5th Jul 2021 11:03
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 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 | 1,036,440
1,173,021 | 2.4349 GBP
2.4390 GBP | 2.3930 GBP
2.3950 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
| 110 139,471 237,160 120,963 4,155 55,999
1,301 87,111 1,747 2,065 143,314 189,890 94,001
203,925 414 38 38,393 3,784 13,066 24,777 920 9,084 351 427 18,498 775 45,429 77,740 150 445 12,660 1,264 8,912 5,088 4,290 5,933 321 3,216 301 407
85 12,500 9,359 26,116 2,065 5,530 2,839 5,900 50,000 24,110 | 2.3993 GBP 2.3999 GBP 2.4021 GBP 2.4032 GBP 2.4049 GBP 2.4088 GBP
2.3953 GBP 2.3978 GBP 2.3980 GBP 2.3988 GBP 2.4012 GBP 2.4044 GBP 2.4047 GBP
2.3979 GBP 2.3999 GBP 2.4008 GBP 2.4019 GBP 2.4023 GBP 2.4030 GBP 2.4031 GBP 2.4036 GBP 2.4037 GBP 2.4038 GBP 2.4056 GBP 2.4057 GBP 2.4058 GBP 2.4061 GBP 2.4062 GBP 2.4092 GBP 2.4093 GBP 2.4094 GBP 2.4123 GBP 2.4148 GBP 2.4161 GBP 2.4165 GBP 2.4184 GBP 2.4289 GBP 2.4333 GBP 2.4347 GBP 2.4368 GBP
2.3982 GBP 2.3985 GBP 2.3989 GBP 2.3991 GBP 2.3994 GBP 2.3995 GBP 2.4004 GBP 2.4009 GBP 2.4017 GBP 2.4071 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: | 5 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.
Related Shares:
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