Form 8.5 (EPT/NON-RI) - AVIVA 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 AVIVA PLC
  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt FRIENDS LIFE GROUP LIMITED
  principal trader is connected  
(d) Date position held/dealing undertaken: 11 December 2014
(e) Has the EPT previously disclosed, or is it YES:
today disclosing, under the Code in respect FRIENDS LIFE GROUP LIMITED
  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: 9,001,523 0.31% 7,893,159 0.27%
           
(2) Derivatives (other than
options): 4,985,160 0.17% 4,750,803 0.16%
           
(3) Options and agreements to
purchase/sell: 380,000 0.01% 0 0.00%
           
(4)
TOTAL: 14,366,683 0.49% 12,643,962 0.43%

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 406 4.9010 GBP
ORD Purchase 468 4.8890 GBP
ORD Purchase 567 4.8745 GBP
ORD Purchase 624 4.8870 GBP
ORD Purchase 724 4.9210 GBP
ORD Purchase 745 4.8910 GBP
ORD Purchase 748 4.8744 GBP
ORD Purchase 756 4.8570 GBP
ORD Purchase 826 4.8770 GBP
ORD Purchase 850 4.8810 GBP
ORD Purchase 934 4.8750 GBP
ORD Purchase 963 4.8860 GBP
ORD Purchase 1,207 4.9190 GBP
ORD Purchase 1,212 4.8900 GBP
ORD Purchase 1,214 4.8780 GBP
ORD Purchase 1,376 4.8800 GBP
ORD Purchase 1,465 4.8830 GBP
ORD Purchase 2,147 4.9060 GBP
ORD Purchase 2,180 4.8840 GBP
ORD Purchase 2,331 4.9080 GBP
ORD Purchase 2,826 4.8960 GBP
ORD Purchase 2,922 4.8730 GBP
ORD Purchase 3,023 4.9030 GBP
ORD Purchase 3,404 4.8880 GBP
ORD Purchase 3,588 4.8767 GBP
ORD Purchase 3,677 4.8852 GBP
ORD Purchase 4,700 4.8858 GBP
ORD Purchase 5,074 4.8760 GBP
ORD Purchase 5,331 4.8932 GBP
ORD Purchase 5,593 4.8877 GBP
ORD Purchase 8,415 4.8777 GBP
ORD Purchase 14,422 4.8925 GBP
ORD Purchase 15,040 4.8773 GBP
ORD Purchase 17,979 4.8783 GBP
ORD Purchase 28,818 4.8806 GBP
ORD Purchase 37,729 4.8812 GBP
ORD Purchase 44,429 4.8835 GBP
ORD Purchase 60,960 4.8849 GBP
ORD Sale 1,544 4.9233 GBP
ORD Purchase 1,405 4.9030 GBP
ORD Purchase 113,569 4.8817 GBP
ORD Purchase 118,286 4.8903 GBP
ORD Sale 30 4.8763 GBP
ORD Sale 406 4.9010 GBP
ORD Sale 468 4.8890 GBP
ORD Sale 624 4.8870 GBP
ORD Sale 724 4.9210 GBP
ORD Sale 745 4.8910 GBP
ORD Sale 748 4.8744 GBP
ORD Sale 756 4.8570 GBP
ORD Sale 850 4.8810 GBP
ORD Sale 934 4.8750 GBP
ORD Sale 963 4.8860 GBP
ORD Sale 1,207 4.9190 GBP
ORD Sale 1,208 4.8904 GBP
ORD Sale 1,212 4.8900 GBP
ORD Sale 1,214 4.8780 GBP
ORD Sale 1,376 4.8800 GBP
ORD Sale 1,382 4.8841 GBP
ORD Sale 1,465 4.8830 GBP
ORD Sale 2,180 4.8840 GBP
ORD Sale 2,214 4.9030 GBP
ORD Sale 2,331 4.9080 GBP
ORD Sale 2,341 4.8770 GBP
ORD Sale 2,826 4.8960 GBP
ORD Sale 2,922 4.8730 GBP
ORD Sale 3,404 4.8880 GBP
ORD Sale 3,692 4.9060 GBP
ORD Sale 4,893 4.8765 GBP
ORD Sale 5,074 4.8760 GBP
ORD Sale 5,329 4.8813 GBP
ORD Sale 8,620 4.8822 GBP
ORD Sale 8,832 4.8823 GBP
ORD Sale 10,494 4.8921 GBP
ORD Sale 11,822 4.8916 GBP
ORD Sale 30,400 4.8836 GBP
ORD Sale 45,714 4.8752 GBP
ORD Sale 60,743 4.8940 GBP
ORD Sale 78,686 4.8954 GBP
ORD Sale 144,404 4.8909 GBP
ORD Sale 169,848 4.8923 GBP
ORD Sale 185,000 4.8837 GBP
ORD Sale 185,789 4.8818 GBP
ADR Purchase 2,200 15.3295 USD
ADR Purchase 8,433 15.2522 USD
ADR Sale 2,200 15.3295 USD
ADR Sale 8,433 15.2522 USD

(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 1,310 4.9197 GBP
ORD CFD Long 1,382 4.8841 GBP
ORD CFD Long 5,550 4.8877 GBP
ORD SWAP Long 42,672 4.8933 GBP
ORD SWAP Long 42,721 4.8995 GBP
ORD SWAP Long 45,714 4.8752 GBP
ORD CFD Long 24,130 4.8876 GBP
ORD SWAP Long 138,203 4.8932 GBP
ORD CFD Long 185,000 4.8837 GBP
ORD SWAP Long 194,395 4.8911 GBP
ORD CFD Short 567 4.8745 GBP
ORD CFD Short 4,000 4.8844 GBP
ORD SWAP Short 4,880 4.8746 GBP
ORD SWAP Short 19,200 4.8764 GBP
ORD SWAP Short 19,361 4.8770 GBP
ORD SWAP Short 23,869 4.8736 GBP
ORD SWAP Short 42,665 4.8921 GBP
ORD SWAP Short 116,966 4.8909 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?   YES
Date of disclosure: 12 Dec 2014
Contact name: Sushil Vashisht
Telephone number: 020 7773 0744

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 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 SECURITIES LTD
are being disclosed:  
Name of offeror/offeree in relation to whose AVIVA PLC
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 Written 380,000 280.0000 American 19 Dec 2014

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 contracts for differences (“CFDs”) or spread bets.

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 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: 444548
Time of Receipt (offset from UTC): 20141212T115105+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC