Form 8.5 (EPT/NON-RI) Brewin Dolphin Holdings plc

RNS Number : 4680H

Barclays PLC

06 April 2022

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		BREWIN DOLPHIN HOLDINGS PLC
	relevant securities this form relates:
(c)	Name of the party to the offer with which exempt		Brewin Dolphin Holdings plc
	principal trader is connected
(d)	Date position held/dealing undertaken:		05 April 2022
(e)	In addition to the company in 1(b) above, is the exempt principal		NO
	trader making disclosures in respect of any other party to the offer?

2.			POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(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:	3,756,787	1.24%	455,589	0.15%

(2)	Cash-settled derivatives:
		77,898	0.03%	3,428,448	1.13%

(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%


	TOTAL:	3,834,685	1.26%	3,884,037	1.28%

(b)

Rights to subscribe for new securities (including directors and other executive

options)

Class of relevant security in relation to

which subscription right exists

Details, including nature of the rights

concerned and relevant percentages:

DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a)

Purchases and sales

Class of relevant

Purchase/sale

Total number of

Highest price per unit

Lowest price per unit

security

securities

paid/received

1p ordinary

Purchase

378,457

5.1655 GBP

5.1484 GBP

1p ordinary

Sale

158,425

5.1602 GBP

5.1482 GBP

(b)	Cash-settled derivative transactions
Class of		Product	Nature of dealing	Number of	Price per
relevant		description		reference	unit
security				securities
1p ordinary		CFD	Decreasing Short	352	5.1491 GBP
1p ordinary		SWAP	Decreasing Short	1,000	5.1521 GBP
1p ordinary		SWAP	Decreasing Short	2,000	5.1508 GBP
1p ordinary		SWAP	Decreasing Short	19,929	5.1587 GBP
1p ordinary		CFD	Decreasing Short	72,165	5.1600 GBP
1p ordinary		SWAP	Increasing Long	852	5.1634 GBP
1p ordinary		SWAP	Increasing Short	758	5.1536 GBP
1p ordinary		SWAP	Increasing Short	1,309	5.1626 GBP
1p ordinary		SWAP	Increasing Short	1,466	5.1502 GBP
1p ordinary		SWAP	Increasing Short	2,295	5.1581 GBP
1p ordinary		SWAP	Increasing Short	3,045	5.1639 GBP
1p ordinary		SWAP	Increasing Short	3,095	5.1484 GBP
1p ordinary		SWAP	Increasing Short	3,700	5.1655 GBP
1p ordinary		SWAP	Increasing Short	4,183	5.1640 GBP
1p ordinary		SWAP	Increasing Short	5,217	5.1505 GBP
1p ordinary		SWAP	Increasing Short	7,038	5.1563 GBP
1p ordinary		SWAP	Increasing Short	7,112	5.1567 GBP
1p ordinary		SWAP	Increasing Short	10,656	5.1551 GBP
1p ordinary		SWAP	Increasing Short	12,353	5.1568 GBP
1p ordinary		SWAP	Increasing Short	12,868	5.1553 GBP
1p ordinary		SWAP	Increasing Short	14,292	5.1594 GBP
1p ordinary		SWAP	Increasing Short	16,433	5.1579 GBP
1p ordinary		SWAP	Increasing Short	17,941	5.1555 GBP
1p ordinary		SWAP	Increasing Short	19,321	5.1561 GBP
1p ordinary		SWAP	Increasing Short	20,085	5.1573 GBP
1p ordinary		SWAP	Increasing Short	20,423	5.1584 GBP
1p ordinary		SWAP	Increasing Short	30,863	5.1569 GBP
1p ordinary		SWAP	Increasing Short	35,130	5.1600 GBP
1p ordinary		SWAP	Increasing Short	99,672	5.1603 GBP
1p ordinary		SWAP	Opening Long	7,722	5.1574 GBP
1p ordinary		SWAP	Opening Long	38,839	5.1600 GBP
1p ordinary		SWAP	Opening Short	16,433	5.1579 GBP
1p ordinary		SWAP	Opening Short	35,130	5.1600 GBP

(c)	Stock-settled derivative transactions (including options)
(i)	Writing, selling, purchasing or varying
Class	Product	Writing,	Number	Exercise	Type	Expiry	Option
of	description	purchasing,	of	price		date	money
relevant		selling,	securities	per unit			paid/
security		varying etc	to which				received
			option				per unit
			relates


(ii)	Exercising
Class of relevant		Product description		Exercising/ exercised against		Number of	Exercise price per
security				Exercising/ exercised against		securities	unit


(d)	Other dealings (including subscribing for new securities)
Class of relevant		Nature of Dealings		Details		Price per unit (if
security				Details		applicable)

4.				OTHER INFORMATION
(a)	Indemnity and other dealings 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:
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 of future acquisition or disposal of any relevant securities to which
any derivative is referenced:
NONE
(c)	Attachments
Is a Supplemental Form 8 (Open Positions) attached?				NO
Date of disclosure:				6 Apr 2022
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

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END

FEOUNRKRUBUSRRR

RNS Number : 4680H

Barclays PLC

06 April 2022

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		BREWIN DOLPHIN HOLDINGS PLC
	relevant securities this form relates:
(c)	Name of the party to the offer with which exempt		Brewin Dolphin Holdings plc
	principal trader is connected
(d)	Date position held/dealing undertaken:		05 April 2022
(e)	In addition to the company in 1(b) above, is the exempt principal		NO
	trader making disclosures in respect of any other party to the offer?

