OLD MUTUAL PLC - Public Opening Position Disclosure/Dealing Disclosure by a Person with Interests in Relevant Securities Representing

Release Date: 05/01/2015 09:00
Code(s): OML
 
Wrap Text
Public Opening Position Disclosure/Dealing Disclosure by a Person with Interests in Relevant Securities Representing

OLD MUTUAL PLC
ISIN CODE: GB00B77J0862
JSE SHARE CODE: OML
NSX SHARE CODE: OLM
ISSUER CODE: OLOMOL
                                                                                        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) Full name of discloser:                                              Old Mutual plc
                                                                        (and subsidiaries)
(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                         Aviva PLC
    relevant securities this form relates:
                                                                   ISIN – GB0002162385
    Use a separate form for each offeror/offeree
(d) If an exempt fund manager connected with an
    offeror/offeree, state this and specify identity of
    offeror/offeree:
(e) Date position held/dealing undertaken:                              31 December 2014
    For an opening position disclosure, state the latest
    practicable date prior to the disclosure
(f) In addition to the company in 1(c) above, is the             Yes – Friends Life Group Ltd
    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”

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 (if any)

Class of relevant security:

                                                   Interests                 Short positions
                                                Number            %          Number          %
(1) Relevant securities owned                  19,142,527       0.65%
    and/or controlled:
(2) Cash-settled derivatives:

(3) Stock-settled derivatives
    (including options) and
    agreements to purchase/sell:
                                               19,142,527       0.65%
      TOTAL: 
                                                                                                    2


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 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

  Class of relevant         Purchase/sale               Number of              Price per unit
      security                                          securities
        ORD                       Sale                    -1,650                   GBP 5.09

          ORD                     Sale                    -8,000                   GBP 5.09
          ORD                     Sale                    -3,650                   GBP 5.09
          ORD                     Sale                    -725                     GBP 4.99
          ORD                     Sale                    -800                     GBP 5.09
          ORD                     Sale                    -2700                    GBP 5.06

(b)      Cash-settled derivative transactions

      Class of       Product             Nature of dealing            Number of       Price per
      relevant      description       e.g. opening/closing a          reference          unit
      security       e.g. CFD           long/short position,          securities
                                      increasing/reducing a
                                         long/short position



(c)      Stock-settled derivative transactions (including options)

(i)      Writing, selling, purchasing or varying

 Class       Product         Writing,       Number      Exercise        Type       Expiry    Option
   of       description    purchasing,          of       price           e.g.       date     money
relevant      e.g. call      selling,      securities   per unit      American,               paid/
security       option      varying etc.     to which                  European              received
                                             option                      etc.                per unit
                                             relates
                                                                                                    3

(ii)      Exercise

       Class of          Product          Exercising/      Number of        Exercise price
       relevant        description         exercised       securities          per unit
       security       e.g. call option      against



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

Class of relevant            Nature of dealing            Details         Price per unit (if
    security           e.g. subscription, conversion                        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 person 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”




(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”




(c)       Attachments

Is a Supplemental Form 8 (Open Positions) attached?                            YES/NO



Date of disclosure:                                          02 January 2015

Contact name:                                                  Rose Coyle

Telephone number:                                             0207 002 7503


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
disclosure requirements on +44 (0)20 7638 0129.
                                                                                                    4


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



Sponsor:
Merrill Lynch South Africa (Pty) Ltd

Joint Sponsor:
Nedbank Capital

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