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	20 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:	2,410,051	0.69%	1,743,711	0.50%
					Â
(2)	Cash-settled derivatives:
		404,875	0.12%	1,574,391	0.45%
					Â
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
					Â
					Â
	TOTAL:	2,814,926	0.80%	3,318,102	0.95%
					Â

Class of relevant security: Â	Â
  Â	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	Â	Â	Â	Â
(2) Cash-settled derivatives: Â	Â	Â	Â	Â
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:	Â	Â	Â	Â
  TOTAL:	Â	Â	Â	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	123,176	72.5000 GBP	71.88 GBP
6 79/86 p ordinary	Sale	115,309	72.5000 GBP	71.8 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	CFD	Long	4	72.0725 GBP
6 79/86 p ordinary	SWAP	Long	58	71.8593 GBP
6 79/86 p ordinary	CFD	Long	250	72.1535 GBP
6 79/86 p ordinary	CFD	Long	359	72.1880 GBP
6 79/86 p ordinary	CFD	Long	416	72.2102 GBP
6 79/86 p ordinary	SWAP	Long	517	71.9091 GBP
6 79/86 p ordinary	SWAP	Long	1,558	72.0432 GBP
6 79/86 p ordinary	SWAP	Long	12,470	72.2408 GBP
6 79/86 p ordinary	CFD	Long	17,176	72.4942 GBP
6 79/86 p ordinary	SWAP	Long	40,383	72.0937 GBP
6 79/86 p ordinary	SWAP	Short	1	72.1072 GBP
6 79/86 p ordinary	SWAP	Short	13	72.3672 GBP
6 79/86 p ordinary	CFD	Short	23	72.2673 GBP
6 79/86 p ordinary	CFD	Short	70	72.1817 GBP
6 79/86 p ordinary	SWAP	Short	71	71.9722 GBP
6 79/86 p ordinary	SWAP	Short	91	72.0058 GBP
6 79/86 p ordinary	SWAP	Short	112	72.3454 GBP
6 79/86 p ordinary	SWAP	Short	164	72.5000 GBP
6 79/86 p ordinary	SWAP	Short	190	72.2461 GBP
6 79/86 p ordinary	CFD	Short	412	72.3665 GBP
6 79/86 p ordinary	CFD	Short	522	72.1816 GBP
6 79/86 p ordinary	SWAP	Short	698	72.2564 GBP
6 79/86 p ordinary	SWAP	Short	1,006	71.9709 GBP
6 79/86 p ordinary	CFD	Short	1,360	72.2292 GBP
6 79/86 p ordinary	SWAP	Short	1,751	71.9755 GBP
6 79/86 p ordinary	SWAP	Short	2,000	72.4283 GBP
6 79/86 p ordinary	SWAP	Short	6,062	71.6800 GBP
6 79/86 p ordinary	SWAP	Short	6,125	72.1184 GBP
6 79/86 p ordinary	CFD	Short	11,504	71.6857 GBP
6 79/86 p ordinary	SWAP	Short	23,858	72.1346 GBP
6 79/86 p ordinary	SWAP	Short	26,114	71.8394 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:	23 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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20190923005378/en/