Form 8.5 (EPT/NON-RI) - CARPHONE WAREHOUSE GROUP PLC

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 SECURITIES LTD
(b) Name of offeror/offeree in relation to whose CARPHONE WAREHOUSE GROUP PLC
  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt DIXONS RETAIL PLC
  principal trader is connected  
(d) Date position held/dealing undertaken: 5 August 2014
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect DIXONS RETAIL PLC
  of any other party to this offer?  

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: 2,999,887 0.52% 845,917 0.15%
           
(2) Derivatives (other than
options): 638,305 0.11% 2,718,255 0.47%
           
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 3,638,192 0.63% 3,564,172 0.62%

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

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a) Purchases and sales

Class of relevant   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 33 3.4175 GBP
ORD Purchase 3,731 3.4259 GBP
ORD Purchase 7,378 3.4173 GBP
ORD Purchase 8,140 3.4150 GBP
ORD Purchase 9,455 3.4323 GBP
ORD Purchase 9,676 3.4313 GBP
ORD Purchase 15,375 3.4146 GBP
ORD Purchase 21,375 3.4081 GBP
ORD Purchase 78,181 3.4241 GBP
ORD Purchase 81,489 3.4262 GBP
ORD Purchase 149,547 3.4085 GBP
ORD Purchase 222,053 3.4282 GBP
ORD Sale 66 3.4300 GBP
ORD Sale 126 3.4090 GBP
ORD Sale 160 3.4076 GBP
ORD Sale 373 3.3940 GBP
ORD Sale 722 3.4467 GBP
ORD Sale 2,346 3.4186 GBP
ORD Sale 3,939 3.4175 GBP
ORD Sale 21,216 3.4248 GBP
ORD Sale 23,162 3.4271 GBP
ORD Sale 26,500 3.4274 GBP
ORD Sale 28,022 3.4091 GBP
ORD Sale 28,412 3.4008 GBP
ORD Sale 54,674 3.4038 GBP
ORD Sale 100,000 3.4163 GBP
ORD Sale 157,252 3.4067 GBP
ORD Sale 350,000 3.4282 GBP

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 3,879 3.4288 GBP
ORD CFD Long 5,356 3.3915 GBP
ORD CFD Long 7,892 3.3994 GBP
ORD SWAP Long 53,424 3.4105 GBP
ORD SWAP Long 89,453 3.4118 GBP
ORD CFD Long 100,000 3.4163 GBP
ORD CFD Long 157,252 3.4067 GBP
ORD CFD Short 66 3.4175 GBP
ORD SWAP Short 2,600 3.4451 GBP
ORD CFD Short 8,140 3.4150 GBP
ORD CFD Short 8,151 3.3925 GBP
ORD CFD Short 15,375 3.4146 GBP
ORD CFD Short 16,030 3.4164 GBP
ORD CFD Short 21,375 3.4081 GBP
ORD CFD Short 27,984 3.4159 GBP
ORD SWAP Short 27,984 3.4159 GBP
ORD CFD Short 38,907 3.4060 GBP
ORD SWAP Short 91,338 3.4122 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(b), 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 exempt principal trader 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 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?   NO
Date of disclosure: 6 Aug 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: FEO
Sequence Number: 427850
Time of Receipt (offset from UTC): 20140806T104408+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC