3rd Aug 2021 11:11
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: | 2 August 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 | 3,518,867
3,930,542 | 2.7306 GBP
2.7300 GBP | 2.6800 GBP
2.6800 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
Opening a Short Position
| 98 400 301 21,910 12,589 17
11,236 31,824 25,360 42,302 55,004 29,154
14,062 16,800 26,213 145 2,091 20,764 6,544 222 65,144
12,052 19,111 23,256 39,167 38,453 54,418 2,779
8,380 2,782 2,579 1,643 38,060 14,803 7,935 49,571 12,635 515 719 3,310 401,222
31,433 5,426 17,258 1,213 1,115 17,494 17,870 3,113 3,028 4,017 432,237 9,950 | 2.7130 GBP 2.7195 GBP 2.7196 GBP 2.7215 GBP 2.7301 GBP 2.7306 GBP
2.7036 GBP 2.7117 GBP 2.7171 GBP 2.7179 GBP 2.7208 GBP 2.7297 GBP
2.6856 GBP 2.7040 GBP 2.7112 GBP 2.7118 GBP 2.7119 GBP 2.7135 GBP 2.7150 GBP 2.7160 GBP 2.7300 GBP
2.6832 GBP 2.7091 GBP 2.7096 GBP 2.7220 GBP 2.7230 GBP 2.7232 GBP 2.7258 GBP
2.6820 GBP 2.6844 GBP 2.7004 GBP 2.7060 GBP 2.7079 GBP 2.7129 GBP 2.7137 GBP 2.7144 GBP 2.7147 GBP 2.7160 GBP 2.7219 GBP 2.7221 GBP 2.7300 GBP
2.7062 GBP 2.7071 GBP 2.7075 GBP 2.7111 GBP 2.7121 GBP 2.7146 GBP 2.7158 GBP 2.7229 GBP 2.7233 GBP 2.7240 GBP 2.7300 GBP 2.7301 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: | 3 August 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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