10th Dec 2014 14:22
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
| (a) Identity of the person whose positions/dealings are being disclosed: | Barclays PLC. | |
| (b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient | ||
| (c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | DEALERTRACK TECHNOLOGIES INC | |
| (d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree: | ||
| (e) Date position held/dealing undertaken: | 9 DEC 2014 | |
| (f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer? | YES: INCADEA PLC |
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(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: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 120,674 | 0.22% | 177,051 | 0.33% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 0 | 0.00% | 0 | 0.00% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 3,284,493 | 6.08% | 3,284,493 | 6.08% | |||||||
| (4) | |||||||||||
| TOTAL: | 3,405,167 | 6.30% | 3,461,544 | 6.41% | |||||||
| Class of relevant security: | SENIOR CONVERTIBLE NOTES DUE MARCH 2017 | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 3,613,000 | 1.81% | 0 | 0.00% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 0 | 0.00% | 0 | 0.00% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | |||||||||||
| TOTAL: | 3,613,000 | 1.81% | 0 | 0.00% | |||||||
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(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| ORD | Purchase | 45 | 44.5431 USD | ||||
| ORD | Purchase | 100 | 43.7900 USD | ||||
| ORD | Purchase | 100 | 43.8100 USD | ||||
| ORD | Purchase | 100 | 44.5700 USD | ||||
| ORD | Purchase | 100 | 44.6299 USD | ||||
| ORD | Purchase | 100 | 45.0200 USD | ||||
| ORD | Purchase | 105 | 43.9204 USD | ||||
| ORD | Purchase | 200 | 44.1600 USD | ||||
| ORD | Purchase | 300 | 43.8000 USD | ||||
| ORD | Purchase | 355 | 44.3192 USD | ||||
| ORD | Purchase | 400 | 44.0925 USD | ||||
| ORD | Purchase | 400 | 44.7750 USD | ||||
| ORD | Purchase | 500 | 43.9080 USD | ||||
| ORD | Purchase | 595 | 43.4134 USD | ||||
| ORD | Purchase | 600 | 44.1251 USD | ||||
| ORD | Purchase | 700 | 44.6492 USD | ||||
| ORD | Purchase | 1,000 | 45.0000 USD | ||||
| ORD | Purchase | 1,058 | 44.0301 USD | ||||
| ORD | Purchase | 1,500 | 43.9600 USD | ||||
| ORD | Purchase | 1,784 | 43.9695 USD | ||||
| ORD | Purchase | 1,800 | 44.1852 USD | ||||
| ORD | Purchase | 2,100 | 44.1483 USD | ||||
| ORD | Purchase | 2,180 | 43.8595 USD | ||||
| ORD | Purchase | 2,700 | 44.1150 USD | ||||
| ORD | Purchase | 4,105 | 45.0500 USD | ||||
| ORD | Purchase | 4,300 | 44.1530 USD | ||||
| ORD | Purchase | 4,405 | 44.1419 USD | ||||
| ORD | Purchase | 4,500 | 44.2916 USD | ||||
| ORD | Purchase | 5,100 | 44.7500 USD | ||||
| ORD | Purchase | 9,478 | 44.0821 USD | ||||
| ORD | Purchase | 15,360 | 44.2457 USD | ||||
| ORD | Purchase | 44,476 | 44.0115 USD | ||||
| ORD | Sale | 55 | 43.7800 USD | ||||
| ORD | Sale | 100 | 43.4300 USD | ||||
| ORD | Sale | 100 | 43.6600 USD | ||||
| ORD | Sale | 105 | 44.1336 USD | ||||
| ORD | Sale | 195 | 43.4000 USD | ||||
| ORD | Sale | 200 | 44.1600 USD | ||||
| ORD | Sale | 300 | 43.4166 USD | ||||
| ORD | Sale | 312 | 43.9469 USD | ||||
| ORD | Sale | 800 | 43.9162 USD | ||||
| ORD | Sale | 900 | 43.9372 USD | ||||
| ORD | Sale | 950 | 44.0915 USD | ||||
| ORD | Sale | 1,000 | 45.0000 USD | ||||
| ORD | Sale | 1,200 | 44.3066 USD | ||||
| ORD | Sale | 1,300 | 44.3233 USD | ||||
| ORD | Sale | 1,400 | 44.0257 USD | ||||
| ORD | Sale | 1,800 | 43.9700 USD | ||||
| ORD | Sale | 2,300 | 44.2900 USD | ||||
| ORD | Sale | 2,600 | 44.2625 USD | ||||
| ORD | Sale | 2,900 | 44.0813 USD | ||||
| ORD | Sale | 4,105 | 45.0500 USD | ||||
| ORD | Sale | 4,300 | 44.1421 USD | ||||
| ORD | Sale | 4,405 | 44.1418 USD | ||||
| ORD | Sale | 4,798 | 44.7726 USD | ||||
| ORD | Sale | 5,100 | 44.0098 USD | ||||
| ORD | Sale | 5,100 | 44.7500 USD | ||||
| ORD | Sale | 59,776 | 44.0143 USD |
(b) Derivatives transactions (other than options)
| Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
| Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(ii) Exercising
| Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
(d) Other dealings (including subscribing for new securities)
| Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
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(c), 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 person 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 person 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: | 10 DEC 2014 |
| Contact name: | Sushil Vashisht |
| Telephone number: | 020 7773 0744 |
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 [email protected]. 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.
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 are being disclosed: | Barclays PLC. |
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | DEALERTRACK TECHNOLOGIES INC |
2. OPTIONS AND DERIVATIVES
| Class | Product | Writing, | Number | Exercise | Type | Expiry | |||||||
| of | description | purchasing, | of | price | date | ||||||||
| relevant | selling, | securities | per unit | ||||||||||
| security | varying etc | to which | |||||||||||
| option | |||||||||||||
| relates | |||||||||||||
| ORD | Call Options | Purchased | 1,500,000 | 37.3666 | European | 13 Mar 2017 | |||||||
| ORD | Call Options | Purchased | 1,784,493 | 46.1835 | European | 6 Oct 2017 | |||||||
| ORD | Call Options | Written | -1,784,493 | 37.3666 | European | 13 Mar 2017 | |||||||
| ORD | Call Options | Written | -1,500,000 | 46.1835 | European | 6 Oct 2017 |
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.
Copyright Business Wire 2014
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