16th Dec 2014 13:48
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: | 15 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: | 114,817 | 0.21% | 168,374 | 0.31% | |||||||
| (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: | 3,399,310 | 6.29% | 3,452,867 | 6.39% | |||||||
| 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
| (a) | Purchases and sales | ||||||
| Class of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| ORD | Purchase | 1 | 43.0400 USD | ||||
| ORD | Purchase | 30 | 43.4466 USD | ||||
| ORD | Purchase | 100 | 42.8700 USD | ||||
| ORD | Purchase | 100 | 42.8900 USD | ||||
| ORD | Purchase | 100 | 43.1300 USD | ||||
| ORD | Purchase | 100 | 43.2099 USD | ||||
| ORD | Purchase | 100 | 43.3400 USD | ||||
| ORD | Purchase | 100 | 45.0500 USD | ||||
| ORD | Purchase | 200 | 42.8800 USD | ||||
| ORD | Purchase | 200 | 43.2500 USD | ||||
| ORD | Purchase | 200 | 43.7267 USD | ||||
| ORD | Purchase | 300 | 43.1900 USD | ||||
| ORD | Purchase | 300 | 43.3070 USD | ||||
| ORD | Purchase | 400 | 43.2750 USD | ||||
| ORD | Purchase | 401 | 43.7666 USD | ||||
| ORD | Purchase | 500 | 43.1570 USD | ||||
| ORD | Purchase | 600 | 43.2600 USD | ||||
| ORD | Purchase | 665 | 44.2284 USD | ||||
| ORD | Purchase | 900 | 43.7522 USD | ||||
| ORD | Purchase | 900 | 43.8912 USD | ||||
| ORD | Purchase | 1,000 | 42.8960 USD | ||||
| ORD | Purchase | 1,000 | 43.1960 USD | ||||
| ORD | Purchase | 1,200 | 43.1708 USD | ||||
| ORD | Purchase | 1,300 | 43.3234 USD | ||||
| ORD | Purchase | 1,400 | 43.2385 USD | ||||
| ORD | Purchase | 1,400 | 43.9664 USD | ||||
| ORD | Purchase | 1,500 | 43.0060 USD | ||||
| ORD | Purchase | 2,526 | 43.2499 USD | ||||
| ORD | Purchase | 6,926 | 42.9000 USD | ||||
| ORD | Purchase | 8,117 | 43.6585 USD | ||||
| ORD | Purchase | 9,880 | 42.9993 USD | ||||
| ORD | Sale | 1 | 43.7581 USD | ||||
| ORD | Sale | 4 | 43.4500 USD | ||||
| ORD | Sale | 21 | 44.7700 USD | ||||
| ORD | Sale | 100 | 42.9415 USD | ||||
| ORD | Sale | 100 | 42.9600 USD | ||||
| ORD | Sale | 100 | 43.0700 USD | ||||
| ORD | Sale | 100 | 43.0900 USD | ||||
| ORD | Sale | 100 | 43.3200 USD | ||||
| ORD | Sale | 200 | 43.0854 USD | ||||
| ORD | Sale | 200 | 43.1050 USD | ||||
| ORD | Sale | 300 | 44.4800 USD | ||||
| ORD | Sale | 400 | 43.0300 USD | ||||
| ORD | Sale | 500 | 43.2290 USD | ||||
| ORD | Sale | 665 | 44.2284 USD | ||||
| ORD | Sale | 800 | 43.7510 USD | ||||
| ORD | Sale | 800 | 44.0678 USD | ||||
| ORD | Sale | 801 | 43.7666 USD | ||||
| ORD | Sale | 865 | 43.5785 USD | ||||
| ORD | Sale | 900 | 43.0500 USD | ||||
| ORD | Sale | 1,267 | 43.5630 USD | ||||
| ORD | Sale | 1,500 | 43.6900 USD | ||||
| ORD | Sale | 5,664 | 43.7136 USD | ||||
| ORD | Sale | 6,926 | 42.9000 USD | ||||
| ORD | Sale | 9,026 | 42.8973 USD | ||||
| ORD | Sale | 9,880 | 42.9993 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: | 16 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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