Form 8.5 (EPT/NON-RI) - London Stock Exchange G...

Form 8.5 (EPT/NON-RI) - London Stock Exchange Group plc - Amendment

BARCLAYS PLC

 

FORM 8.5 (EPT/NON-RI) - Amendment to Purchase

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:	01 October 2019
(e)	In addition to the company in 1(b) above, is the exempt principal	NO:
	trader making disclosures in respect of any other party to the offer?
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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:	2,389,951	0.68%	1,692,255	0.48%
					Â
(2)	Cash-settled derivatives:
		362,297	0.10%	1,581,524	0.45%
					Â
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
					Â
					Â
	TOTAL:	2,752,248	0.79%	3,273,779	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	74,633	73.4341 GBP	72.5 GBP
6 79/86 p ordinary	Sale	76,156	73.3693 GBP	72.4721 GBP

(b) Cash-settled derivative transactions

Class of	Product	Nature of dealing	Number of	Price per
relevant	description		reference	unit
security			securities	Â
6 79/86 p ordinary	SWAP	Long	18	73.1218 GBP
6 79/86 p ordinary	CFD	Long	20	72.8060 GBP
6 79/86 p ordinary	SWAP	Long	54	73.6600 GBP
6 79/86 p ordinary	CFD	Long	66	72.5334 GBP
6 79/86 p ordinary	SWAP	Long	173	72.8017 GBP
6 79/86 p ordinary	CFD	Long	181	73.0144 GBP
6 79/86 p ordinary	SWAP	Long	333	73.4192 GBP
6 79/86 p ordinary	CFD	Long	527	72.8061 GBP
6 79/86 p ordinary	SWAP	Long	697	72.7129 GBP
6 79/86 p ordinary	SWAP	Long	718	72.6482 GBP
6 79/86 p ordinary	SWAP	Long	832	72.7646 GBP
6 79/86 p ordinary	CFD	Long	2,579	73.0599 GBP
6 79/86 p ordinary	CFD	Long	2,933	73.0946 GBP
6 79/86 p ordinary	SWAP	Long	13,318	72.7385 GBP
6 79/86 p ordinary	SWAP	Long	39,115	73.0387 GBP
6 79/86 p ordinary	CFD	Short	12	73.4341 GBP
6 79/86 p ordinary	CFD	Short	18	72.7994 GBP
6 79/86 p ordinary	CFD	Short	19	73.0636 GBP
6 79/86 p ordinary	SWAP	Short	38	73.2884 GBP
6 79/86 p ordinary	SWAP	Short	53	73.2000 GBP
6 79/86 p ordinary	CFD	Short	56	72.5644 GBP
6 79/86 p ordinary	SWAP	Short	93	73.2882 GBP
6 79/86 p ordinary	SWAP	Short	139	73.2418 GBP
6 79/86 p ordinary	SWAP	Short	219	73.2883 GBP
6 79/86 p ordinary	CFD	Short	584	72.4735 GBP
6 79/86 p ordinary	CFD	Short	962	73.2448 GBP
6 79/86 p ordinary	SWAP	Short	966	72.8123 GBP
6 79/86 p ordinary	SWAP	Short	1,759	72.9158 GBP
6 79/86 p ordinary	CFD	Short	12,106	72.7995 GBP
6 79/86 p ordinary	SWAP	Short	18,185	72.5752 GBP
6 79/86 p ordinary	SWAP	Short	22,504	72.8416 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
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(ii) Exercise

Class of relevant security	Product description e.g. call option	Exercising/ exercised against	Number of securities	Exercise price per unit
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(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/20191007005447/en/