Form 8.3 - CARILLION PLC

Form 8.3 - CARILLION PLC

BARCLAYS PLC

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Identity of the person whose positions/dealings are being disclosed:	Â	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	Â	Â
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree	Â	CARILLION PLC   Â
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:	Â	Â
(e) Date position held/dealing undertaken:	Â	1 August 2014
(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?	Â	YES: BALFOUR BEATTY PLC   Â

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

(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:	Â	Â	Â	ORD	Â	Â	Â	Â	Â	Â
				Interests				Short Positions
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		402,795		0.09%		3,983,627		0.93%
Â		Â		Â		Â		Â		Â
(2)		Derivatives (other than
		options):		3,739,466		0.87%		238,707		0.06%
Â		Â		Â		Â		Â		Â
(3)		Options and agreements to
		purchase/sell:		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)
		TOTAL:		4,142,261		0.96%		4,222,334		0.98%

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:	Â
Details, including nature of the rights concerned and relevant percentages:	Â

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.

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

(a) Purchases and sales

Class of relevant	Â	Purchase/sale	Â	Number of	Â	Price per unit
security		Â		securities		Â
ORD		Purchase		135		3.3430 GBP
ORD		Purchase		140		3.3330 GBP
ORD		Purchase		142		3.3450 GBP
ORD		Purchase		146		3.2640 GBP
ORD		Purchase		149		3.3170 GBP
ORD		Purchase		152		3.3210 GBP
ORD		Purchase		173		3.2970 GBP
ORD		Purchase		370		3.3003 GBP
ORD		Purchase		392		3.3280 GBP
ORD		Purchase		469		3.3030 GBP
ORD		Purchase		597		3.3230 GBP
ORD		Purchase		773		3.3310 GBP
ORD		Purchase		800		3.3220 GBP
ORD		Purchase		4,302		3.2754 GBP
ORD		Purchase		8,284		3.3288 GBP
ORD		Purchase		22,044		3.3110 GBP
ORD		Purchase		34,859		3.3126 GBP
ORD		Purchase		54,376		3.3121 GBP
ORD		Purchase		55,923		3.3124 GBP
ORD		Purchase		68,516		3.3041 GBP
ORD		Purchase		108,202		3.3136 GBP
ORD		Sale		135		3.3430 GBP
ORD		Sale		140		3.3330 GBP
ORD		Sale		142		3.3450 GBP
ORD		Sale		146		3.2640 GBP
ORD		Sale		149		3.3170 GBP
ORD		Sale		152		3.3210 GBP
ORD		Sale		173		3.2970 GBP
ORD		Sale		366		3.3110 GBP
ORD		Sale		392		3.3280 GBP
ORD		Sale		416		3.3270 GBP
ORD		Sale		428		3.3054 GBP
ORD		Sale		469		3.3030 GBP
ORD		Sale		597		3.3230 GBP
ORD		Sale		652		3.3282 GBP
ORD		Sale		1,687		3.3134 GBP
ORD		Sale		2,007		3.3241 GBP
ORD		Sale		2,261		3.3148 GBP
ORD		Sale		2,376		3.3017 GBP
ORD		Sale		2,537		3.3391 GBP
ORD		Sale		2,770		3.3331 GBP
ORD		Sale		7,679		3.3090 GBP
ORD		Sale		8,639		3.3224 GBP
ORD		Sale		19,959		3.3172 GBP
ORD		Sale		24,412		3.3093 GBP
ORD		Sale		92,605		3.3152 GBP
ORD		Sale		98,188		3.3114 GBP

(b) Derivatives transactions (other than options)

Class of	Â	Product	Â	Nature of dealing	Â	Number of	Â	Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
ORD		SWAP		Long		461		3.2898 GBP
ORD		CFD		Long		428		3.3054 GBP
ORD		CFD		Long		1,100		3.3205 GBP
ORD		CFD		Long		3,718		3.2998 GBP
ORD		SWAP		Long		4,432		3.3243 GBP
ORD		SWAP		Long		6,005		3.3364 GBP
ORD		SWAP		Long		8,804		3.3291 GBP
ORD		SWAP		Long		22,808		3.3223 GBP
ORD		CFD		Long		19,959		3.3171 GBP
ORD		CFD		Long		23,093		3.2994 GBP
ORD		SWAP		Long		159,428		3.3129 GBP
ORD		SWAP		Short		600		3.3110 GBP
ORD		SWAP		Short		800		3.3220 GBP
ORD		SWAP		Short		4,302		3.2754 GBP
ORD		CFD		Short		4,562		3.3365 GBP
ORD		CFD		Short		34,859		3.3126 GBP
ORD		SWAP		Short		44,205		3.3069 GBP
ORD		CFD		Short		98,647		3.3127 GBP
ORD		SWAP		Short		158,963		3.3125 GBP

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class of relevant security

Â

Product description e.g. call option

Â

Writing, purchasing, selling, varying etc.

Â

Number of securities to which option relates

Â

Exercise price per unit

Â

Type e.g. American, European etc.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Â

Product description e.g. call option

Â

Number of securities

Â

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

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(c), 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 person 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 person 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?

Â

NO

Date of disclosure:	Â	4 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 [e-mail]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.