21st Aug 2014 11:32
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | Morgan Stanley Securities Limited |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | CARILLION PLC |
(c) Name of the party to the offer with which exempt principal trader is connected:
| CARILLION PLC |
(d) Date dealing undertaken: | 20 AUGUST 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | Yes |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchases/sales | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
50P ORDINARY | PURCHASES | 764,133 | 3.3380 GBP | 3.2580 GBP |
50P ORDINARY | SALES | 655,069 | 3.3995 GBP | 3.2570 GBP |
(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 |
50P ORDINARY | CFD | LONG | 1,331 | 3.2580 GBP |
50P ORDINARY | CFD | LONG | 1,328 | 3.2600 GBP |
50P ORDINARY | CFD | LONG | 435 | 3.2610 GBP |
50P ORDINARY | CFD | LONG | 731 | 3.2620 GBP |
50P ORDINARY | CFD | LONG | 1,288 | 3.2630 GBP |
50P ORDINARY | CFD | LONG | 824 | 3.2640 GBP |
50P ORDINARY | CFD | LONG | 438 | 3.2650 GBP |
50P ORDINARY | CFD | LONG | 436 | 3.2660 GBP |
50P ORDINARY | CFD | LONG | 11 | 3.2663 GBP |
50P ORDINARY | CFD | LONG | 54 | 3.2663 GBP |
50P ORDINARY | CFD | LONG | 623 | 3.2663 GBP |
50P ORDINARY | CFD | LONG | 593 | 3.2670 GBP |
50P ORDINARY | CFD | LONG | 884 | 3.2680 GBP |
50P ORDINARY | CFD | LONG | 448 | 3.2710 GBP |
50P ORDINARY | CFD | LONG | 417 | 3.2730 GBP |
50P ORDINARY | CFD | LONG | 441 | 3.2750 GBP |
50P ORDINARY | CFD | LONG | 425 | 3.2770 GBP |
50P ORDINARY | CFD | LONG | 1,910 | 3.2830 GBP |
50P ORDINARY | CFD | LONG | 2,253 | 3.2834 GBP |
50P ORDINARY | CFD | LONG | 172,325 | 3.2854 GBP |
50P ORDINARY | CFD | LONG | 29 | 3.2869 GBP |
50P ORDINARY | CFD | LONG | 3,000 | 3.2895 GBP |
50P ORDINARY | CFD | LONG | 25,625 | 3.3000 GBP |
50P ORDINARY | CFD | LONG | 1,115 | 3.3000 GBP |
50P ORDINARY | CFD | LONG | 867 | 3.3130 GBP |
50P ORDINARY | CFD | LONG | 50,000 | 3.3995 GBP |
50P ORDINARY | CFD | SHORT | 395 | 3.2672 GBP |
50P ORDINARY | CFD | SHORT | 247 | 3.2673 GBP |
50P ORDINARY | CFD | SHORT | 46 | 3.2673 GBP |
50P ORDINARY | CFD | SHORT | 117 | 3.2713 GBP |
50P ORDINARY | CFD | SHORT | 325 | 3.2778 GBP |
50P ORDINARY | CFD | SHORT | 10 | 3.2780 GBP |
50P ORDINARY | CFD | SHORT | 100 | 3.2790 GBP |
50P ORDINARY | CFD | SHORT | 309 | 3.2798 GBP |
50P ORDINARY | CFD | SHORT | 34,383 | 3.2805 GBP |
50P ORDINARY | CFD | SHORT | 2,673 | 3.2805 GBP |
50P ORDINARY | CFD | SHORT | 37,086 | 3.2807 GBP |
50P ORDINARY | CFD | SHORT | 867 | 3.2826 GBP |
50P ORDINARY | CFD | SHORT | 2,204 | 3.2843 GBP |
50P ORDINARY | CFD | SHORT | 79 | 3.2850 GBP |
50P ORDINARY | CFD | SHORT | 1,028 | 3.2885 GBP |
50P ORDINARY | CFD | SHORT | 162,629 | 3.2889 GBP |
50P ORDINARY | CFD | SHORT | 56 | 3.2894 GBP |
50P ORDINARY | CFD | SHORT | 4,354 | 3.2913 GBP |
50P ORDINARY | CFD | SHORT | 36,749 | 3.2913 GBP |
50P ORDINARY | CFD | SHORT | 263 | 3.2925 GBP |
50P ORDINARY | CFD | SHORT | 28,791 | 3.2949 GBP |
50P ORDINARY | CFD | SHORT | 3,390 | 3.2949 GBP |
50P ORDINARY | CFD | SHORT | 1,589 | 3.2966 GBP |
50P ORDINARY | CFD | SHORT | 117 | 3.2967 GBP |
50P ORDINARY | CFD | SHORT | 347 | 3.3000 GBP |
50P ORDINARY | CFD | SHORT | 3,000 | 3.3000 GBP |
50P ORDINARY | CFD | SHORT | 862 | 3.3000 GBP |
50P ORDINARY | CFD | SHORT | 180 | 3.3000 GBP |
50P ORDINARY | CFD | SHORT | 30 | 3.3040 GBP |
50P ORDINARY | CFD | SHORT | 417 | 3.3290 GBP |
50P ORDINARY | CFD | SHORT | 9,316 | 3.2850 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 |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
N/A | N/A | N/A | N/A |
(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) |
N/A | N/A | N/A | N/A |
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 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
3. 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
|
| Date of disclosure: | 21 AUGUST 2014 |
| Contact name: | Darren Wickert |
| Telephone number: | +44 (0)20 7425 6578 |
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.
Related Shares:
Carillion Plc