasing Short          10,616              5.1400 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                 Decreasing Short          15,580              5.1400 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                 Decreasing Short          16,398              5.1500 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                 Decreasing Short          235,858             5.1500 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                  Increasing Long          10,000              5.1496 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                 Increasing Short            242               5.1495 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
         1p ordinary                        SWAP                 Increasing Short          16,398              5.1500 
                                                                                                                  GBP 
                               ----------------------------  ------------------------  --------------  -------------- 
 
 (c)             Stock-settled derivative transactions (including 
                  options) 
 (i)             Writing, selling, purchasing or 
                  varying 
     Class         Product         Writing,        Number      Exercise       Type         Expiry          Option 
      of         description     purchasing,         of          price                      date            money 
 relevant                          selling,      securities    per unit                                     paid/ 
 security                        varying etc         to                                                   received 
                                                    which 
                                                   option                                                 per unit 
                                                  relates 
                -------------  ---------------  -----------  ------------  ----------  --------------  -------------- 
 
 
 (ii)            Exercising 
 Class of relevant              Product description                 Exercising/         Number          Exercise 
                                                                 exercised against       of              price per 
   security                                                                              securities         unit 
--------------  -------------  ---------------  -----------                            --------------  -------------- 
 
 
 (d)             Other dealings (including subscribing for new 
                  securities) 
     Class                        Nature of                           Details               Price 
  of relevant                      Dealings                                                per unit 
                                                                                             (if 
   security                                                                              applicable) 
--------------  -------------  ---------------  -----------                            --------------  -------------- 
 
 4.                                                           OTHER INFORMATION 
 (a)             Indemnity and other dealings 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: 
-----------------------------------------------------------------------------------------------------  -------------- 
                                                         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 of future acquisition or disposal of any 
  relevant securities to which 
 any derivative is referenced: 
-----------------------------------------------------------  ------------  ----------  --------------  -------------- 
                                                         NONE 
--------------------------------------------------------------------------------------------------------------------- 
 (c)             Attachments 
 Is a Supplemental Form 8 (Open                                                         NO 
  Positions) attached? 
                                                             -------------------------------------------------------- 
 Date of disclosure:                                          27 Sep 
                                                               2022 
 Contact name:                                                Large Holdings Regulatory Operations 
 Telephone number:                                            020 3134 7213 
                                                             ------------------------  --------------  -------------- 
 

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September 27, 2022 05:34 ET (09:34 GMT)

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