FORM 8.5 (EPT/NON-RI) - LONDON STOCK EXCHANGE G...

FORM 8.5 (EPT/NON-RI) - LONDON STOCK EXCHANGE GROUP PLC

BARCLAYS PLC

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 LONDON STOCK EXCHANGE GROUP PLC
  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt LONDON STOCK EXCHANGE GROUP PLC
  principal trader is connected  
(d) Date position held/dealing undertaken: 23 February 2016
(e) In addition to the company in 1(b) above, is the exempt principal YES
  trader making disclosures in respect of any other party to the offer? DEUTSCHE BOERSE AG

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:       ORD            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 2,813,412 0.81% 1,564,419 0.45%
           
(2) Cash-settled derivatives:
754,502 0.22% 2,276,924 0.65%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
 
TOTAL: 3,567,914 1.02% 3,841,343 1.10%

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
ORD Purchase 797,077 27.1190 GBP 22.72 GBP
ORD Sale 811,150 27.1190 GBP 22.72 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 1,386 25.4693 GBP
ORD CFD Long 1,500 25.1090 GBP
ORD CFD Long 1,508 26.1337 GBP
ORD CFD Long 1,542 26.5356 GBP
ORD SWAP Long 3,025 26.0757 GBP
ORD CFD Long 3,132 26.9382 GBP
ORD CFD Long 5,000 26.9600 GBP
ORD CFD Long 5,059 26.1587 GBP
ORD SWAP Long 8,091 24.9256 GBP
ORD CFD Long 8,368 24.2891 GBP
ORD SWAP Long 9,289 25.8833 GBP
ORD SWAP Long 10,416 25.6090 GBP
ORD CFD Long 7,472 27.0810 GBP
ORD SWAP Long 16,015 25.8640 GBP
ORD SWAP Long 20,716 26.0407 GBP
ORD SWAP Long 33,152 25.8004 GBP
ORD SWAP Long 68,075 25.9640 GBP
ORD SWAP Expires 13/01/2017 Long 153,500 25.9681 GBP
ORD SWAP Short 36 25.7033 GBP
ORD SWAP Short 206 26.0212 GBP
ORD SWAP Short 541 25.4767 GBP
ORD CFD Short 1,500 24.5810 GBP
ORD CFD Short 2,056 24.9600 GBP
ORD CFD Short 2,291 26.1911 GBP
ORD SWAP Short 3,017 22.8983 GBP
ORD SWAP Short 3,898 22.9165 GBP
ORD SWAP Short 3,933 25.7032 GBP
ORD SWAP Short 4,138 22.9637 GBP
ORD CFD Short 5,000 27.0661 GBP
ORD SWAP Short 9,087 22.9117 GBP
ORD CFD Short 6,842 25.5548 GBP
ORD CFD Short 15,966 23.9578 GBP
ORD CFD Short 20,311 26.0549 GBP
ORD SWAP Short 22,592 26.0213 GBP
ORD SWAP Short 24,523 26.3078 GBP
ORD SWAP Short 27,844 26.2702 GBP
ORD SWAP Short 31,819 26.4779 GBP
ORD SWAP Short 48,635 26.0822 GBP
ORD SWAP Short 77,840 25.6101 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”

(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”

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?   NO
Date of disclosure: 24 Feb 2016
Contact name: Andrew Hurley
Telephone number: 020 3555 3445

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.

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

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