Opening Position Disclosures and Dealing Disclosures should be disclosed via a Regulatory Information Service. A copy must also be sent to the Takeover Panel in electronic form.
Market Surveillance Unit
Telephone: +44 (0) 20 7638 0129
Fax: +44 (0) 20 7236 7013
The e-mail address listed above is to be used solely for transmitting disclosure forms to the Market Surveillance Unit of the Panel. Enquiries or questions about the Code should continue to be addressed by telephone or fax.
Forms and Notes:
|Form 8 (OPD)||Public Opening Position Disclosure by a party to an offer||Rules 8.1 and 8.2||N/A|
|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||Form 8.1|
|Form 8.3||Public Opening Position Disclosure/Dealing Disclosure by a person with interests in relevant securities representing 1% or more||Rule 8.3||Form 8.3|
|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)||Rules 8.5(a), (b) and (c)(i)||Form 38.5(b)|
|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(c)(ii)||Form 38.5(a)|
|Form 8.6||Private Dealing Disclosure by an exempt fund manager with no interests in securities representing 1% or more in any party||Rule 8.6||Form 8.1(b)(ii)|
|Form 8.7||Private disclosure of dealings for the account of non-discretionary investment clients by a party to an offer or person acting in concert||Rule 8.7||Form 8.2|
|Supplemental Form 8 (Open Positions)||Details of open option and derivative positions, agreements to purchase or sell etc.||Note 5(i) on Rule 8||Supplemental Forms 8 and 38.5(b)|
|Supplemental Form 8 (SBL)||Details of securities borrowing and lending and financial collateral arrangements by offerors, offeree companies and persons acting in concert||Note 5(l) on Rule 8||N/A|