TIDMAA. 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 in relation AA PLC
to whose
relevant securities this form
relates:
(c) Name of the party to the offer with Basing Bidco Limited (a newly
which exempt incorporated entity owned by a
consortium of the TowerBrook Funds
and the Warburg Pincus Funds)
principal trader is connected
(d) Date position held/dealing 05 March 2021
undertaken:
(e) In addition to the company in 1(b) NO
above, is the exempt principal
trader making disclosures in respect
of any other party to the offer?
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 relevant security: 0.1p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 11,112,561 1.78% 781,084 0.13%
(2) Cash-settled derivatives:
677,881 0.11% 11,027,785 1.77%
Stock-settled derivatives
(3) (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 11,790,442 1.89% 11,808,869 1.89%
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 Purchase/sale Total number of Highest price Lowest price
relevant per unit per unit
security securities paid/received paid/received
0.1p ordinary Purchase 93,291 0.3495 GBP 0.3495 GBP
0.1p ordinary Sale 1,996 0.3494 GBP 0.3494 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
0.1p ordinary SWAP Long 1,996 0.3494 GBP
0.1p ordinary SWAP Short 28,525 0.3495 GBP
0.1p ordinary CFD Short 43,198 0.3495 GBP
(c) Stock-settled derivative transactions (including
options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type e.g. Expiry Option
relevant description purchasing, securities price American, date money
security e.g. call selling, to which per European paid/
option varying option unit etc. received
etc. relates per
unit
(ii) Exercise
Class of Product Exercising/ Number of Exercise price
relevant description exercised securities per unit
security 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: 8 Mar 2021
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
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
+44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20210308005366/en/
CONTACT:
BARCLAYS PLC
SOURCE: BARCLAYS PLC
Copyright Business Wire 2021
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