Barclays PLC Form 8.5 (EPT/NON-RI)-BREWIN DOLPHIN HOLDINGS PLC (8480A)
27 September 2022 - 7:34PM
UK Regulatory
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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