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 relevant securities this form relates: Use a separate form for each offeror/offeree	LONDON STOCK EXCHANGE GROUP PLC
(c) Name of the party to the offer with which exempt principal trader is connected:	LONDON STOCK EXCHANGE GROUP PLC
(d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure	18 Sept 2019
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A”	YES HONG KONG EXCHANGES & CLEARING LTD

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:		6 79/86 p ordinary
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned
	and/or controlled:	2,355,205	0.67%	1,782,405	0.51%
		Â	Â	Â	Â
(2)	Cash-settled derivatives:	Â	Â	Â	Â
		439,215	0.13%	1,568,771	0.45%
		Â	Â	Â	Â
(3)	Stock-settled derivatives (including options)	Â	Â	Â	Â
	and agreements to purchase/sell:	0	0.00%	0	0.00%
		Â	Â	Â	Â
		Â	Â	Â	Â
	TOTAL:	2,794,420	0.80%	3,351,176	0.96%
					Â

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	Purchase/sale	Total number of	Highest price per unit	Lowest price per unit
security		securities	paid/received	paid/received
6 79/86 p ordinary	Purchase	102,581	73.2355 GBP	72.56 GBP
6 79/86 p ordinary	Sale	46,908	73.3193 GBP	72.56 GBP
				Â
(b)	Cash-settled derivative transactions
Class of	Product	Nature of dealing	Number of	Price per
relevant	description		reference	unit
security			securities
6 79/86 p ordinary	SWAP	Long	73	72.8112 GBP
6 79/86 p ordinary	SWAP	Long	119	73.1804 GBP
6 79/86 p ordinary	SWAP	Long	158	73.0837 GBP
6 79/86 p ordinary	SWAP	Long	339	73.4000 GBP
6 79/86 p ordinary	SWAP	Long	340	73.0509 GBP
6 79/86 p ordinary	SWAP	Long	383	73.1228 GBP
6 79/86 p ordinary	SWAP	Long	3,152	73.0828 GBP
6 79/86 p ordinary	CFD	Long	4,001	72.9772 GBP
6 79/86 p ordinary	CFD	Long	6,850	73.0373 GBP
6 79/86 p ordinary	CFD	Long	7,430	73.0918 GBP
6 79/86 p ordinary	SWAP	Long	12,484	72.9524 GBP
6 79/86 p ordinary	CFD	Short	8	72.8787 GBP
6 79/86 p ordinary	SWAP	Short	20	73.0282 GBP
6 79/86 p ordinary	SWAP	Short	22	73.2459 GBP
6 79/86 p ordinary	SWAP	Short	32	73.1036 GBP
6 79/86 p ordinary	SWAP	Short	73	73.0229 GBP
6 79/86 p ordinary	SWAP	Short	75	72.8908 GBP
6 79/86 p ordinary	SWAP	Short	78	72.9073 GBP
6 79/86 p ordinary	SWAP	Short	93	72.9172 GBP
6 79/86 p ordinary	SWAP	Short	114	73.2354 GBP
6 79/86 p ordinary	SWAP	Short	118	73.2127 GBP
6 79/86 p ordinary	CFD	Short	230	72.9335 GBP
6 79/86 p ordinary	SWAP	Short	293	72.9924 GBP
6 79/86 p ordinary	CFD	Short	1,045	72.8791 GBP
6 79/86 p ordinary	SWAP	Short	1,626	73.0406 GBP
6 79/86 p ordinary	SWAP	Short	1,920	73.0762 GBP
6 79/86 p ordinary	SWAP	Short	2,150	72.9908 GBP
6 79/86 p ordinary	SWAP	Short	2,810	72.8766 GBP
6 79/86 p ordinary	SWAP	Short	3,424	73.0442 GBP
6 79/86 p ordinary	CFD	Short	13,413	72.5600 GBP
6 79/86 p ordinary	SWAP	Short	24,750	72.9443 GBP
6 79/86 p ordinary	SWAP	Short	40,363	72.7649 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
Â	Â	Â	Â	Â	Â	Â	Â

(ii) Exercise

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

(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)
Â	  Â	Â	Â

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 Â

(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 Â

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

NO

Date of disclosure:	19 Sept 2019
Contact name:	Large Holdings Regulatory Operations
Telephone number:	020 3134 7213

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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