/Equities/XLON/BARC/RNS

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

RNS Number : 7935H

Barclays PLC

08 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:		07 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:	3,905,377	1.29%	306,063	0.10%

(2)	Cash-settled derivatives:
		109,730	0.04%	3,707,445	1.22%

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


	TOTAL:	4,015,107	1.32%	4,013,508	1.32%

(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

123,124

5.1570 GBP

5.1297 GBP

1p ordinary

Sale

56,799

5.1500 GBP

5.13 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	Decreasing Long	1,163	5.1297 GBP
1p ordinary		SWAP	Decreasing Long	7,341	5.1300 GBP
1p ordinary		SWAP	Decreasing Short	2,000	5.1396 GBP
1p ordinary		SWAP	Decreasing Short	3,865	5.1300 GBP
1p ordinary		SWAP	Increasing Long	299	5.1399 GBP
1p ordinary		SWAP	Increasing Long	998	5.1517 GBP
1p ordinary		SWAP	Increasing Long	1,894	5.1400 GBP
1p ordinary		SWAP	Increasing Long	2,000	5.1396 GBP
1p ordinary		SWAP	Increasing Short	118	5.1318 GBP
1p ordinary		CFD	Increasing Short	1,232	5.1508 GBP
1p ordinary		SWAP	Increasing Short	1,529	5.1493 GBP
1p ordinary		CFD	Increasing Short	2,041	5.1293 GBP
1p ordinary		CFD	Increasing Short	2,379	5.1506 GBP
1p ordinary		SWAP	Increasing Short	5,177	5.1499 GBP
1p ordinary		CFD	Increasing Short	6,819	5.1300 GBP
1p ordinary		SWAP	Increasing Short	7,341	5.1300 GBP
1p ordinary		CFD	Increasing Short	29,212	5.1300 GBP
1p ordinary		CFD	Increasing Short	50,000	5.1420 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:				8 Apr 2022
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

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END

FEOUWVWRUAUSRRR

RNS Number : 7935H

Barclays PLC

08 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:		07 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:	3,905,377	1.29%	306,063	0.10%

(2)	Cash-settled derivatives:
		109,730	0.04%	3,707,445	1.22%

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


	TOTAL:	4,015,107	1.32%	4,013,508	1.32%

(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

123,124

5.1570 GBP

5.1297 GBP

1p ordinary

Sale

56,799

5.1500 GBP

5.13 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	Decreasing Long	1,163	5.1297 GBP
1p ordinary		SWAP	Decreasing Long	7,341	5.1300 GBP
1p ordinary		SWAP	Decreasing Short	2,000	5.1396 GBP
1p ordinary		SWAP	Decreasing Short	3,865	5.1300 GBP
1p ordinary		SWAP	Increasing Long	299	5.1399 GBP
1p ordinary		SWAP	Increasing Long	998	5.1517 GBP
1p ordinary		SWAP	Increasing Long	1,894	5.1400 GBP
1p ordinary		SWAP	Increasing Long	2,000	5.1396 GBP
1p ordinary		SWAP	Increasing Short	118	5.1318 GBP
1p ordinary		CFD	Increasing Short	1,232	5.1508 GBP
1p ordinary		SWAP	Increasing Short	1,529	5.1493 GBP
1p ordinary		CFD	Increasing Short	2,041	5.1293 GBP
1p ordinary		CFD	Increasing Short	2,379	5.1506 GBP
1p ordinary		SWAP	Increasing Short	5,177	5.1499 GBP
1p ordinary		CFD	Increasing Short	6,819	5.1300 GBP
1p ordinary		SWAP	Increasing Short	7,341	5.1300 GBP
1p ordinary		CFD	Increasing Short	29,212	5.1300 GBP
1p ordinary		CFD	Increasing Short	50,000	5.1420 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:				8 Apr 2022
Contact name:				Large Holdings Regulatory Operations
Telephone number:				020 3134 7213

END

FEOUWVWRUAUSRRR

TIDM	BARC
Share Price	GBX 498.35-0.46%
Market Cap	£67.41bn

Date	8 Apr 2022
Time	09:53:28
Category	Holding(s) in company
ID	7935H

TIDM	BARC
Share Price	GBX 498.35-0.46%
Market Cap	£67.41bn

Date	8 Apr 2022
Time	09:53:28
Category	Holding(s) in company
ID	7935H

t

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

Company Information

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