Barclays PLC Form 8.5 (EPT/NON-RI)BREWIN DOLPHIN HOLDINGS PLC (3667A)
22 Septiembre 2022 - 11:21AM
UK Regulatory
TIDMBARC TIDMBRW
RNS Number : 3667A
Barclays PLC
22 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 BARCLAYS CAPITAL SECURITIES
trader: 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: 21 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: 9,749,794 3.21% 503,301 0.17%
(2) Cash-settled derivatives:
378,525 0.12% 7,955,848 2.62%
(3) Stock-settled derivatives
(including options)
and agreements
to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 10,128,319 3.33% 8,459,149 2.79%
(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 220,274 5.1429 5.1297
GBP GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary Sale 201,912 5.1400 5.1299
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 1,312 5.1400
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Decreasing Short 500 5.1299
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 459 5.1335
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 1,312 5.1400
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary CFD Increasing Short 2,000 5.1303
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 3,726 5.1300
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary CFD Increasing Short 7,433 5.1310
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 11,124 5.1300
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Increasing Short 15,056 5.1463
GBP
---------------------------- ------------------------ -------------- --------------
1p ordinary SWAP Opening Short 1,312 5.1400
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: 22 Sep
2022
Contact name: Large Holdings Regulatory
Operations
Telephone number: 020 3134 7213
------------------------ -------------- --------------
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