2.			POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(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:	3,756,787	1.24%	455,589	0.15%

(2)	Cash-settled derivatives:
		77,898	0.03%	3,428,448	1.13%

(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%


	TOTAL:	3,834,685	1.26%	3,884,037	1.28%

(b)

Rights to subscribe for new securities (including directors and other executive

options)

Class of relevant security in relation to

which subscription right exists

Details, including nature of the rights

concerned and relevant percentages:

DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a)

Purchases and sales

Class of relevant

Purchase/sale

Total number of

Highest price per unit

Lowest price per unit

security

securities

paid/received

1p ordinary

Purchase

378,457

5.1655 GBP

5.1484 GBP

1p ordinary

Sale

158,425

5.1602 GBP

5.1482 GBP

(b)	Cash-settled derivative transactions
Class of		Product	Nature of dealing	Number of	Price per
relevant		description		reference	unit
security				securities
1p ordinary		CFD	Decreasing Short	352	5.1491 GBP
1p ordinary		SWAP	Decreasing Short	1,000	5.1521 GBP
1p ordinary		SWAP	Decreasing Short	2,000	5.1508 GBP
1p ordinary		SWAP	Decreasing Short	19,929	5.1587 GBP
1p ordinary		CFD	Decreasing Short	72,165	5.1600 GBP
1p ordinary		SWAP	Increasing Long	852	5.1634 GBP
1p ordinary		SWAP	Increasing Short	758	5.1536 GBP
1p ordinary		SWAP	Increasing Short	1,309	5.1626 GBP
1p ordinary		SWAP	Increasing Short	1,466	5.1502 GBP
1p ordinary		SWAP	Increasing Short	2,295	5.1581 GBP
1p ordinary		SWAP	Increasing Short	3,045	5.1639 GBP
1p ordinary		SWAP	Increasing Short	3,095	5.1484 GBP
1p ordinary		SWAP	Increasing Short	3,700	5.1655 GBP
1p ordinary		SWAP	Increasing Short	4,183	5.1640 GBP
1p ordinary		SWAP	Increasing Short	5,217	5.1505 GBP
1p ordinary		SWAP	Increasing Short	7,038	5.1563 GBP
1p ordinary		SWAP	Increasing Short	7,112	5.1567 GBP
1p ordinary		SWAP	Increasing Short	10,656	5.1551 GBP
1p ordinary		SWAP	Increasing Short	12,353	5.1568 GBP
1p ordinary		SWAP	Increasing Short	12,868	5.1553 GBP
1p ordinary		SWAP	Increasing Short	14,292	5.1594 GBP
1p ordinary		SWAP	Increasing Short	16,433	5.1579 GBP
1p ordinary		SWAP	Increasing Short	17,941	5.1555 GBP
1p ordinary		SWAP	Increasing Short	19,321	5.1561 GBP
1p ordinary		SWAP	Increasing Short	20,085	5.1573 GBP
1p ordinary		SWAP	Increasing Short	20,423	5.1584 GBP
1p ordinary		SWAP	Increasing Short	30,863	5.1569 GBP
1p ordinary		SWAP	Increasing Short	35,130	5.1600 GBP
1p ordinary		SWAP	Increasing Short	99,672	5.1603 GBP
1p ordinary		SWAP	Opening Long	7,722	5.1574 GBP
1p ordinary		SWAP	Opening Long	38,839	5.1600 GBP
1p ordinary		SWAP	Opening Short	16,433	5.1579 GBP
1p ordinary		SWAP	Opening Short	35,130	5.1600 GBP

(c)	Stock-settled derivative transactions (including options)
(i)	Writing, selling, purchasing or varying
Class	Product	Writing,	Number	Exercise	Type	Expiry	Option
of	description	purchasing,	of	price		date	money
relevant		selling,	securities	per unit			paid/
security		varying etc	to which				received
			option				per unit
			relates


(ii)	Exercising
Class of relevant		Product description		Exercising/ exercised against		Number of	Exercise price per
security				Exercising/ exercised against		securities	unit


(d)	Other dealings (including subscribing for new securities)
Class of relevant		Nature of Dealings		Details		Price per unit (if
security				Details		applicable)

4.				OTHER INFORMATION
(a)	Indemnity and other dealings 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:
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 of future acquisition or disposal of any relevant securities to which
any derivative is referenced:
NONE
(c)	Attachments
Is a Supplemental Form 8 (Open Positions) attached?				NO
Date of disclosure:				6 Apr 2022
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

END

FEOUNRKRUBUSRRR

TIDM	BARC
Share Price	GBX 511.40-1.92%
Market Cap	£69.07bn

Date	6 Apr 2022
Time	10:09:31
Category	Holding(s) in company
ID	4680H

TIDM	BARC
Share Price	GBX 511.40-1.92%
Market Cap	£69.07bn

Date	6 Apr 2022
Time	10:09:31
Category	Holding(s) in company
ID	4680H

t

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Form 8.5 (EPT/NON-RI) Brewin Dolphin Holdings plc

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