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:	04 October 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
		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
		Interests		Short Positions
		Number	(%)	Number	(%)
(1)	Relevant securities owned	Â	Â	Â	Â
	and/or controlled:	2,542,756	0.73%	1,606,450	0.46%
		Â	Â	Â	Â
(2)	Cash-settled derivatives:	Â	Â	Â	Â
		274,406	0.08%	1,582,478	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
(4)		Â	Â	Â	Â
	TOTAL:	2,817,162	0.81%	3,188,928	0.91%
					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	101,155	73.8200 GBP	72.8882 GBP
6 79/86 p ordinary	Sale	100,479	73.8200 GBP	71.68 GBP

(b) Cash-settled derivative transactions

Class of	Product	Nature of dealing	Number of	Price per
relevant	description		reference	unit
security	Â	Â	securities	Â
6 79/86 p ordinary	SWAP	Long	10	73.0600 GBP
6 79/86 p ordinary	SWAP	Long	14	72.7200 GBP
6 79/86 p ordinary	SWAP	Long	115	73.0000 GBP
6 79/86 p ordinary	SWAP	Long	125	71.6800 GBP
6 79/86 p ordinary	CFD	Long	281	73.5045 GBP
6 79/86 p ordinary	SWAP	Long	293	73.1816 GBP
6 79/86 p ordinary	CFD	Long	1,102	73.5689 GBP
6 79/86 p ordinary	CFD	Long	3,113	73.5311 GBP
6 79/86 p ordinary	SWAP	Long	3,844	73.2759 GBP
6 79/86 p ordinary	SWAP	Long	6,043	73.2909 GBP
6 79/86 p ordinary	SWAP	Long	15,601	73.1669 GBP
6 79/86 p ordinary	SWAP	Long	20,545	73.3042 GBP
6 79/86 p ordinary	SWAP	Short	9	73.2400 GBP
6 79/86 p ordinary	SWAP	Short	37	73.0608 GBP
6 79/86 p ordinary	SWAP	Short	46	73.1400 GBP
6 79/86 p ordinary	CFD	Short	83	73.5173 GBP
6 79/86 p ordinary	SWAP	Short	115	73.0000 GBP
6 79/86 p ordinary	CFD	Short	152	73.5172 GBP
6 79/86 p ordinary	SWAP	Short	329	73.4169 GBP
6 79/86 p ordinary	SWAP	Short	805	73.8207 GBP
6 79/86 p ordinary	CFD	Short	1,000	73.2060 GBP
6 79/86 p ordinary	SWAP	Short	1,204	73.4056 GBP
6 79/86 p ordinary	CFD	Short	1,740	73.8259 GBP
6 79/86 p ordinary	SWAP	Short	3,379	73.0256 GBP
6 79/86 p ordinary	SWAP	Short	5,216	73.2411 GBP
6 79/86 p ordinary	SWAP	Short	6,881	73.8757 GBP
6 79/86 p ordinary	SWAP	Short	27,242	73.5724 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:	7 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/20191007005347/en/