17th Aug 2015 14:53
| 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) | Full name of discloser: | Barclays PLC. | ||||||||||||||
| (b) | Owner or controller of interest and short | |||||||||||||||
| positions disclosed, if different from 1(a): | ||||||||||||||||
| (c) | Name of offeror/offeree in relation to whose | RSA INSURANCE GROUP PLC | ||||||||||||||
| relevant securities this form relates: | ||||||||||||||||
| (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: | 14 August 2015 | ||||||||||||||
| (f) | In addition to the company in 1(c) above, is the discloser making | NO | ||||||||||||||
| disclosures in respect of any other party to the offer? | ||||||||||||||||
| 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: | 7,012,106 | 0.69% | 4,996,030 | 0.49% | ||||||||||||
| (2) | Cash-settled derivatives: | |||||||||||||||
| 3,239,930 | 0.32% | 1,766,753 | 0.17% | |||||||||||||
| (3) | Stock-settled derivatives (including options) | |||||||||||||||
| and agreements to purchase/sell: | 15,000 | 0.00% | 1,775,000 | 0.17% | ||||||||||||
| (4) | ||||||||||||||||
| TOTAL: | 10,267,036 | 1.01% | 8,537,783 | 0.84% | ||||||||||||
| (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 PERSON MAKING THE DISCLOSURE | |||||||||||||||
| (a) | Purchases and sales | |||||||||||||||
| Class of relevant | Purchase/sale | Number of | Price per unit | |||||||||||||
| security | securities | |||||||||||||||
| ADR | Purchase | 230 | 7.8400 USD | |||||||||||||
| ORD | Purchase | 289 | 5.0500 GBP | |||||||||||||
| ORD | Purchase | 980 | 5.0975 GBP | |||||||||||||
| ORD | Purchase | 982 | 5.0875 GBP | |||||||||||||
| ORD | Purchase | 983 | 5.0825 GBP | |||||||||||||
| ORD | Purchase | 987 | 5.0625 GBP | |||||||||||||
| ORD | Purchase | 1,049 | 5.0925 GBP | |||||||||||||
| ORD | Purchase | 1,398 | 5.0550 GBP | |||||||||||||
| ORD | Purchase | 2,310 | 5.0425 GBP | |||||||||||||
| ORD | Purchase | 5,840 | 5.0651 GBP | |||||||||||||
| ORD | Purchase | 6,130 | 5.0667 GBP | |||||||||||||
| ORD | Purchase | 6,668 | 5.0768 GBP | |||||||||||||
| ORD | Purchase | 7,175 | 5.0518 GBP | |||||||||||||
| ORD | Purchase | 9,982 | 5.0621 GBP | |||||||||||||
| ORD | Purchase | 26,041 | 5.0677 GBP | |||||||||||||
| ORD | Purchase | 30,146 | 5.0672 GBP | |||||||||||||
| ORD | Purchase | 46,048 | 5.0618 GBP | |||||||||||||
| ORD | Purchase | 47,204 | 5.0726 GBP | |||||||||||||
| ORD | Purchase | 302,871 | 5.0700 GBP | |||||||||||||
| ADR | Sale | 230 | 7.8400 USD | |||||||||||||
| ORD | Sale | 289 | 5.0500 GBP | |||||||||||||
| ORD | Sale | 980 | 5.0975 GBP | |||||||||||||
| ORD | Sale | 982 | 5.0875 GBP | |||||||||||||
| ORD | Sale | 987 | 5.0625 GBP | |||||||||||||
| ORD | Sale | 1,155 | 5.0425 GBP | |||||||||||||
| ORD | Sale | 1,398 | 5.0550 GBP | |||||||||||||
| ORD | Sale | 1,398 | 5.0555 GBP | |||||||||||||
| ORD | Sale | 2,098 | 5.0925 GBP | |||||||||||||
| ORD | Sale | 2,295 | 5.0831 GBP | |||||||||||||
| ORD | Sale | 3,065 | 5.0846 GBP | |||||||||||||
| ORD | Sale | 4,915 | 5.0825 GBP | |||||||||||||
| ORD | Sale | 6,130 | 5.0689 GBP | |||||||||||||
| ORD | Sale | 8,621 | 5.0840 GBP | |||||||||||||
| ORD | Sale | 9,592 | 5.0830 GBP | |||||||||||||
| ORD | Sale | 9,864 | 5.0795 GBP | |||||||||||||
| ORD | Sale | 14,156 | 5.0734 GBP | |||||||||||||
| ORD | Sale | 43,132 | 5.0650 GBP | |||||||||||||
