t
| Date | 27 Sept 2022 |
| Time | 10:34:53 |
| Category | Holding(s) in company |
| ID | 8480A |
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FORM 8.5 (EPT/NON-RI) |
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN |
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EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS |
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(OR WHERE RI STATUS IS NOT APPLICABLE) |
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Rule 8.5 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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(a) |
Name of exempt principal trader: |
BARCLAYS CAPITAL SECURITIES LTD |
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(b) |
Name of offeror/offeree in relation to whose |
BREWIN DOLPHIN HOLDINGS PLC |
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relevant securities this form relates: |
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(c) |
Name of the party to the offer with which exempt |
BREWIN DOLPHIN HOLDINGS PLC |
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principal trader is connected |
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(d) |
Date position held/dealing undertaken: |
26 September 2022 |
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(e) |
In addition to the company in 1(b) above, is the exempt principal |
NO |
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trader making disclosures in respect of any other party to the offer? |
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2. |
POSITIONS OF THE EXEMPT PRINCIPAL TRADER |
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(a) |
Interests and short positions in the relevant securities of the offeror or offeree |
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to which the disclosure relates following the dealing (if any) |
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Class of relevant security: |
1p ordinary |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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and/or controlled: |
9,842,379 |
3.24% |
463,485 |
0.15% |
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(2) |
Cash-settled derivatives: |
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386,530 |
0.13% |
7,810,537 |
2.57% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
0 |
0.00% |
0 |
0.00% |
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TOTAL: |
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10,228,909 |
3.37% |
8,274,022 |
2.72% |
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(b) |
Rights to subscribe for new securities (including directors and other executive |
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options) |
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Class of relevant security in relation to |
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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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3. |
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER |
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(a) |
Purchases and sales |
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Class of relevant |
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Purchase/sale |
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Total number of |
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Highest price per unit |
Lowest price per unit |
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security |
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securities |
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paid/received |
paid/received |
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1p ordinary |
Purchase |
1,143,215 |
5.1500 GBP |
5.14 GBP |
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1p ordinary |
Sale |
1,204,384 |
5.1505 GBP |
5.1399 GBP |
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(b) |
Cash-settled derivative transactions |
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Class of |
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Product |
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Nature of dealing |
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Number of |
Price per |
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relevant |
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description |
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reference |
unit |
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security |
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securities |
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1p ordinary |
SWAP |
Decreasing Long |
895 |
5.1499 GBP |
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1p ordinary |
SWAP |
Decreasing Short |
300 |
5.1399 GBP |
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1p ordinary |
SWAP |
Decreasing Short |
10,616 |
5.1400 GBP |
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1p ordinary |
SWAP |
Decreasing Short |
15,580 |
5.1400 GBP |
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1p ordinary |
SWAP |
Decreasing Short |
16,398 |
5.1500 GBP |
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1p ordinary |
SWAP |
Decreasing Short |
235,858 |
5.1500 GBP |
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1p ordinary |
SWAP |
Increasing Long |
10,000 |
5.1496 GBP |
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1p ordinary |
SWAP |
Increasing Short |
242 |
5.1495 GBP |
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1p ordinary |
SWAP |
Increasing Short |
16,398 |
5.1500 GBP |
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(c) |
Stock-settled derivative transactions (including options) |
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(i) |
Writing, selling, purchasing or varying |
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Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
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of |
description |
purchasing, |
of |
price |
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date |
money |
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relevant |
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selling, |
securities |
per unit |
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paid/ |
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security |
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varying etc |
to which |
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received |
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option |
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per unit |
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relates |
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(ii) |
Exercising |
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Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
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security |
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securities |
unit |
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(d) |
Other dealings (including subscribing for new securities) |
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Class of relevant |
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Nature of Dealings |
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Details |
Price per unit (if |
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security |
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applicable) |
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4. |
OTHER INFORMATION |
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(a) |
Indemnity and other dealings arrangements |
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Details of any indemnity or option arrangement, or any agreement or understanding, |
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formal or informal, relating to relevant securities which may be an inducement to deal |
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or refrain from dealing entered into by the exempt principal trader making the disclosure and any party |
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to the offer or any person acting in concert with a party to the offer: |
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NONE |
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(b) |
Agreements, arrangements or understandings relating to options or derivatives |
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Details of any agreement, arrangement or understanding, formal or informal, between |
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the exempt principal trader making the disclosure and any other person relating to: |
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(i) the voting rights of any relevant securities under any option; or |
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(ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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any derivative is referenced: |
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NONE |
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(c) |
Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? |
NO |
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Date of disclosure: |
27 Sep 2022 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |
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