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)	Â	Name of exempt principal trader:	Â	BARCLAYS CAPITAL SECURITIES LTD
(b)		Name of offeror/offeree in relation to whose		LONDON STOCK EXCHANGE GROUP PLC
Â		relevant securities this form relates:		Â
(c)		Name of the party to the offer with which exempt		LONDON STOCK EXCHANGE GROUP PLC
Â		principal trader is connected		Â
(d)		Date position held/dealing undertaken:		23 March 2017
(e)		In addition to the company in 1(b) above, is the exempt principal		YES:
Â		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:	Â	Â	Â	ORD
				Interests			Â	Short Positions
Â		Â		Number	Â	(%)		Number	Â	(%)
(1)		Relevant securities owned
		and/or controlled:		1,696,765		0.48%		874,958		0.25%
Â		Â		Â		Â		Â		Â
(2)		Cash-settled derivatives:
				77,313		0.02%		982,552		0.28%
Â		Â		Â		Â		Â		Â
(3)		Stock-settled derivatives (including options)
		and agreements to purchase/sell:		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)
		TOTAL:		1,774,078		0.51%		1,857,510		0.53%

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

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	Â	Purchase/sale	Â	Total number of	Â	Highest price per unit	Â	Lowest price per unit
security		Â		securities		paid/received		paid/received
ORD		Purchase		92,189		30.4443 GBP		30.105 GBP
ORD		Sale		19,696		30.3918 GBP		30.101 GBP
ADR		Purchase		200		9.6100 USD		9.61 USD
ADR		Sale		200		9.6100 USD		9.61 USD

(b) Cash-settled derivative transactions

Class of	Â	Product	Â	Nature of dealing	Â	Number of	Â	Price per
relevant		description				reference		unit
security		Â		Â		securities		Â
ORD		CFD		Long		53		30.3918 GBP
ORD		CFD		Long		129		30.1295 GBP
ORD		CFD		Long		309		30.2039 GBP
ORD		CFD		Long		327		30.2560 GBP
ORD		SWAP		Long		416		30.3818 GBP
ORD		SWAP		Long		946		30.2890 GBP
ORD		SWAP		Long		2,823		30.3747 GBP
ORD		SWAP		Long		6,103		30.3389 GBP
ORD		CFD		Short		50		30.4228 GBP
ORD		CFD		Short		58		30.3318 GBP
ORD		SWAP		Short		190		30.4189 GBP
ORD		SWAP		Short		507		30.3776 GBP
ORD		CFD		Short		866		30.4119 GBP
ORD		CFD		Short		1,073		30.2633 GBP
ORD		SWAP		Short		1,377		30.4008 GBP
ORD		CFD		Short		1,473		30.4443 GBP
ORD		SWAP		Short		1,705		30.3488 GBP
ORD		CFD		Short		2,168		30.4084 GBP
ORD		SWAP		Short		3,932		30.3300 GBP
ORD		SWAP		Short		32,223		30.3894 GBP
ORD		SWAP		Short		39,789		30.3463 GBP

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

(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) Exercise

Class of relevant security

Â

Product description e.g. call option

Â

Exercising/ exercised against

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)

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”

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

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?	Â	NO
Date of disclosure:		24 Mar 2017
Contact name:		Hemika Mistry
Telephone number:		020 7116 3891

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on [phone].

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

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