Form 8.3 - BALFOUR BEATTY PLC

LONDON--()--

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Identity of the person whose positions/dealings are being disclosed:  

Barclays PLC.

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

BALFOUR BEATTY PLC

(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:    
(e) Date position held/dealing undertaken:  

31 July 2014

(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?  

YES:

CARILLION PLC

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

(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:       ORD            
Interests   Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 998,022 0.14% 6,030,194 0.87%
           
(2) Derivatives (other than
options): 5,120,554 0.74% 134,819 0.02%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 6,118,576 0.89% 6,165,013 0.89%
           
Class of relevant security:   Convertible Bond XS0994825916      
Interests   Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 5,100,000 2.02% 0 0.00%
           
(2) Derivatives (other than
options): 0 0.00% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 5,100,000 2.02% 0 0.00%

All interests and all short positions should be disclosed.

Details of any open derivative or option positions, 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 executive options)

Class of relevant security in relation to which subscription right exists:  
Details, including nature of the rights concerned and relevant percentages:  

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(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

(a) Purchases and sales

(a)   Purchases and sales          
Class of relevant Purchase/sale Number of Price per unit
security   securities  
ORD Purchase 72 2.3880 GBP
ORD Purchase 139 2.3810 GBP
ORD Purchase 933 2.4000 GBP
ORD Purchase 1,047 2.3900 GBP
ORD Purchase 2,255 2.4500 GBP
ORD Purchase 3,504 2.4475 GBP
ORD (traded as ADR) Purchase 3,726 8.0800 USD
ORD Purchase 4,446 2.4222 GBP
ORD Purchase 19,391 2.4045 GBP
ORD Purchase 24,444 2.3834 GBP
ORD Purchase 28,262 2.3846 GBP
ORD Purchase 41,783 2.4089 GBP
ORD Purchase 47,380 2.4037 GBP
ORD Purchase 51,932 2.3975 GBP
ORD Purchase 53,625 2.4134 GBP
ORD Purchase 145,412 2.3950 GBP
ORD Purchase 147,974 2.3890 GBP
ORD Sale 72 2.3880 GBP
ORD Sale 139 2.3810 GBP
ORD Sale 340 2.4040 GBP
ORD Sale 933 2.4000 GBP
ORD Sale 1,047 2.3900 GBP
ORD Sale 2,255 2.4500 GBP
ORD Sale 2,321 2.3607 GBP
ORD (traded as ADR) Sale 3,726 8.0800 USD
ORD Sale 11,000 2.4460 GBP
ORD Sale 25,140 2.3790 GBP
ORD Sale 30,130 2.3845 GBP
ORD Sale 34,682 2.3925 GBP
ORD Sale 59,449 2.3912 GBP
ORD Sale 63,029 2.3855 GBP
 
(b) Derivatives transactions (other than options)      
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security     securities  
ORD CFD Long 7,326 2.3833 GBP
ORD SWAP Long 30,179 2.3855 GBP
ORD SWAP Long 120,337 2.3896 GBP
ORD SWAP Short 28 2.3946 GBP
ORD CFD Short 3,726 2.4022 GBP
ORD CFD Short 20,732 2.3743 GBP
ORD CFD Short 10,597 2.4018 GBP
ORD CFD Short 23,304 2.3895 GBP
ORD SWAP Short 26,236 2.3845 GBP
ORD CFD Short 53,169 2.3901 GBP
ORD SWAP Short 86,649 2.4139 GBP
ORD SWAP Short 91,297 2.3997 GBP
ORD SWAP Short 97,111 2.3938 GBP

(c) Options transactions in respect of existing securities

(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

(ii) Exercising

Class of relevant security   Product description

e.g. call option

  Number of securities   Exercise price per unit

(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)

The currency of all prices and other monetary amounts should be stated.

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

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 person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

If there are no such agreements, arrangements or understandings, state “none”

NONE

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

Details of any agreement, arrangement or understanding, formal or informal, between the person 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

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

NO

Date of disclosure:  

1 August 2014

Contact name:

Rajesh Muthanna

Telephone number:

020 3555 4634

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

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

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 427380
Time of Receipt (offset from UTC): 20140801T133938+0100

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BARCLAYS PLC

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BARCLAYS PLC