| FORM 8.5 (EPT/NON-RI) | AMENDMENT TO 2(A) AND PURCHAES | ||||||||||||||
| 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 INC | |||||||||||||
| (b) | Name of offeror/offeree in relation to whose |
BALL CORPORATION |
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| relevant securities this form relates: | |||||||||||||||
| (c) | Name of the party to the offer with which exempt | REXAM PLC | |||||||||||||
| principal trader is connected | |||||||||||||||
| (d) | Date position held/dealing undertaken: | 30 July 2015 | |||||||||||||
| (e) | In addition to the company in 1(b) above, is the exempt principal | YES: | |||||||||||||
| trader making disclosures in respect of any other party to the offer? | REXAM PLC | ||||||||||||||
| 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: | ORD | ||||||||||||||
| Interests | Short Positions | ||||||||||||||
| Number | (%) | Number | (%) | ||||||||||||
| (1) | Relevant securities owned | ||||||||||||||
| and/or controlled: | 14,409 | 0.01% | 222 | 0.00% | |||||||||||
| (2) | Cash-settled derivatives: | ||||||||||||||
| 0 | 0.00% | 0 | 0.00% | ||||||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||||||
| and agreements to purchase/sell: | 8,500 | 0.01% | 53,500 | 0.04% | |||||||||||
| (4) | |||||||||||||||
| TOTAL: | 22,909 | 0.02% | 53,722 | 0.04% | |||||||||||
| (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: | |||||||||||||||
| 3. | 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 | paid/received | ||||||||||||
| ORD | Purchase | 38,199 | 69.5933 USD | 68.19 USD | |||||||||||
| ORD | Sale | 38,995 | 69.6300 USD | 67.765 USD | |||||||||||
| (b) | Cash-settled derivative transactions | ||||||||||||||
| Class of relevant | Product | Nature of dealing | Number of | Price per unit | |||||||||||
| security | description | reference | |||||||||||||
| securities | |||||||||||||||
| (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 | |||||||||||||||
| ORD | Call Options | Purchasing | 300 | 70 USD | American | 21 Aug 2015 | 0.6400 USD | ||||||||
| ORD | Call Options | Selling | 300 | 72.5 USD | American | 21 Aug 2015 | 0.1600 USD | ||||||||
| (ii) | Exercising | ||||||||||||||
| Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||||||||||
| security | securities | unit | |||||||||||||
| (d) | Other dealings (including subscribing for new securities) | ||||||||||||||
| Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||||||||||
| security | 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: |
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| 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: |
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|
|
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| NONE | |||||||||||||||
| (c) | Attachments | ||||||||||||||
| Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||||||||||
| Date of disclosure: | 4 Aug 2015 | ||||||||||||||
| Contact name: | Jay Supaya | ||||||||||||||
| Telephone number: | 020 7773 0635 | ||||||||||||||
| SUPPLEMENTAL FORM 8 (OPEN POSITIONS) | |||||||||||||||
| DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO | |||||||||||||||
| PURCHASE OR SELL ETC. | |||||||||||||||
| Note 5(i) on Rule 8 of the Takeover Code (the "Code") | |||||||||||||||
| 1. | KEY INFORMATION | ||||||||||||||
| Identity of the person whose positions/dealings | BARCLAYS CAPITAL INC | ||||||||||||||
| are being disclosed: | |||||||||||||||
| Name of offeror/offeree in relation to whose | BALL CORPORATION | ||||||||||||||
| relevant securities this from relates: | |||||||||||||||
| 2. | OPTIONS AND DERIVATIVES | ||||||||||||||
| Class | Product | Writing, | Number | Exercise | Type | Expiry | |||||||||
| of | description | purchasing, | of | price | date | ||||||||||
| relevant | selling, | securities | per unit | ||||||||||||
| security | varying etc | to which | |||||||||||||
| option | |||||||||||||||
| relates | |||||||||||||||
| ORD | Put Options | Purchased | -2,500 | 60.0000 | American | 20 Nov 2015 | |||||||||
| ORD | Put Options | Purchased | -1,500 | 65.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Put Options | Purchased | -100 | 65.0000 | American | 20 Nov 2015 | |||||||||
| ORD | Put Options | Purchased | -100 | 72.5000 | American | 15 Jan 2016 | |||||||||
| ORD | Put Options | Written | 1,500 | 60.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Put Options | Written | 3,200 | 70.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Purchased | 600 | 60.0000 | American | 20 Nov 2015 | |||||||||
| ORD | Call Options | Purchased | 2,000 | 67.5000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Purchased | 1,200 | 75.0000 | American | 15 Jan 2016 | |||||||||
| ORD | Call Options | Written | -4,500 | 70.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -300 | 72.5000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -100 | 72.5000 | American | 15 Jan 2016 | |||||||||
| ORD | Call Options | Written | -3,000 | 75.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -16,800 | 77.5000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -1,900 | 77.5000 | American | 20 Nov 2015 | |||||||||
| ORD | Call Options | Written | -20,900 | 80.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -500 | 82.5000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -1,300 | 85.0000 | American | 20 Nov 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: | |||||||||||||||
Category Code: FEO
Sequence Number: 478060
Time of Receipt (offset from UTC): 20150804T161311+0100