Form 8 (DD) - Ball Corporation

LONDON--()--

FORM 8 (DD)

PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

Rules 8.1, 8.2 and 8.4 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser:   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. For a trust, the trustee(s), settlor and beneficiaries must be named.

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

Use a separate form for each offeror/offeree

Ball Corporation
(d) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

Connected to Rexam Plc
(e) Date dealing undertaken: 06 February 2015
(f) In addition to the company in 1(c) above, is the discloser 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 / NO / N/A

If YES, specify which:

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing

Class of relevant security:    

 

Interests   Short positions
Number   % Number   %
(1) Relevant securities owned and/or controlled: 105,670 0.08 89,511 0.07
(2) Cash-settled derivatives:        
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 26,100 0.02 20,600 0.02

TOTAL:

131,770 0.10 110,111 0.09

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).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

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

3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE

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.

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

(a) Purchases and sales

(i) Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)

Class of relevant security   Purchase/sale   Number of securities   Price per unit (in USD)
Ord Purchase 4 70.6100
Ord Purchase 10 70.6100
Ord Purchase 12 70.6100
Ord Purchase 18 70.6100
Ord Purchase 60 70.5500
Ord Purchase 97 70.6000
Ord Purchase 100 70.6475
Ord Purchase 100 70.8600
Ord Purchase 100 70.4600
Ord Purchase 100 70.8700
Ord Purchase 100 70.8900
Ord Purchase 100 70.8700
Ord Purchase 100 70.8600
Ord Purchase 132 70.6493
Ord Purchase 132 70.6493
Ord Purchase 157 70.9400
Ord Purchase 200 70.6800
Ord Purchase 200 70.4575
Ord Purchase 200 70.8800
Ord Purchase 300 70.5867
Ord Purchase 300 70.6933
Ord Purchase 333 70.6480
Ord Purchase 400 70.8300
Ord Purchase 421 70.6100
Ord Purchase 430 70.6105
Ord Purchase 448 70.7616
Ord Purchase 500 70.6120
Ord Purchase 500 70.6560
Ord Purchase 514 70.6449
Ord Purchase 536 70.8788
Ord Purchase 600 70.5967
Ord Purchase 945 70.6100
Ord Purchase 1,000 70.6100
Ord Purchase 1,000 70.6100
Ord Purchase 1,287 70.6045
Ord Purchase 1,300 70.5950
Ord Purchase 1,540 70.6100
Ord Purchase 1,638 70.5152
Ord Purchase 1,736 70.6188
Ord Purchase 1,862 70.6493
Ord Purchase 2,600 70.6304
Ord Purchase 2,600 70.6963
Ord Purchase 3,202 70.6303
Ord Purchase 3,600 70.5381
Ord Purchase 3,900 70.5383
Ord Purchase 5,862 70.8346
Ord Purchase 7,023 70.6276
Ord Purchase 10,286 70.7020
Ord Purchase 12,376 70.6100
Ord Purchase 16,236 70.6100
Ord Purchase 49,544 70.6100
Ord Purchase 49,544 70.6100
Ord Sale 2 71.1500
Ord Sale 4 71.1500
Ord Sale 33 70.6493
Ord Sale 48 70.5038
Ord Sale 60 70.5500
Ord Sale 100 70.7600
Ord Sale 123 70.4916
Ord Sale 132 70.6493
Ord Sale 164 70.5951
Ord Sale 347 70.5920
Ord Sale 431 70.6100
Ord Sale 445 70.6100
Ord Sale 454 70.5385
Ord Sale 500 70.6100
Ord Sale 982 70.6885
Ord Sale 1,000 70.6100
Ord Sale 1,000 70.6100
Ord Sale 1,000 70.7034
Ord Sale 1,100 70.6876
Ord Sale 1,500 70.5884
Ord Sale 1,500 70.5126
Ord Sale 1,540 70.6100
Ord Sale 1,829 70.6493
Ord Sale 1,862 70.6493
Ord Sale 1,900 70.6989
Ord Sale 2,500 70.6716
Ord Sale 2,756 70.5326
Ord Sale 2,792 71.0405
Ord Sale 3,227 70.6100
Ord Sale 3,600 70.5342
Ord Sale 3,700 70.5686
Ord Sale 4,802 70.6565
Ord Sale 5,630 70.7859
Ord Sale 7,728 70.5938
Ord Sale 9,300 70.5905
Ord Sale 12,376 70.6100
Ord Sale 16,236 70.6100
Ord Sale 49,544 70.6100
Ord Sale 49,544 70.6100

(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser

Class of relevant security Purchases/ sales Total number of securities Highest price per unit paid/received Lowest price per unit paid/received

(b) Cash-settled derivative transactions

Class of relevant security   Product description

e.g. CFD

  Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

  Number of reference securities   Price per unit

(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 (USD)   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit (USD)
Ord Call Option Purchasing 2,000 75 American 20/03/2015 0.7250
Ord Call Option Selling 900 80 American 20/03/2015 0.3500
Ord Call Option Purchasing 100 70 American 20/02/2015 1.6000
Ord Put Option Selling 15,800 65 American 20/02/2015 0.2614
Ord Put Option Purchasing 2,100 70 American 20/02/2015 1.0000
Ord Put Option Purchasing 1,000 70 American 21/08/2015 4.2000
Ord Put Option Selling 1,000 65 American 20/02/2015 0.2500
Ord Put Option Selling 900 65 American 20/02/2015 0.2500

(ii) Exercise

Class of relevant security   Product description

e.g. call option

  Exercising/ exercised against   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)

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

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

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

Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer or person acting in concert 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”

(c) Attachments

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions)  

YES

Supplemental Form 8 (SBL)

NO

Date of disclosure:   09 February 2015
Contact name: Rajesh Muthanna
Telephone number: +44 20 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.

143221.01

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Full name of person making disclosure:   Barclays Plc
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: Ball Corporation

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security   Product description e.g. call option   Written or purchased   Number of securities to which option or derivative relates   Exercise price per unit (USD)   Type

e.g. American, European etc.

  Expiry date
Ord Put option Purchased 2,100 70 American 20/02/2015
Ord Put option Written 15,300 65 American 20/02/2015
Ord Put option Written 4,500 75 American 20/03/2015
Ord Put option Written 2,200 70 American 20/03/2015
Ord Put option Written 1,200 65 American 15/05/2015
Ord Put option Written 1,000 70 American 21/08/2015
Ord Put option Written 1,000 75 American 20/02/2015
Ord Call option Purchased 900 75 American 20/03/2015
Ord Call option Written 3600 65 American 20/02/2015
Ord Call option Written 3000 70 American 21/08/2015
Ord Call option Written 3000 75 American 21/08/2015
Ord Call option Written 2800 60 American 15/05/2015
Ord Call option Written 1900 70 American 20/02/2015
Ord Call option Written 1900 80 American 20/03/2015
Ord Call option Written 1000 60 American 20/02/2015
Ord Call option Written 700 70 American 15/05/2015
Ord Call option Written 600 80 American 21/08/2015

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

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

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.

Short Name: BARCLAYS PLC
Category Code: DCC
Sequence Number: 451863
Time of Receipt (offset from UTC): 20150209T113521+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC