Form 8 (DD) - Ball Corp

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: 09 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: 106,066 0.08 89,695 0.07
(2) Cash-settled derivatives: 25,700 0.02 2,038 0.00
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 26,500 0.02 20,600 0.02

TOTAL:

158,266 0.12 112,333 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 63 70.6100
Ord Purchase 100 70.2300
Ord Purchase 187 70.6100
Ord Purchase 196 69.8700
Ord Purchase 200 70.6500
Ord Purchase 200 70.2600
Ord Purchase 300 70.2000
Ord Purchase 371 70.1394
Ord Purchase 400 70.2075
Ord Purchase 400 70.4100
Ord Purchase 609 70.3492
Ord Purchase 1,070 70.3973
Ord Purchase 1,200 70.3878
Ord Purchase 1,300 70.4369
Ord Purchase 1,300 70.3354
Ord Purchase 1,800 70.4199
Ord Purchase 1,900 70.4999
Ord Purchase 3,608 70.0481
Ord Purchase 3,627 70.2914
Ord Purchase 6,532 70.1176
Ord Purchase 6,618 70.3327
Ord Purchase 11,872 70.2464
Ord Purchase 16,236 70.6300
Ord Purchase 18,300 70.6300
Ord Purchase 49,544 70.6300
Ord Purchase 49,544 70.6300
Ord Sale 34 70.2700
Ord Sale 100 70.6200
Ord Sale 100 70.3200
Ord Sale 100 70.3200
Ord Sale 100 70.3200
Ord Sale 100 70.3000
Ord Sale 100 70.2200
Ord Sale 100 70.3500
Ord Sale 150 70.6100
Ord Sale 176 70.2400
Ord Sale 250 70.2738
Ord Sale 300 70.1100
Ord Sale 600 70.2983
Ord Sale 600 70.2600
Ord Sale 600 70.2783
Ord Sale 700 70.3671
Ord Sale 700 70.3962
Ord Sale 700 70.0814
Ord Sale 800 70.1513
Ord Sale 875 70.3636
Ord Sale 1,100 70.1373
Ord Sale 1,371 70.3483
Ord Sale 1,596 70.2574
Ord Sale 1,954 70.2686
Ord Sale 2,000 70.2325
Ord Sale 2,800 70.4610
Ord Sale 10,615 70.2403
Ord Sale 15,020 70.2482
Ord Sale 16,236 70.6300
Ord Sale 18,300 70.6300
Ord Sale 49,544 70.6300
Ord Sale 49,544 70.6300

(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 1,400 75 American 20/03/2015 0.6000
Ord Put Option Purchasing 1,000 70 American 20/03/2015 2.3500

(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:   10 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.

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 1,200 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 2,300 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: 452078
Time of Receipt (offset from UTC): 20150210T111423+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC