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Form 8.5 (EPT/NON-RI) - AA PLC

--(BUSINESS WIRE)--  LONDON

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the “Code”)

1. KEY INFORMATION

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

3. DEALINGS (IF ANY) 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 3(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

(b) Cash-settled derivative transactions

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

(ii) Exercise

(d) Other dealings (including subscribing for new securities)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

(b) Agreements, arrangements or understandings relating to options or derivatives

(c) Attachments

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 disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at .www.thetakeoverpanel.org.uk

BARCLAYS PLC

Source:BARCLAYS PLC

(a)of exempt principal trader:NameBARCLAYS CAPITAL SECURITIES LTD
(b)of offeror/offeree in relation to whoseNameAA PLC
relevant securities this form relates:
(c)of the party to the offer with which exemptNamePlatinum Equity Advisors LLC
principal trader is connected
(d)Date position held/dealing undertaken:28 August 2020
(e)In addition to the company in 1(b) above, is the exempt principalNO
trader making disclosures in respect of any other party to the offer?
Class of relevant security:0.1p ordinary
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

16,849,966

2.71%

3,637,628

0.59%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

2,953,806

0.48%

16,117,259

2.59%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

19,803,772

3.19%

19,754,887

3.18%

Class of relevant security in relation to which subscription right exists:

 

Details, including nature of the rights concerned and relevant percentages:

 

Class of relevantPurchase/sale

Total number of

Highest price per unit

Lowest price per unit

security

securities

paid/received

paid/received

0.1p ordinaryPurchase

127,671

0.3470 GBP

0.3188 GBP

0.1p ordinarySale

175,247

0.3470 GBP

0.3256 GBP

Class ofProductNature of dealing

Number of

Price per
relevantdescription

reference

unit
security

securities

0.1p ordinarySWAPLong

1,035

0.3469 GBP
0.1p ordinarySWAPLong

3,347

0.3345 GBP
0.1p ordinarySWAPLong

10,909

0.3269 GBP
0.1p ordinarySWAPLong

66,933

0.3386 GBP
0.1p ordinaryCFDLong

93,023

0.3469 GBP
0.1p ordinarySWAPShort

800

0.3230 GBP
0.1p ordinarySWAPShort

2,041

0.3187 GBP
0.1p ordinarySWAPShort

3,437

0.3326 GBP
0.1p ordinarySWAPShort

11,012

0.3470 GBP
0.1p ordinarySWAPShort

11,927

0.3221 GBP
0.1p ordinarySWAPShort

34,348

0.3342 GBP
0.1p ordinarySWAPShort

64,106

0.3188 GBP

Class of relevant security

Product descriptione.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

 

 

 

 

 

 

 

 

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

 

 

 

 

 

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

 

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

 

Is a Supplemental Form 8 (Open Positions) attached?NO
Date of disclosure:

1 Sep 2020

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

Quick facts: Barclays PLC

Price: -

Market: LSE
Market Cap: -
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