12th Nov 2015 11:39
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 relevant securities this form relates: Use a separate form for each offeror/offeree | SABMILLER PLC | |
| (c) Name of the party to the offer with which exempt principal trader is connected: | ANHEUSER-BUSCH INBEV SA/NV | |
| (d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure | 11 Nov 2015 | |
| (e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A” | YES ANHEUSER-BUSCH INBEV SA/NV |
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
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.
(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: | 13,695,650 | 0.85% | 9,485,464 | 0.59% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 1,138,113 | 0.07% | 12,363,410 | 0.76% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | |||||||||||
| TOTAL: | 14,833,763 | 0.92% | 21,848,874 | 1.35% |
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), 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 employee 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
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.
The currency of all prices and other monetary amounts should be stated.
| Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | |||||
| security | securities | paid/received | paid/received | ||||||
| ORD | Purchase | 2,018,320 | 40.9438 GBP | 40.225 GBP | |||||
| ORD | Sale | 3,451,536 | 40.8624 GBP | 40.225 GBP | |||||
| ADR | Purchase | 406 | 61.7197 USD | 61.7197 USD | |||||
| ADR | Sale | 406 | 61.7197 USD | 61.7197 USD | |||||
| (b) | Cash-settled derivative transactions | ||||||||
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 11 | 40.6245 GBP | |||||
| ORD | CFD | Long | 100 | 40.5414 GBP | |||||
| ORD | CFD | Long | 106 | 857.6556 ZAR | |||||
| ORD | SWAP | Long | 200 | 40.5251 GBP | |||||
| ORD | SWAP | Long | 481 | 40.4213 GBP | |||||
| ORD | CFD | Long | 700 | 40.4964 GBP | |||||
| ORD | CFD | Long | 2,120 | 40.6232 GBP | |||||
| ORD | CFD | Long | 2,738 | 40.3658 GBP | |||||
| ORD | SWAP | Long | 3,841 | 40.7549 GBP | |||||
| ORD | CFD | Long | 6,733 | 873.8456 ZAR | |||||
| ORD | CFD | Long | 7,393 | 870.6404 ZAR | |||||
| ORD | CFD | Long | 7,724 | 870.5152 ZAR | |||||
| ORD | CFD | Long | 8,765 | 40.4292 GBP | |||||
| ORD | CFD | Long | 14,807 | 40.5638 GBP | |||||
| ORD | SWAP | Long | 23,649 | 40.4299 GBP | |||||
| ORD | CFD | Long | 66,380 | 40.4472 GBP | |||||
| ORD | SWAP | Short | 255 | 40.4868 GBP | |||||
| ORD | SWAP | Short | 285 | 40.5490 GBP | |||||
| ORD | SWAP | Short | 382 | 40.3155 GBP | |||||
| ORD | SWAP | Short | 484 | 40.4420 GBP | |||||
| ORD | SWAP | Short | 506 | 40.4044 GBP | |||||
| ORD | SWAP | Short | 527 | 40.3175 GBP | |||||
| ORD | SWAP | Short | 625 | 40.3800 GBP | |||||
| ORD | SWAP | Short | 686 | 40.8974 GBP | |||||
| ORD | SWAP | Short | 1,142 | 40.5422 GBP | |||||
| ORD | SWAP | Short | 1,157 | 40.4454 GBP | |||||
| ORD | CFD | Short | 1,269 | 40.4020 GBP | |||||
| ORD | SWAP | Short | 1,607 | 40.4625 GBP | |||||
| ORD | CFD | Short | 2,250 | 40.5427 GBP | |||||
| ORD | CFD | Short | 2,300 | 40.4208 GBP | |||||
| ORD | CFD | Short | 3,000 | 40.3573 GBP | |||||
| ORD | CFD | Short | 3,200 | 40.4856 GBP | |||||
| ORD | SWAP | Short | 3,458 | 40.3650 GBP | |||||
| ORD | CFD | Short | 3,500 | 40.2416 GBP | |||||
| ORD | CFD | Short | 3,500 | 40.2836 GBP | |||||
| ORD | SWAP | Short | 3,500 | 40.6659 GBP | |||||
| ORD | SWAP | Short | 3,719 | 40.5554 GBP | |||||
| ORD | SWAP | Short | 5,220 | 40.2687 GBP | |||||
| ORD | SWAP | Short | 6,084 | 40.4327 GBP | |||||
| ORD | CFD | Short | 6,709 | 874.2958 ZAR | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 6,814 | 40.8475 GBP | |||||
| ORD | CFD | Short | 7,724 | 40.4797 GBP | |||||
| ORD | CFD | Short | 8,038 | 40.4783 GBP | |||||
| ORD | CFD | Short | 8,120 | 868.9243 ZAR | |||||
| ORD | CFD | Short | 11,564 | 40.8197 GBP | |||||
| ORD | SWAP | Short | 13,162 | 40.4767 GBP | |||||
| ORD | CFD | Short | 13,538 | 870.6340 ZAR | |||||
| ORD | SWAP | Short | 25,695 | 40.3793 GBP | |||||
| ORD | SWAP | Short | 27,451 | 40.4282 GBP | |||||
| ORD | CFD | Short | 35,526 | 40.2624 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 36,940 | 40.4747 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 36,940 | 40.5068 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 36,940 | 40.7710 GBP | |||||
| ORD | CFD | Short | 22,300 | 872.2825 ZAR | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 46,176 | 40.6419 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 46,176 | 40.8028 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 51,044 | 40.4952 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 55,411 | 40.9438 GBP | |||||
| ORD | CFD | Short | 66,380 | 868.5528 ZAR | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 68,340 | 40.6238 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 86,811 | 40.5542 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 87,734 | 40.8623 GBP | |||||
| ORD | CFD | Short | 127,981 | 872.9109 ZAR | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 147,763 | 40.7352 GBP | |||||
| ORD | SWAP Expires 13/12/2016 | Short | 323,231 | 40.6415 GBP |
(c) Stock-settled derivative transactions (including options)
(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) Exercise
| Class of relevant security | Product description e.g. call option | Exercising/ exercised against | 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) |
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: Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “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” |
(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 12 Nov 2015 | ||
| Contact name: | Jay Supaya | ||
| Telephone number: | 020 7773 0635 |
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 disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
View source version on businesswire.com: http://www.businesswire.com/news/home/20151112005664/en/
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