TIDMDXNS
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 DIXONS RETAIL PLC
in relation to whose
relevant securities
this form relates:
Use a separate form for
each offeror/offeree
(c) Name of the party to DIXONS RETAIL PLC
the offer with which
exempt principal trader
is connected:
(d) Date position held/dealing 26 March 2014
undertaken:
(e) Has the EPT previously disclosed, YES/:
or is it today disclosing, CARPHONE WAREHOUSE GROUP PLC
under the Code in respect of any
other party to this 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 ORD
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant
securities
owned
and/or 9,445,911 0.26% 9,520,368 0.26%
controlled:
(2) Derivatives
(other
than
options): 5,997,304 0.16% 2,651,676 0.07%
(3) Options and
agreements
to
purchase/sell: 2,520,000 0.07% 0 0.00%
(4) TOTAL:
17,963,215 0.49% 12,172,044 0.33%
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:
Details, including nature of the rights
concerned and relevant percentages:
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 Purchase/sale Number of Price per unit
relevant
security securities
ORD Purchase 15,496 0.5015 GBP
ORD Purchase 21,700 0.5050 GBP
ORD Purchase 28,842 0.5033 GBP
ORD Purchase 43,788 0.5005 GBP
ORD Purchase 65,084 0.5003 GBP
ORD Purchase 92,652 0.5000 GBP
ORD Purchase 103,801 0.5039 GBP
ORD Purchase 120,618 0.5028 GBP
ORD Sale 1,761 0.5032 GBP
ORD Sale 14,627 0.5019 GBP
ORD Sale 21,664 0.5056 GBP
ORD Sale 21,700 0.5050 GBP
ORD Sale 23,832 0.5028 GBP
ORD Sale 28,315 0.5000 GBP
ORD Sale 61,626 0.5015 GBP
ORD Sale 77,920 0.5023 GBP
ORD Sale 136,913 0.5029 GBP
ORD Sale 148,324 0.5021 GBP
(b) Derivatives
transactions
(other than
options)
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD SWAP Long 11,369 0.4997 GBP
ORD CFD Long 18,066 0.5001 GBP
ORD SWAP Long 94,012 0.5028 GBP
ORD CFD Long 160,501 0.5018 GBP
ORD SWAP Short 2,782 0.5027 GBP
ORD SWAP Short 6,772 0.5037 GBP
ORD SWAP Short 14,431 0.5005 GBP
ORD CFD Short 35,025 0.5025 GBP
ORD SWAP Short 115,900 0.5013 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
(ii) Exercising
Class of relevant Product description Number Exercise price
security e.g. call option of securities per unit
(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
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"
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? YES
Date of disclosure: 27 March 2014
Contact name: Rajesh Muthanna
Telephone number: 020 3555 4634
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 monitoring@disclosure.org.uk. The Panel's Market
Surveillance Unit is available for consultation in relation to the
Code's dealing disclosure requirements on +44 (0)20 7638 0129.
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:
Name of offeror/offeree in DIXONS RETAIL PLC
relation to whose relevant
securities the disclosure relates:
2. OPTIONS AND DERIVATIVES
Product Writing, Number Exercise Type Expiry
description purchasing, of price date
selling, securities per unit
varying etc to which
option
relates
Call Options Purchased 2,520,000 0.4909 European 31 Mar 2014
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:
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 +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk.
This information is provided by Business Wire
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