Form 8.5 - ANHEUSER-BUSCH INBEV SA/NV

LONDON--()--

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 INC

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

Use a separate form for each offeror/offeree

 

ANHEUSER-BUSCH INBEV SA/NV

(c) Name of the party to the offer with which exempt principal trader is connected:  

ANHEUSER-BUSCH INBEV SA/NV

(d) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

4 Oct 2016

(e) In addition to the company in 1(b) above, is the exempt principal trader 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

SABMILLER PLC

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

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(b), 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 (if any)

Class of relevant security:       ORD            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 250 0.00% 0 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 228,600 0.01% 285,300 0.02%
           
(4)
TOTAL: 228,850 0.01% 285,300 0.02%

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).

(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 (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), 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

Class of relevant   Purchase/sale   Total number of   Highest price per unit   Lowest price per unit
security   securities paid/received paid/received
ADR Purchase 95,426 129.6600 USD 128.8059 USD
ADR Sale 95,635 129.6100 USD 128.72 USD

(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   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 100 135 USD American 17 Mar 2017 4.8400 USD

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

Irrevocable commitments and letters of intent should not be included. 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 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 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?  

YES

Date of disclosure:  

5 Oct 2016

Contact name:

Femi Badmos

Telephone number:

020 3555 1125

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

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.

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 CAPITAL INC

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

ANHEUSER-BUSCH INBEV

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

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 Written 200 100.0000 American 20 Jan 2017
ORD Call Options Purchased 500 145.0000 American 20 Jan 2017
ORD Call Options Purchased 300 130.0000 American 17 Mar 2017
ORD Put Options Purchased -100 110.0000 American 17 Mar 2017
ORD Call Options Written -2,600 165.0000 American 19 Jan 2018
ORD Put Options Purchased -200 105.0000 American 17 Mar 2017
ORD Call Options Written -2,500 140.0000 American 20 Jan 2017
ORD Put Options Purchased -2,300 95.0000 American 16 Dec 2016
ORD Put Options Purchased -200 100.0000 American 19 Jan 2018
ORD Put Options Purchased -16,300 120.0000 American 21 Oct 2016
ORD Call Options Purchased 300 135.0000 American 17 Mar 2017
ORD Call Options Purchased 200 140.0000 American 17 Mar 2017
ORD Call Options Written -500 105.0000 American 19 Jan 2018
ORD Put Options Purchased -2,600 60.0000 American 19 Jan 2018
ORD Put Options Purchased -3,100 125.0000 American 21 Oct 2016
ORD Put Options Purchased -1,100 85.0000 American 20 Jan 2017
ORD Call Options Written -3,400 130.0000 American 21 Oct 2016
ORD Put Options Purchased -2,600 90.0000 American 20 Jan 2017
ORD Put Options Purchased -1,100 125.0000 American 20 Jan 2017
ORD Put Options Written 35,100 130.0000 American 20 Jan 2017
ORD Call Options Purchased 3,700 120.0000 American 16 Dec 2016
ORD Call Options Written -700 125.0000 American 20 Jan 2017
ORD Put Options Purchased -400 65.0000 American 19 Jan 2018
ORD Put Options Purchased -1,500 115.0000 American 16 Dec 2016
ORD Call Options Written -500 120.0000 American 21 Oct 2016
ORD Call Options Written -200 90.0000 American 19 Jan 2018
ORD Put Options Purchased -38,300 120.0000 American 20 Jan 2017
ORD Put Options Purchased -1,000 175.0000 American 20 Jan 2017
ORD Call Options Written -115,300 135.0000 American 21 Oct 2016
ORD Put Options Written 29,800 130.0000 American 21 Oct 2016
ORD Call Options Purchased 1,900 150.0000 American 20 Jan 2017
ORD Put Options Written 6,200 110.0000 American 16 Dec 2016
ORD Call Options Purchased 2,900 130.0000 American 16 Dec 2016
ORD Call Options Purchased 500 140.0000 American 16 Dec 2016
ORD Call Options Purchased 3,600 135.0000 American 20 Jan 2017
ORD Call Options Purchased 900 125.0000 American 19 Jan 2018
ORD Put Options Purchased -1,100 120.0000 American 16 Dec 2016
ORD Put Options Purchased -300 130.0000 American 16 Dec 2016
ORD Put Options Purchased -100 135.0000 American 18 Nov 2016
ORD Put Options Written 100 130.0000 American 18 Nov 2016
ORD Put Options Written 500 110.0000 American 20 Jan 2017
ORD Call Options Purchased 2,800 130.0000 American 20 Jan 2017
ORD Put Options Written 900 105.0000 American 16 Dec 2016
ORD Call Options Written -100 170.0000 American 19 Jan 2018
ORD Put Options Purchased -1,000 180.0000 American 20 Jan 2017
ORD Put Options Purchased -200 105.0000 American 20 Jan 2017
ORD Put Options Purchased -8,600 125.0000 American 16 Dec 2016
ORD Put Options Purchased -100 105.0000 American 19 Jan 2018
ORD Call Options Written -1,800 120.0000 American 20 Jan 2017
ORD Call Options Purchased 500 145.0000 American 16 Dec 2016
ORD Call Options Purchased 200 140.0000 American 18 Nov 2016
ORD Call Options Purchased 96,500 140.0000 American 21 Oct 2016
ORD Put Options Written 100 95.0000 American 19 Jan 2018
ORD Put Options Purchased -1,900 75.0000 American 20 Jan 2017
ORD Put Options Purchased -400 90.0000 American 16 Dec 2016
ORD Put Options Purchased -1,400 135.0000 American 20 Jan 2017
ORD Put Options Purchased -100 140.0000 American 20 Jan 2017
ORD Call Options Written -2,100 155.0000 American 16 Dec 2016
ORD Call Options Written -4,000 135.0000 American 18 Nov 2016
ORD Call Options Written -2,000 160.0000 American 19 Jan 2018
ORD Put Options Purchased -100 90.0000 American 17 Mar 2017
ORD Call Options Purchased 37,600 135.0000 American 16 Dec 2016
ORD Call Options Written -39,100 150.0000 American 16 Dec 2016
ORD Put Options Purchased -1,000 145.0000 American 20 Jan 2017
ORD Put Options Purchased -500 100.0000 American 17 Mar 2017
ORD Call Options Written -100 120.0000 American 19 Jan 2018
ORD Put Options Purchased -500 80.0000 American 17 Mar 2017
ORD Call Options Written -6,900 110.0000 American 19 Jan 2018
ORD Call Options Written -2,000 115.0000 American 19 Jan 2018
ORD Put Options Purchased -2,700 115.0000 American 20 Jan 2017
ORD Call Options Written -8,300 155.0000 American 20 Jan 2017
ORD Call Options Purchased 1,800 85.0000 American 19 Jan 2018
ORD Call Options Purchased 500 170.0000 American 16 Dec 2016
ORD Call Options Purchased 1,000 115.0000 American 20 Jan 2017
ORD Put Options Purchased -100 125.0000 American 19 Jan 2018
ORD Put Options Purchased -2,200 95.0000 American 20 Jan 2017
ORD Put Options Purchased -100 150.0000 American 19 Jan 2018

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: FEO
Sequence Number: 552653
Time of Receipt (offset from UTC): 20161005T155012+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC