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	30 September 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:	2,394,696	0.68%	1,694,935	0.48%
					Â
(2)	Cash-settled derivatives:
		365,450	0.10%	1,588,528	0.45%
					Â
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
					Â
					Â
	TOTAL:	2,760,146	0.79%	3,283,463	0.94%
					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	149,904	73.9200 GBP	73.08 GBP
6 79/86 p ordinary	Sale	73,496	73.9200 GBP	73.0832 GBP
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(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	1	73.5600 GBP
6 79/86 p ordinary	CFD	Long	75	73.7489 GBP
6 79/86 p ordinary	CFD	Long	415	73.6873 GBP
6 79/86 p ordinary	CFD	Long	529	73.6876 GBP
6 79/86 p ordinary	CFD	Long	659	73.7704 GBP
6 79/86 p ordinary	SWAP	Long	790	73.6386 GBP
6 79/86 p ordinary	SWAP	Long	3,910	73.5185 GBP
6 79/86 p ordinary	SWAP	Long	31,147	73.3987 GBP
6 79/86 p ordinary	SWAP	Short	2	73.7400 GBP
6 79/86 p ordinary	CFD	Short	16	73.4550 GBP
6 79/86 p ordinary	CFD	Short	25	73.2864 GBP
6 79/86 p ordinary	SWAP	Short	48	73.5800 GBP
6 79/86 p ordinary	SWAP	Short	50	73.8020 GBP
6 79/86 p ordinary	CFD	Short	186	73.5127 GBP
6 79/86 p ordinary	CFD	Short	253	73.6062 GBP
6 79/86 p ordinary	SWAP	Short	624	73.2426 GBP
6 79/86 p ordinary	SWAP	Short	1,022	73.0986 GBP
6 79/86 p ordinary	SWAP	Short	2,026	73.8800 GBP
6 79/86 p ordinary	CFD	Short	3,393	73.1037 GBP
6 79/86 p ordinary	CFD	Short	11,803	73.4551 GBP
6 79/86 p ordinary	SWAP	Short	23,997	73.1920 GBP
6 79/86 p ordinary	SWAP	Short	27,905	73.2347 GBP
6 79/86 p ordinary	SWAP	Short	36,597	73.0800 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:	1 Oct 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/20191001005628/en/