13th Jul 2021 11:39
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: | 12 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 | 14,041,384
2,625,776 | 2.6900 GBP
2.6890 GBP | 2.6560 GBP
2.6557 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
| 22,584 86,765 1,585 57,341 1,484 131 56,261 63,955
2,166 8,765 285,736 2,190 106,000 274,479 28,087 179,396 1,577 17,052
381,564 229,519 5,511 6,018 79,717 2,863 10,471 2,052 665 37,740
536,425 123,008 727,100 12,807 50,000 110,591 35,890
16,122 5,077 41,571 5,582 46,484 12,335 30,401 9,272 1,137
107,633 536 1,402 25,583 8,757 16,577 7,493 11,194,030 | 2.6560 GBP 2.6561 GBP 2.6602 GBP 2.6674 GBP 2.6688 GBP 2.6720 GBP 2.6748 GBP 2.6768 GBP
2.6557 GBP 2.6560 GBP 2.6635 GBP 2.6654 GBP 2.6693 GBP 2.6702 GBP 2.6704 GBP 2.6718 GBP 2.6755 GBP 2.6761 GBP
2.6560 GBP 2.6616 GBP 2.6698 GBP 2.6703 GBP 2.6713 GBP 2.6730 GBP 2.6735 GBP 2.6740 GBP 2.6745 GBP 2.6750 GBP
2.6563 GBP 2.6616 GBP 2.6650 GBP 2.6711 GBP 2.6712 GBP 2.6723 GBP 2.6746 GBP
2.6559 GBP 2.6675 GBP 2.6699 GBP 2.6723 GBP 2.6742 GBP 2.6743 GBP 2.6751 GBP 2.6757 GBP 2.6769 GBP
2.6560 GBP 2.6641 GBP 2.6646 GBP 2.6661 GBP 2.6690 GBP 2.6701 GBP 2.6730 GBP 2.6800 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: | 13 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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