CARILLION PLC
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | Morgan Stanley Securities Limited |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | CARILLION PLC |
(c) Name of the party to the offer with which exempt principal trader is connected: | CARILLION PLC |
(d) Date dealing undertaken: | 08 AUGUST 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | Yes |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchases/sales | Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
50P ORDINARY | PURCHASES | 755,545 | 3.2750 GBP | 3.1440 GBP |
50P ORDINARY | SALES | 695,352 | 3.2170 GBP | 3.1500 GBP |
(b) Derivatives transactions (other than options)
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 |
50P ORDINARY | CFD | LONG | 438 | 3.1650 GBP |
50P ORDINARY | CFD | LONG | 295 | 3.1700 GBP |
50P ORDINARY | CFD | LONG | 3,353 | 3.1710 GBP |
50P ORDINARY | CFD | LONG | 2,527 | 3.1720 GBP |
50P ORDINARY | CFD | LONG | 629 | 3.1724 GBP |
50P ORDINARY | CFD | LONG | 72 | 3.1724 GBP |
50P ORDINARY | CFD | LONG | 1,288 | 3.1730 GBP |
50P ORDINARY | CFD | LONG | 2,572 | 3.1740 GBP |
50P ORDINARY | CFD | LONG | 461 | 3.1747 GBP |
50P ORDINARY | CFD | LONG | 1,292 | 3.1750 GBP |
50P ORDINARY | CFD | LONG | 2,162 | 3.1760 GBP |
50P ORDINARY | CFD | LONG | 1,571 | 3.1780 GBP |
50P ORDINARY | CFD | LONG | 633 | 3.1784 GBP |
50P ORDINARY | CFD | LONG | 60 | 3.1784 GBP |
50P ORDINARY | CFD | LONG | 2,316 | 3.1784 GBP |
50P ORDINARY | CFD | LONG | 835 | 3.1790 GBP |
50P ORDINARY | CFD | LONG | 1,528 | 3.1800 GBP |
50P ORDINARY | CFD | LONG | 5,612 | 3.1808 GBP |
50P ORDINARY | CFD | LONG | 251 | 3.1810 GBP |
50P ORDINARY | CFD | LONG | 985 | 3.1820 GBP |
50P ORDINARY | CFD | LONG | 415 | 3.1840 GBP |
50P ORDINARY | CFD | LONG | 1,651 | 3.1852 GBP |
50P ORDINARY | CFD | LONG | 452 | 3.1920 GBP |
50P ORDINARY | CFD | LONG | 27,769 | 3.1921 GBP |
50P ORDINARY | CFD | LONG | 107,044 | 3.1921 GBP |
50P ORDINARY | CFD | LONG | 265 | 3.1930 GBP |
50P ORDINARY | CFD | LONG | 1,402 | 3.2036 GBP |
50P ORDINARY | CFD | LONG | 78 | 3.2070 GBP |
50P ORDINARY | CFD | LONG | 63,884 | 3.2070 GBP |
50P ORDINARY | CFD | LONG | 3 | 3.2070 GBP |
50P ORDINARY | CFD | LONG | 153 | 3.2070 GBP |
50P ORDINARY | CFD | SHORT | 572 | 3.1700 GBP |
50P ORDINARY | CFD | SHORT | 661 | 3.1700 GBP |
50P ORDINARY | CFD | SHORT | 3,255 | 3.1717 GBP |
50P ORDINARY | CFD | SHORT | 419 | 3.1720 GBP |
50P ORDINARY | CFD | SHORT | 1,800 | 3.1799 GBP |
50P ORDINARY | CFD | SHORT | 15,421 | 3.1950 GBP |
50P ORDINARY | CFD | SHORT | 107,044 | 3.1950 GBP |
50P ORDINARY | CFD | SHORT | 39,401 | 3.1951 GBP |
50P ORDINARY | CFD | SHORT | 1,927 | 3.1992 GBP |
50P ORDINARY | CFD | SHORT | 14,975 | 3.1993 GBP |
50P ORDINARY | CFD | SHORT | 16,254 | 3.2016 GBP |
50P ORDINARY | CFD | SHORT | 69 | 3.2030 GBP |
50P ORDINARY | CFD | SHORT | 230 | 3.2053 GBP |
50P ORDINARY | CFD | SHORT | 1,507 | 3.2070 GBP |
50P ORDINARY | CFD | SHORT | 326 | 3.2070 GBP |
50P ORDINARY | CFD | SHORT | 457 | 3.2070 GBP |
50P ORDINARY | CFD | SHORT | 417 | 3.2070 GBP |
50P ORDINARY | CFD | SHORT | 3,323 | 3.2070 GBP |
50P ORDINARY | CFD | SHORT | 50,000 | 3.2750 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 |
N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
N/A | N/A | N/A | N/A |
(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) |
N/A | N/A | N/A | N/A |
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 2(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
3. 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 |
| Date of disclosure: | 11 AUGUST 2014 |
| Contact name: | Darren Wickert |
| Telephone number: | +44 (0)20 7425 6578 |
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 atmonitoring@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 atwww.thetakeoverpanel.org.uk.
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