Barclays PLC Form 8.5 (EPT/NON-RI) Brewin Dolphin Holdings plc (1013V)
05 August 2022 - 7:38PM
UK Regulatory
TIDMBARC TIDMBRW
RNS Number : 1013V
Barclays PLC
05 August 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 to whose BREWIN DOLPHIN
HOLDINGS PLC
-----------------------
relevant securities this form relates:
------- ---------------------------------------------------------- ---------- ------ ---
(c) Name of the party to the offer with which Brewin Dolphin
exempt Holdings plc
-----------------------
principal trader is connected
------- ---------------------------------------------------------- ---------- ------ ---
(d) Date position held/dealing undertaken: 04 August 2022
------- ---------------------------------------------------------- -----------------------
(e) In addition to the company in 1(b) above, NO
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: 7,872,382 2.59% 496,871 0.16%
(2) Cash-settled derivatives:
332,902 0.11% 7,551,833 2.49%
(3) Stock-settled derivatives
(including options)
and agreements
to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 8,205,284 2.70% 8,048,704 2.65%
(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 of Purchase/sale Total number Highest price Lowest price per
relevant of per unit unit
security securities paid/received paid/received
------------ -------------- ------------- -------------- -----------------
1p ordinary Purchase 24,257 5.1300 GBP 5.1197 GBP
---------------- --------------- -------------- -----------------
1p ordinary Sale 10,544 5.1200 GBP 5.1099 GBP
---------------- --------------- -------------- -----------------
(b) Cash-settled derivative transactions
------------ ----------------------------------------------- -----------
Class of Product Nature of Number Price per
dealing of
relevant description reference unit
security securities
------------ -------------- ----------- ------------ -----------
1p ordinary SWAP Decreasing 3,418 5.1200 GBP
Long
---------------- ------------- ------------ -----------
1p ordinary SWAP Decreasing 718 5.1095 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 1,000 5.1196 GBP
Long
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 100 5.1099 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 708 5.1210 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 3,418 5.1200 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 6,167 5.1237 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 6,202 5.1200 GBP
Short
---------------- ------------- ------------ -----------
1p ordinary SWAP Increasing 11,440 5.1300 GBP
Short
---------------- ------------- ------------ -----------
(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 to received
etc 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 Details Price
of relevant of 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: 5 Aug 2022
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
--------------------- ------------ -----------
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END
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