15th Sep 2021 11:27
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: | 14 September 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 | 8,659,221
3,839,389 | 2.9300 GBP
2.9300 GBP | 2.9090 GBP
2.9070 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
| 13,800 26,816 1,071 874 4,978 11,065 79 3,258,290
616 1,489 1,521 14,179 3,525 68,413 129,088 5,233 1,302 26,551 45,531 297,076 15,509 1,852 3,817
7,243 4,039 1,242 12,630 2,462 203,910
1,000 62,805 2,162 576 20,035 26,414 18,960 4,105 50,000 24,040 9,939 1,431 21,962 1,845,618 2,899 285,380 2,658 | 2.9158 GBP 2.9163 GBP 2.9171 GBP 2.9187 GBP 2.9208 GBP 2.9213 GBP 2.9270 GBP 2.9300 GBP
2.9093 GBP 2.9129 GBP 2.9134 GBP 2.9136 GBP 2.9137 GBP 2.9139 GBP 2.9140 GBP 2.9153 GBP 2.9171 GBP 2.9185 GBP 2.9186 GBP 2.9192 GBP 2.9199 GBP 2.9200 GBP 2.9220 GBP
2.9101 GBP 2.9109 GBP 2.9139 GBP 2.9151 GBP 2.9185 GBP 2.9190 GBP
2.9132 GBP 2.9140 GBP 2.9156 GBP 2.9160 GBP 2.9188 GBP 2.9211 GBP 2.9221 GBP 2.9226 GBP 2.9229 GBP 2.9239 GBP 2.9242 GBP 2.9244 GBP 2.9252 GBP 2.9257 GBP 2.9262 GBP 2.9264 GBP 2.9265 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: | 15 September 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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