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
Â	relevant securities this form relates:
(c)	Name of the party to the offer with which exempt	LONDON STOCK EXCHANGE GROUP PLC
Â	principal trader is connected
(d)	Date position held/dealing undertaken:	03 October 2019
(e)	In addition to the company in 1(b) above, is the exempt principalÂ	YES:
Â	trader making disclosures in respect of any other party to the offer?	HONG KONG EXCHANGES & CLEARING LTD
Â		Â
Â		Â

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	Â	Â
Â		Interests		Short Positions
Â		Number	(%)	Number	(%)
(1)	Relevant securities owned	Â	Â	Â	Â
	and/or controlled:	2,537,524	0.73%	1,601,889	0.46%
Â		Â	Â	Â	Â
(2)	Cash-settled derivatives:	Â	Â	Â	Â
	Â	266,780	0.08%	1,577,700	0.45%
Â		Â	Â	Â	Â
(3)	Stock-settled derivatives (including options)Â	Â	Â	Â	Â
	and agreements to purchase/sell:	0	0.00%	0	0.00%
Â		Â	Â	Â	Â
	Â	Â	Â	Â	Â
	TOTAL:	2,804,304	0.80%	3,179,589	0.91%
		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	Â	securities	paid/received	paid/received
6 79/86 p ordinary	Purchase	262,963	71.6800   GBP	70.2   GBP
6 79/86 p ordinary	Sale	109,313	71.6832   GBP	70.2   GBP

(b) Cash-settled derivative transactions

Class of	Product	Nature of dealing	Number of	Price per
relevant	description	Â	reference	unit
security	Â	Â	securities	Â
6 79/86 p ordinary	  SWAP Â	Long	10	70.5988   GBP
6 79/86 p ordinary	  SWAP Â	Long	13	71.1083   GBP
6 79/86 p ordinary	  SWAP Â	Long	14	70.8600   GBP
6 79/86 p ordinary	  SWAP Â	Long	36	71.1644   GBP
6 79/86 p ordinary	  SWAP Â	Long	38	71.2133   GBP
6 79/86 p ordinary	  SWAP Â	Long	39	71.0723   GBP
6 79/86 p ordinary	  SWAP Â	Long	58	70.9562   GBP
6 79/86 p ordinary	  SWAP Â	Long	110	71.0486   GBP
6 79/86 p ordinary	  SWAP Â	Long	112	70.8647   GBP
6 79/86 p ordinary	  SWAP Â	Long	542	71.1992   GBP
6 79/86 p ordinary	  SWAP Â	Long	761	71.0256   GBP
6 79/86 p ordinary	  CFD Â	Long	854	70.9775   GBP
6 79/86 p ordinary	  SWAP Â	Long	2,182	71.4286   GBP
6 79/86 p ordinary	  SWAP Â	Long	2,250	71.1244   GBP
6 79/86 p ordinary	  SWAP Â	Long	2,492	71.6800   GBP
6 79/86 p ordinary	  SWAP Â	Long	24,879	71.4150   GBP
6 79/86 p ordinary	  SWAP Â	Long	39,734	71.3455   GBP
6 79/86 p ordinary	  CFD Â	Short	5	70.9880   GBP
6 79/86 p ordinary	  CFD Â	Short	11	70.7472   GBP
6 79/86 p ordinary	  CFD Â	Short	21	71.1542   GBP
6 79/86 p ordinary	  CFD Â	Short	59	71.2666   GBP
6 79/86 p ordinary	  SWAP Â	Short	124	71.1206   GBP
6 79/86 p ordinary	  CFD Â	Short	641	71.2665   GBP
6 79/86 p ordinary	  CFD Â	Short	725	70.9754   GBP
6 79/86 p ordinary	  SWAP Â	Short	1,214	72.6241   GBP
6 79/86 p ordinary	  SWAP Â	Short	1,754	71.1363   GBP
6 79/86 p ordinary	  SWAP Â	Short	2,336	73.1176   GBP
6 79/86 p ordinary	  CFD Â	Short	2,581	71.1328   GBP
6 79/86 p ordinary	  CFD Â	Short	4,753	71.2669   GBP
6 79/86 p ordinary	  SWAP Â	Short	6,141	70.9126   GBP
6 79/86 p ordinary	  SWAP Â	Short	16,943	71.0742   GBP
6 79/86 p ordinary	  CFD Â	Short	19,637	71.2426   GBP
6 79/86 p ordinary	  SWAP Â	Short	24,851	71.1205   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:	4 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/20191004005248/en/