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: 27 September 2019
(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?

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:

2,380,815

0.68%

1,758,842

0.50%

 

(2)

Cash-settled derivatives:

428,957

0.12%

1,581,614

0.45%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

TOTAL:

2,809,772

0.80%

3,340,456

0.96%

 

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

6 79/86 p ordinary Purchase

147,991

74.8600 GBP

73.1854 GBP

6 79/86 p ordinary Sale

126,543

74.9600 GBP

73.32 GBP

(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

25

73.3136 GBP

6 79/86 p ordinary CFD Long

209

73.7062 GBP

6 79/86 p ordinary SWAP Long

341

73.9292 GBP

6 79/86 p ordinary SWAP Long

782

73.8747 GBP

6 79/86 p ordinary CFD Long

1,312

73.3603 GBP

6 79/86 p ordinary CFD Long

1,329

73.2551 GBP

6 79/86 p ordinary SWAP Long

1,485

73.5229 GBP

6 79/86 p ordinary CFD Long

2,400

74.3593 GBP

6 79/86 p ordinary SWAP Long

7,961

73.7025 GBP

6 79/86 p ordinary SWAP Long

25,802

73.6040 GBP

6 79/86 p ordinary SWAP Short

5

73.3073 GBP

6 79/86 p ordinary SWAP Short

22

74.4259 GBP

6 79/86 p ordinary CFD Short

59

73.8030 GBP

6 79/86 p ordinary SWAP Short

65

73.2345 GBP

6 79/86 p ordinary SWAP Short

65

73.2629 GBP

6 79/86 p ordinary SWAP Short

77

73.3051 GBP

6 79/86 p ordinary SWAP Short

118

73.2970 GBP

6 79/86 p ordinary SWAP Short

189

74.8600 GBP

6 79/86 p ordinary SWAP Short

266

73.1854 GBP

6 79/86 p ordinary SWAP Short

296

74.0544 GBP

6 79/86 p ordinary SWAP Short

514

73.5864 GBP

6 79/86 p ordinary SWAP Short

554

73.2830 GBP

6 79/86 p ordinary SWAP Short

890

74.8575 GBP

6 79/86 p ordinary CFD Short

1,124

73.4599 GBP

6 79/86 p ordinary SWAP Short

1,496

73.5926 GBP

6 79/86 p ordinary CFD Short

1,849

73.6934 GBP

6 79/86 p ordinary SWAP Short

2,202

74.6783 GBP

6 79/86 p ordinary CFD Short

5,931

73.7111 GBP

6 79/86 p ordinary SWAP Short

9,022

73.5888 GBP

6 79/86 p ordinary CFD Short

10,795

73.8029 GBP

6 79/86 p ordinary SWAP Short

27,503

73.9196 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”

 

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? NO
Date of disclosure:

30 Sep 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 +44 (0)20 7638 0129.

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

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