20th Jul 2021 17:32
AMENDMENT
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: | J.P. Morgan Securities Plc |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Wm Morrison Supermarkets plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Financial adviser to Clayton, Dubilier & Rice, LLC as manager of Clayton, Dubilier & Rice Funds XI |
(d) Date dealing undertaken: | 9 July 2021 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer? If it is a cash offer or possible cash offer, state "N/A" | N/A |
2. DEALINGS 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 2(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.
(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 |
10p ordinary | Purchase
Sale | 6,006,070
3,928,228 | 2.6651 GBP
2.6650 GBP | 2.6490 GBP
2.6489 GBP |
(b) Cash-settled derivative transactions
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 |
10p ordinary | Equity Swap | Decrease Long
Decrease Short
Increase Long
Increase Short
Opening a long position | 4,682 85,372 7,786 2,144 8,978
155,520 599,587 245 285,736 3,159 11,066 46,220 1,608 24,317 190,753 171,801 29,694 36,855 13,873 3,306 4,063
20,315 3,917 20,083 1,125 24
517,180 114,985 46,571 450,000 100,000 83,223 4,402 50,000 246,643 15,934 110,000 4,574 420 121,061 758,100 3,910 26,918 1,653 4,343 6,807 169,320 44,087
83,468 | 2.6490 GBP 2.6491 GBP 2.6494 GBP 2.6514 GBP 2.6587 GBP
2.6489 GBP 2.6490 GBP 2.6525 GBP 2.6530 GBP 2.6531 GBP 2.6532 GBP 2.6548 GBP 2.6552 GBP 2.6555 GBP 2.6557 GBP 2.6561 GBP 2.6564 GBP 2.6573 GBP 2.6590 GBP 2.6599 GBP 2.6623 GBP
2.6534 GBP 2.6544 GBP 2.6551 GBP 2.6567 GBP 2.6610 GBP
2.6493 GBP 2.6495 GBP 2.6513 GBP 2.6517 GBP 2.6522 GBP 2.6523 GBP 2.6525 GBP 2.6527 GBP 2.6530 GBP 2.6533 GBP 2.6544 GBP 2.6549 GBP 2.6555 GBP 2.6559 GBP 2.6570 GBP 2.6573 GBP 2.6580 GBP 2.6586 GBP 2.6593 GBP 2.6597 GBP 2.6602 GBP 2.6652 GBP
2.6548 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) |
|
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: Irrevocable commitments and letters of intent should not be included. 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: | 20 July 2021 |
| Contact name: | Alwyn Basch |
| Telephone number: | 020 7742 7407 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.
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.
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