FORM 8.5 (EPT/NON-RI) - ONESAVINGS BANK PLC
Updated : 11:22
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
(a) Name of exempt principal trader: | BARCLAYS CAPITAL SECURITIES LTD |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | ONESAVINGS BANK PLC |
(c) Name of the party to the offer with which exempt principal trader is connected: | ONESAVINGS BANK PLC |
(d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure | 22 August 2019 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A” | YES - CHARTER COURT FINANCIAL SERVICES GR |
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)
| Class of relevant security: | 1p ordinary | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
(1) | Relevant securities owned | ||||
| and/or controlled: | 1,715,919 | 0.70% | 1,295,509 | 0.53% | |
(2) | Cash-settled derivatives: | ||||
1,216,021 | 0.50% | 1,676,396 | 0.68% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
(4) | |||||
| TOTAL: | 2,931,940 | 1.20% | 2,971,905 | 1.21% | |
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)
Class of relevant security in relation to which subscription right exists: |
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Details, including nature of the rights concerned and relevant percentages: |
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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
| Class of relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit |
| security | securities | paid/received | paid/received | |
| 1p ordinary | Purchase | 66,590 | 3.4500 GBP | 3.366 GBP |
| 1p ordinary | Sale | 96,172 | 3.4501 GBP | 3.366 GBP |
| (b) | Cash-settled derivative transactions | |||
| Class of | Product | Nature of dealing | Number of | Price per |
| relevant | description | reference | unit | |
| security | securities | |||
| 1p ordinary | SWAP | Long | 5 | 3.4406 GBP |
| 1p ordinary | SWAP | Long | 9 | 3.3929 GBP |
| 1p ordinary | SWAP | Long | 12 | 3.3989 GBP |
| 1p ordinary | SWAP | Long | 65 | 3.3834 GBP |
| 1p ordinary | SWAP | Long | 200 | 3.3880 GBP |
| 1p ordinary | SWAP | Long | 200 | 3.4116 GBP |
| 1p ordinary | SWAP | Long | 210 | 3.4095 GBP |
| 1p ordinary | SWAP | Long | 213 | 3.4442 GBP |
| 1p ordinary | CFD | Long | 238 | 3.3718 GBP |
| 1p ordinary | SWAP | Long | 274 | 3.4209 GBP |
| 1p ordinary | SWAP | Long | 276 | 3.4204 GBP |
| 1p ordinary | SWAP | Long | 342 | 3.4397 GBP |
| 1p ordinary | SWAP | Long | 462 | 3.4033 GBP |
| 1p ordinary | SWAP | Long | 531 | 3.4415 GBP |
| 1p ordinary | SWAP | Long | 536 | 3.4270 GBP |
| 1p ordinary | SWAP | Long | 539 | 3.4408 GBP |
| 1p ordinary | SWAP | Long | 1,114 | 3.4498 GBP |
| 1p ordinary | SWAP | Long | 1,306 | 3.4199 GBP |
| 1p ordinary | SWAP | Long | 1,467 | 3.4093 GBP |
| 1p ordinary | SWAP | Long | 1,823 | 3.4269 GBP |
| 1p ordinary | SWAP | Long | 1,951 | 3.4203 GBP |
| 1p ordinary | SWAP | Long | 2,061 | 3.4398 GBP |
| 1p ordinary | CFD | Long | 2,800 | 3.3619 GBP |
| 1p ordinary | SWAP | Long | 3,760 | 3.4407 GBP |
| 1p ordinary | SWAP | Long | 4,419 | 3.4017 GBP |
| 1p ordinary | CFD | Long | 8,117 | 3.4497 GBP |
| 1p ordinary | SWAP | Long | 9,518 | 3.4236 GBP |
| 1p ordinary | CFD | Short | 527 | 3.4500 GBP |
| 1p ordinary | SWAP | Short | 527 | 3.4500 GBP |
| 1p ordinary | SWAP | Short | 600 | 3.4400 GBP |
| 1p ordinary | SWAP | Short | 719 | 3.4501 GBP |
| 1p ordinary | SWAP | Short | 1,243 | 3.4022 GBP |
| 1p ordinary | SWAP | Short | 1,599 | 3.4180 GBP |
| 1p ordinary | CFD | Short | 2,800 | 3.3774 GBP |
| 1p ordinary | SWAP | Short | 12,585 | 3.4321 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 |
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
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(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) |
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4. 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
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(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
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? | NO |
Date of disclosure: | 23 August 2019 |
Contact name: | Large Holdings Regulatory Operations |
Telephone number: | 020 3134 7213 |
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.
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