19th May 2014 10:26
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 in relation to whose | DIXONS RETAIL PLC | |||
| relevant securities this form relates: | |||||
| (c) | Name of the party to the offer with which exempt | DIXONS RETAIL PLC | |||
| principal trader is connected | |||||
| (d) | Date position held/dealing undertaken: | 16 May 2014 | |||
| (e) | Has the EPT previously disclosed, or is it | YES: | |||
| today disclosing, under the Code in respect | CARPHONE WAREHOUSE GROUP PLC | ||||
| 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 security: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 9,100,760 | 0.25% | 14,237,368 | 0.39% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 9,470,906 | 0.26% | 5,108,606 | 0.14% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | TOTAL: | ||||||||||
| 18,571,666 | 0.51% | 19,345,974 | 0.53% | ||||||||
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 | 558 | 0.4613 GBP | ||||
| ORD | Purchase | 1,000 | 0.4443 GBP | ||||
| ORD | Purchase | 5,861 | 0.4410 GBP | ||||
| ORD | Purchase | 6,192 | 0.4417 GBP | ||||
| ORD | Purchase | 6,192 | 0.4448 GBP | ||||
| ORD | Purchase | 6,192 | 0.4449 GBP | ||||
| ORD | Purchase | 6,215 | 0.4435 GBP | ||||
| ORD | Purchase | 7,323 | 0.4422 GBP | ||||
| ORD | Purchase | 20,722 | 0.4506 GBP | ||||
| ORD | Purchase | 28,203 | 0.4433 GBP | ||||
| ORD | Purchase | 29,957 | 0.4421 GBP | ||||
| ORD | Purchase | 31,509 | 0.4440 GBP | ||||
| ORD | Purchase | 31,895 | 0.4450 GBP | ||||
| ORD | Purchase | 56,944 | 0.4436 GBP | ||||
| ORD | Purchase | 63,899 | 0.4437 GBP | ||||
| ORD | Purchase | 78,930 | 0.4581 GBP | ||||
| ORD | Purchase | 84,838 | 0.4425 GBP | ||||
| ORD | Purchase | 89,381 | 0.4446 GBP | ||||
| ORD | Purchase | 179,372 | 0.4443 GBP | ||||
| ORD | Purchase | 356,084 | 0.4432 GBP | ||||
| ORD | Purchase | 690,861 | 0.4438 GBP | ||||
| ORD | Purchase | 712,939 | 0.4430 GBP | ||||
| ORD | Purchase | 1,419,672 | 0.4491 GBP | ||||
| ORD | Sale | 1,454 | 0.4415 GBP | ||||
| ORD | Sale | 6,192 | 0.4417 GBP | ||||
| ORD | Sale | 6,192 | 0.4448 GBP | ||||
| ORD | Sale | 6,192 | 0.4449 GBP | ||||
| ORD | Sale | 6,215 | 0.4435 GBP | ||||
| ORD | Sale | 6,426 | 0.4507 GBP | ||||
| ORD | Sale | 7,323 | 0.4422 GBP | ||||
| ORD | Sale | 7,867 | 0.4505 GBP | ||||
| ORD | Sale | 8,000 | 0.4550 GBP | ||||
| ORD | Sale | 16,190 | 0.4484 GBP | ||||
| ORD | Sale | 17,933 | 0.4400 GBP | ||||
| ORD | Sale | 26,611 | 0.4434 GBP | ||||
| ORD | Sale | 29,957 | 0.4421 GBP | ||||
| ORD | Sale | 31,509 | 0.4440 GBP | ||||
| ORD | Sale | 31,895 | 0.4450 GBP | ||||
| ORD | Sale | 37,275 | 0.4442 GBP | ||||
| ORD | Sale | 51,000 | 0.4441 GBP | ||||
| ORD | Sale | 72,031 | 0.4444 GBP | ||||
| ORD | Sale | 87,096 | 0.4557 GBP | ||||
| ORD | Sale | 89,381 | 0.4446 GBP | ||||
| ORD | Sale | 184,595 | 0.4458 GBP | ||||
| ORD | Sale | 377,095 | 0.4433 GBP | ||||
| ORD | Sale | 600,000 | 0.4994 GBP | ||||
| ORD | Sale | 1,387,152 | 0.4438 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 | 1,750 | 0.4429 GBP | |||||
| ORD | SWAP | Long | 28,548 | 0.4503 GBP | |||||
| ORD | CFD | Long | 33,498 | 0.4502 GBP | |||||
| ORD | CFD | Long | 27,751 | 0.4564 GBP | |||||
| ORD | CFD | Long | 76,648 | 0.4400 GBP | |||||
| ORD | SWAP | Long | 93,558 | 0.4445 GBP | |||||
| ORD | SWAP | Long | 165,467 | 0.4428 GBP | |||||
| ORD | CFD | Long | 600,000 | 0.4994 GBP | |||||
| ORD | SWAP | Short | 558 | 0.4613 GBP | |||||
| ORD | SWAP | Short | 2,531 | 0.4622 GBP | |||||
| ORD | SWAP | Short | 16,700 | 0.4430 GBP | |||||
| ORD | SWAP | Short | 28,632 | 0.4476 GBP | |||||
| ORD | SWAP | Short | 84,838 | 0.4424 GBP | |||||
| ORD | CFD | Short | 57,352 | 0.4413 GBP | |||||
| ORD | SWAP | Short | 236,095 | 0.4427 GBP | |||||
| ORD | CFD | Short | 1,419,672 | 0.4491 GBP |
(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(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: | 19 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 [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.
Copyright Business Wire 2014
Related Shares:
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