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:
(c) Name of the party to the DIXONS RETAIL PLC
offer with which exempt
principal trader is connected
(d) Date position held/dealing 14 May 2014
undertaken:
(e) Has the EPT previously YES:
disclosed, or is it
today disclosing, under CARPHONE WAREHOUSE GROUP PLC
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 10,302,978 0.28% 14,767,940 0.40%
controlled:
(2) Derivatives
(other
than
options): 10,033,895 0.27% 4,410,824 0.12%
(3) Options and
agreements
to
purchase/sell: 0 0.00% 0 0.00%
(4) TOTAL:
20,336,873 0.56% 19,178,764 0.52%
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 relevant Purchase/sale Number of Price per unit
security securities
ORD Purchase 578 0.5005 GBP
ORD Purchase 1,254 0.5050 GBP
ORD Purchase 2,904 0.5095 GBP
ORD Purchase 2,943 0.5112 GBP
ORD Purchase 4,940 0.5097 GBP
ORD Purchase 5,422 0.5102 GBP
ORD Purchase 5,741 0.5120 GBP
ORD Purchase 7,600 0.5100 GBP
ORD Purchase 8,683 0.5080 GBP
ORD Purchase 10,836 0.5105 GBP
ORD Purchase 11,860 0.5057 GBP
ORD Purchase 15,881 0.5072 GBP
ORD Purchase 17,504 0.5067 GBP
ORD Purchase 21,339 0.4989 GBP
ORD Purchase 28,774 0.5085 GBP
ORD Purchase 29,298 0.5062 GBP
ORD Purchase 35,882 0.5077 GBP
ORD Purchase 64,606 0.5065 GBP
ORD Purchase 79,259 0.5070 GBP
ORD Purchase 100,329 0.5060 GBP
ORD Purchase 219,624 0.5075 GBP
ORD Purchase 229,761 0.5076 GBP
ORD Purchase 294,862 0.5068 GBP
ORD Purchase 447,661 0.5092 GBP
ORD Purchase 551,533 0.5055 GBP
ORD Purchase 822,577 0.5071 GBP
ORD Purchase 1,371,913 0.5056 GBP
ORD Sale 578 0.5005 GBP
ORD Sale 1,011 0.4989 GBP
ORD Sale 2,943 0.5112 GBP
ORD Sale 4,087 0.5026 GBP
ORD Sale 4,940 0.5097 GBP
ORD Sale 5,422 0.5102 GBP
ORD Sale 5,741 0.5120 GBP
ORD Sale 5,808 0.5095 GBP
ORD Sale 7,600 0.5100 GBP
ORD Sale 8,683 0.5080 GBP
ORD Sale 9,776 0.5085 GBP
ORD Sale 10,836 0.5105 GBP
ORD Sale 11,860 0.5057 GBP
ORD Sale 15,881 0.5072 GBP
ORD Sale 17,504 0.5067 GBP
ORD Sale 20,328 0.4990 GBP
ORD Sale 29,298 0.5062 GBP
ORD Sale 32,000 0.5009 GBP
ORD Sale 34,000 0.5068 GBP
ORD Sale 35,135 0.5055 GBP
ORD Sale 35,882 0.5077 GBP
ORD Sale 36,122 0.5041 GBP
ORD Sale 36,276 0.5075 GBP
ORD Sale 64,606 0.5065 GBP
ORD Sale 66,802 0.5002 GBP
ORD Sale 79,259 0.5070 GBP
ORD Sale 100,329 0.5060 GBP
ORD Sale 156,682 0.5034 GBP
ORD Sale 184,039 0.5063 GBP
ORD Sale 361,500 0.5084 GBP
ORD Sale 1,247,544 0.5076 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 6,078 0.5021 GBP
ORD SWAP Long 66,802 0.5001 GBP
ORD SWAP Long 93,558 0.5058 GBP
ORD CFD Long 184,039 0.5063 GBP
ORD SWAP Long 185,944 0.5035 GBP
ORD SWAP Long 272,811 0.5093 GBP
ORD CFD Long 1,247,544 0.5076 GBP
ORD SWAP Short 4,816 0.4997 GBP
ORD CFD Short 28,303 0.5069 GBP
ORD SWAP Short 101,769 0.5081 GBP
ORD CFD Short 112,429 0.5054 GBP
ORD SWAP Short 351,226 0.5062 GBP
ORD CFD Short 1,319,325 0.5053 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? NO
Date of disclosure: 15 May 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.
This information is provided by Business Wire
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