| ORD | Sale | 313,292 | 5.0700 GBP | |||||||||||||
| (b) | Cash-settled derivative transactions | |||||||||||||||
| Class of | Product | Nature of dealing | Number of | Price per | ||||||||||||
| relevant | description | reference | unit | |||||||||||||
| security | securities | |||||||||||||||
| ORD | CFD | Long | 230 | 5.0546 GBP | ||||||||||||
| ORD | SWAP | Long | 300 | 5.0732 GBP | ||||||||||||
| ORD | SWAP | Long | 1,256 | 5.0696 GBP | ||||||||||||
| ORD | SWAP | Long | 4,930 | 5.0555 GBP | ||||||||||||
| ORD | SWAP | Long | 6,123 | 5.0771 GBP | ||||||||||||
| ORD | CFD | Long | 6,130 | 5.0689 GBP | ||||||||||||
| ORD | SWAP | Long | 8,621 | 5.0840 GBP | ||||||||||||
| ORD | SWAP | Long | 9,226 | 5.0830 GBP | ||||||||||||
| ORD | CFD | Long | 16,907 | 5.0843 GBP | ||||||||||||
| ORD | CFD | Long | 43,132 | 5.0650 GBP | ||||||||||||
| ORD | SWAP | Short | 100 | 5.0501 GBP | ||||||||||||
| ORD | SWAP | Short | 4,165 | 5.0722 GBP | ||||||||||||
| ORD | SWAP | Short | 5,300 | 5.0651 GBP | ||||||||||||
| ORD | CFD | Short | 6,130 | 5.0667 GBP | ||||||||||||
| ORD | SWAP | Short | 10,213 | 5.0701 GBP | ||||||||||||
| ORD | SWAP | Short | 15,822 | 5.0630 GBP | ||||||||||||
| ORD | CFD | Short | 26,041 | 5.0677 GBP | ||||||||||||
| ORD | SWAP | Short | 30,226 | 5.0612 GBP | ||||||||||||
| ORD | CFD | Short | 39,873 | 5.0820 GBP | ||||||||||||
| ORD | CFD | Short | 40,156 | 5.0545 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 which | received | |||||||||||||
| option | per unit | |||||||||||||||
| relates | ||||||||||||||||
| (ii) | Exercising | |||||||||||||||
| Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | ||||||||||||
| security | securities | unit | ||||||||||||||
| (d) | Other dealings (including subscribing for new securities) | |||||||||||||||
| Class of relevant | Nature of Dealings | Details | Price 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 person 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 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 of future acquisition or disposal of any relevant securities to which any derivative is referenced: | ||||||||||||||||
|
| ||||||||||||||||
| NONE | ||||||||||||||||
| (c) | Attachments | |||||||||||||||
| Is a Supplemental Form 8 (Open Positions) attached? | YES | |||||||||||||||
| Date of disclosure: | 17 Aug 2015 | |||||||||||||||
| Contact name: | Jay Supaya | |||||||||||||||
| Telephone number: | 020 7773 0635 | |||||||||||||||
| 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 the person whose positions/dealings | Barclays PLC. | |||||||||||||||
| are being disclosed: | ||||||||||||||||
| Name of offeror/offeree in relation to whose | RSA INSURANCE GROUP PLC | |||||||||||||||
| relevant securities this from relates: | ||||||||||||||||
| 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 | Put Options | Purchased | -30,000 | 520.0000 | American | 21 Aug 2015 | ||||||||||
| ORD | Call Options | Purchased | 15,000 | 540.0000 | American | 21 Aug 2015 | ||||||||||
| ORD | Call Options | Written | -1,720,000 | 540.0000 | American | 17 Jun 2016 | ||||||||||
| ORD | Call Options | Written | -25,000 | 560.0000 | American | 17 Jun 2016 | ||||||||||
| 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: | ||||||||||||||||
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