29th Aug 2013 12:04
AMENDMENT
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 | INVENSYS PLC | |||
| relevant securities this form relates: | |||||
| (c) | Name of the party to the offer with which exempt | Advisor to Offeree | |||
| principal trader is connected | |||||
| (d) | Date position held/dealing undertaken: | 27 August 2013 | |||
| (e) | Has the EPT previously disclosed, or is it | YES: | |||
| today disclosing, under the Code in respect | SCHNEIDER ELECTRIC SA | ||||
| 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: | 23,111,384 | 3.53% | 1,655,969 | 0.25% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 1,349,543 | 0.21% | 21,029,328 | 3.21% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| TOTAL: | |||||||||||
| 24,460,927 | 3.74% | 22,685,297 | 3.46% | ||||||||
(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 of relevant | Purchase/sale | Number of | Price per unit | ||||
| security | securities | ||||||
| ORD | Purchase | 123 | 4.9200 GBP | ||||
| ORD | Purchase | 140 | 4.9340 GBP | ||||
| ORD | Purchase | 659 | 4.9330 GBP | ||||
| ORD | Purchase | 3,581 | 4.9249 GBP | ||||
| ORD | Purchase | 6,840 | 4.9172 GBP | ||||
| ORD | Purchase | 11,040 | 4.9306 GBP | ||||
| ORD | Purchase | 56,240 | 4.9454 GBP | ||||
| ORD | Purchase | 239,150 | 4.9293 GBP | ||||
| ORD | Purchase | 1,000,000 | 4.9255 GBP | ||||
| ORD | Purchase | 1,000,000 | 4.9300 GBP | ||||
| ORD | Sale | 799 | 4.9331 GBP | ||||
| ORD | Sale | 3,058 | 4.9190 GBP | ||||
| ORD | Sale | 4,770 | 4.9160 GBP | ||||
| ORD | Sale | 11,415 | 4.9269 GBP | ||||
| ORD | Sale | 15,985 | 4.9291 GBP | ||||
| ORD | Sale | 56,240 | 4.9454 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 | 5,691 | 4.9384 GBP | |||||
| ORD | CFD | Long | 24,767 | 4.9241 GBP | |||||
| ORD | SWAP | Short | 623 | 4.9200 GBP | |||||
| ORD | SWAP | Short | 2,070 | 4.9207 GBP | |||||
| ORD | SWAP | Short | 3,081 | 4.9258 GBP | |||||
| ORD | SWAP | Short | 11,040 | 4.9305 GBP | |||||
| ORD | SWAP | Short | 2,239,150 | 4.9279 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: | |||
| 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 Positions) attached? | NO | ||
| Date of disclosure: | 29 Aug 2013 | ||
| 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 2013
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