FORM 8.5 (EPT/NON-RI) - NMC HEALTH 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 NMC HEALTH PLC
relevant securities this form relates:
(c) Name of the party to the offer with which exempt NMC HEALTH PLC
principal trader is connected
(d) Date position held/dealing undertaken: 13 February 2020
(e) In addition to the company in 1(b) above, is the exempt principal NO
trader making disclosures in respect of any other party to the offer?

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: 10p ordinary

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

2,492,990

1.19%

372,688

0.18%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

160,013

0.08%

1,621,742

0.78%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

4,996,628

2.39%

 

 

 

 

(4)

 

 

 

 

TOTAL:

2,653,003

1.27%

6,991,058

3.35%

 

 

 

 

Class of relevant security: Convertible Bond XS1814568413

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

3,000,000

0.83%

2,000,000

0.56%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

0

0.00%

0

0.00%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

(4)

 

 

 

 

TOTAL:

3,000,000

0.83%

2,000,000

0.56%

 

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

10p ordinary

Purchase

354,993

8.5698 GBP

7.7541 GBP

10p ordinary

Sale

718,629

8.4234 GBP

7.76 GBP

(b) Cash-settled derivative transactions

Class of Product Nature of dealing Number of Price per
relevant description reference unit

security

 

 

securities

 

10p ordinary

SWAP

Long

2

8.4040 GBP

10p ordinary

SWAP

Long

13

8.1997 GBP

10p ordinary

SWAP

Long

15

8.1334 GBP

10p ordinary

SWAP

Long

16

8.0988 GBP

10p ordinary

SWAP

Long

18

8.3996 GBP

10p ordinary

SWAP

Long

34

7.7626 GBP

10p ordinary

SWAP

Long

35

8.0994 GBP

10p ordinary

CFD

Long

50

7.8492 GBP

10p ordinary

SWAP

Long

65

7.9764 GBP

10p ordinary

SWAP

Long

75

7.9679 GBP

10p ordinary

SWAP

Long

77

8.1041 GBP

10p ordinary

SWAP

Long

82

8.1746 GBP

10p ordinary

SWAP

Long

148

7.9765 GBP

10p ordinary

SWAP

Long

148

7.9992 GBP

10p ordinary

SWAP

Long

150

8.0991 GBP

10p ordinary

SWAP

Long

163

7.9696 GBP

10p ordinary

SWAP

Long

172

8.1297 GBP

10p ordinary

SWAP

Long

176

8.1047 GBP

10p ordinary

SWAP

Long

181

8.1705 GBP

10p ordinary

SWAP

Long

238

7.9899 GBP

10p ordinary

SWAP

Long

305

7.9763 GBP

10p ordinary

SWAP

Long

324

7.7625 GBP

10p ordinary

SWAP

Long

325

7.7624 GBP

10p ordinary

SWAP

Long

329

7.8900 GBP

10p ordinary

SWAP

Long

387

8.4254 GBP

10p ordinary

SWAP

Long

432

7.8287 GBP

10p ordinary

SWAP

Long

710

7.9694 GBP

10p ordinary

SWAP

Long

746

8.1898 GBP

10p ordinary

SWAP

Long

761

8.1033 GBP

10p ordinary

SWAP

Long

780

8.1730 GBP

10p ordinary

SWAP

Long

788

8.1697 GBP

10p ordinary

SWAP

Long

807

7.7859 GBP

10p ordinary

SWAP

Long

866

8.4241 GBP

10p ordinary

SWAP

Long

936

8.1819 GBP

10p ordinary

CFD

Long

1,000

8.3567 GBP

10p ordinary

CFD

Long

1,130

7.9133 GBP

10p ordinary

SWAP

Long

1,372

7.8342 GBP

10p ordinary

CFD

Long

1,713

8.1974 GBP

10p ordinary

CFD

Long

1,783

8.1820 GBP

10p ordinary

SWAP

Long

2,062

7.8288 GBP

10p ordinary

SWAP

Long

2,162

8.1817 GBP

10p ordinary

SWAP

Long

3,552

8.1895 GBP

10p ordinary

SWAP

Long

3,753

8.4232 GBP

10p ordinary

CFD

Long

5,000

7.9604 GBP

10p ordinary

CFD

Long

6,257

8.4289 GBP

10p ordinary

CFD

Long

6,824

7.9141 GBP

10p ordinary

SWAP

Long

10,910

8.1823 GBP

10p ordinary

SWAP

Long

28,972

8.1826 GBP

10p ordinary

SWAP

Long

158,808

8.0571 GBP

10p ordinary

SWAP

Long

208,187

7.9865 GBP

10p ordinary

CFD

Short

50

7.9008 GBP

10p ordinary

SWAP

Short

240

8.6767 GBP

10p ordinary

SWAP

Short

646

8.2284 GBP

10p ordinary

CFD

Short

901

8.1233 GBP

10p ordinary

CFD

Short

3,125

7.9882 GBP

10p ordinary

SWAP

Short

4,173

8.1626 GBP

10p ordinary

CFD

Short

6,000

8.1007 GBP

10p ordinary

CFD

Short

9,737

8.2422 GBP

10p ordinary

SWAP

Short

10,849

8.1012 GBP

10p ordinary

CFD

Short

19,640

8.2212 GBP

10p ordinary

SWAP

Short

37,887

7.9914 GBP

10p ordinary

SWAP

Short

102,525

8.2594 GBP

(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

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

 

 

 

 

 

 

 

 

(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: 14 Feb 2020
Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

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

Identity of the person whose positions/dealings BARCLAYS CAPITAL SECURITIES LTD
are being disclosed:
Name of offeror/offeree in relation to whose NMC HEALTH PLC
relevant securities this from relates:

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

 

 

 

Call Options

Written

-4,996,628

 

European

11 Feb 2021

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: 692372
Time of Receipt (offset from UTC): 20200214T094202+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC