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:	07 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?
		Â
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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	Â	Â	Â	Â
	and/or controlled:	2,589,006	0.74%	1,617,321	0.46%
		Â	Â	Â	Â
(2)	Cash-settled derivatives:	Â	Â	Â	Â
		280,118	0.08%	1,629,018	0.47%
		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
		Â	Â	Â	Â
	TOTAL:	2,869,124	0.82%	3,246,339	0.93%
		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		securities	paid/received	paid/received
6 79/86 p ordinary	Purchase	106,618	74.7925 GBP	73.72 GBP
6 79/86 p ordinary	Sale	70,739	74.7400 GBP	73.72 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	SWAP	Long	35	74.8591 GBP
6 79/86 p ordinary	CFD	Long	57	74.5192 GBP
6 79/86 p ordinary	CFD	Long	180	74.3077 GBP
6 79/86 p ordinary	SWAP	Long	219	74.5712 GBP
6 79/86 p ordinary	SWAP	Long	973	74.3243 GBP
6 79/86 p ordinary	SWAP	Long	2,269	74.4302 GBP
6 79/86 p ordinary	CFD	Long	2,715	74.4850 GBP
6 79/86 p ordinary	SWAP	Long	3,762	74.4148 GBP
6 79/86 p ordinary	SWAP	Long	16,860	74.0650 GBP
6 79/86 p ordinary	SWAP	Long	21,697	74.3683 GBP
6 79/86 p ordinary	SWAP	Short	15	74.4273 GBP
6 79/86 p ordinary	SWAP	Short	40	74.3209 GBP
6 79/86 p ordinary	CFD	Short	47	73.9385 GBP
6 79/86 p ordinary	SWAP	Short	49	74.2348 GBP
6 79/86 p ordinary	SWAP	Short	85	74.4274 GBP
6 79/86 p ordinary	SWAP	Short	103	73.8062 GBP
6 79/86 p ordinary	CFD	Short	109	73.9963 GBP
6 79/86 p ordinary	SWAP	Short	156	74.7012 GBP
6 79/86 p ordinary	CFD	Short	158	74.5243 GBP
6 79/86 p ordinary	SWAP	Short	234	74.3289 GBP
6 79/86 p ordinary	SWAP	Short	263	74.5500 GBP
6 79/86 p ordinary	SWAP	Short	264	74.6486 GBP
6 79/86 p ordinary	CFD	Short	273	74.3498 GBP
6 79/86 p ordinary	SWAP	Short	283	74.2380 GBP
6 79/86 p ordinary	SWAP	Short	287	74.3916 GBP
6 79/86 p ordinary	SWAP	Short	414	74.3785 GBP
6 79/86 p ordinary	CFD	Short	416	73.9962 GBP
6 79/86 p ordinary	SWAP	Short	425	74.3455 GBP
6 79/86 p ordinary	SWAP	Short	581	74.3347 GBP
6 79/86 p ordinary	SWAP	Short	734	74.2876 GBP
6 79/86 p ordinary	SWAP	Short	1,060	74.2772 GBP
6 79/86 p ordinary	SWAP	Short	1,358	74.3173 GBP
6 79/86 p ordinary	SWAP	Short	1,437	74.4603 GBP
6 79/86 p ordinary	SWAP	Short	1,666	74.3920 GBP
6 79/86 p ordinary	SWAP	Short	2,400	74.3790 GBP
6 79/86 p ordinary	SWAP	Short	2,453	74.3458 GBP
6 79/86 p ordinary	SWAP	Short	2,526	74.1952 GBP
6 79/86 p ordinary	SWAP	Short	6,558	74.6509 GBP
6 79/86 p ordinary	SWAP	Short	8,388	74.4614 GBP
6 79/86 p ordinary	SWAP	Short	23,655	74.5657 GBP
6 79/86 p ordinary	SWAP	Short	33,158	74.4288 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
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:	8 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/20191008005432/en/