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:	08 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

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:	3,009,386	0.86%	1,646,118	0.47%
					Â
(2)	Cash-settled derivatives:
		308,736	0.09%	2,035,445	0.58%
					Â
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
					Â
					Â
	TOTAL:	3,318,122	0.95%	3,681,563	1.05%

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	693,059	71.2600 GBP	69.56 GBP
6 79/86 p ordinary	Sale	251,414	71.2600 GBP	69.6848 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	CFD	Long	4	69.9950 GBP
6 79/86 p ordinary	SWAP	Long	43	71.0600 GBP
6 79/86 p ordinary	SWAP	Long	75	71.0840 GBP
6 79/86 p ordinary	SWAP	Long	326	70.5710 GBP
6 79/86 p ordinary	CFD	Long	334	69.7767 GBP
6 79/86 p ordinary	SWAP	Long	585	71.3200 GBP
6 79/86 p ordinary	SWAP	Long	866	70.0436 GBP
6 79/86 p ordinary	SWAP	Long	983	69.5500 GBP
6 79/86 p ordinary	CFD	Long	999	69.7918 GBP
6 79/86 p ordinary	CFD	Long	1,258	70.2343 GBP
6 79/86 p ordinary	SWAP	Long	1,630	70.8548 GBP
6 79/86 p ordinary	SWAP	Long	1,877	70.0586 GBP
6 79/86 p ordinary	SWAP	Long	3,256	70.7137 GBP
6 79/86 p ordinary	CFD	Long	3,616	70.9465 GBP
6 79/86 p ordinary	SWAP	Long	3,821	70.7527 GBP
6 79/86 p ordinary	SWAP	Long	3,954	70.7530 GBP
6 79/86 p ordinary	SWAP	Long	4,041	70.5200 GBP
6 79/86 p ordinary	CFD	Long	4,299	70.8535 GBP
6 79/86 p ordinary	SWAP	Long	4,597	71.0800 GBP
6 79/86 p ordinary	CFD	Long	5,398	69.9675 GBP
6 79/86 p ordinary	CFD	Long	5,864	69.9593 GBP
6 79/86 p ordinary	CFD	Long	6,657	70.8558 GBP
6 79/86 p ordinary	SWAP	Long	8,721	70.4413 GBP
6 79/86 p ordinary	SWAP	Long	15,883	70.6192 GBP
6 79/86 p ordinary	SWAP	Long	18,371	71.1400 GBP
6 79/86 p ordinary	SWAP	Long	31,753	70.6664 GBP
6 79/86 p ordinary	CFD	Long	36,205	69.9951 GBP
6 79/86 p ordinary	SWAP	Long	38,865	70.6228 GBP
6 79/86 p ordinary	SWAP	Short	3	70.9600 GBP
6 79/86 p ordinary	SWAP	Short	4	70.8050 GBP
6 79/86 p ordinary	SWAP	Short	5	70.7963 GBP
6 79/86 p ordinary	SWAP	Short	7	70.0140 GBP
6 79/86 p ordinary	SWAP	Short	8	69.9119 GBP
6 79/86 p ordinary	SWAP	Short	8	70.1375 GBP
6 79/86 p ordinary	CFD	Short	8	71.0425 GBP
6 79/86 p ordinary	SWAP	Short	10	70.8600 GBP
6 79/86 p ordinary	SWAP	Short	10	71.1426 GBP
6 79/86 p ordinary	SWAP	Short	11	70.2722 GBP
6 79/86 p ordinary	SWAP	Short	11	70.8300 GBP
6 79/86 p ordinary	SWAP	Short	12	70.2271 GBP
6 79/86 p ordinary	SWAP	Short	12	70.8026 GBP
6 79/86 p ordinary	SWAP	Short	13	70.9916 GBP
6 79/86 p ordinary	SWAP	Short	14	69.9202 GBP
6 79/86 p ordinary	SWAP	Short	14	70.6461 GBP
6 79/86 p ordinary	CFD	Short	17	70.2358 GBP
6 79/86 p ordinary	SWAP	Short	17	70.3752 GBP
6 79/86 p ordinary	SWAP	Short	21	69.9895 GBP
6 79/86 p ordinary	CFD	Short	25	70.6276 GBP
6 79/86 p ordinary	SWAP	Short	25	71.1347 GBP
6 79/86 p ordinary	SWAP	Short	35	71.0649 GBP
6 79/86 p ordinary	SWAP	Short	37	70.0937 GBP
6 79/86 p ordinary	SWAP	Short	38	70.7244 GBP
6 79/86 p ordinary	SWAP	Short	40	69.9509 GBP
6 79/86 p ordinary	SWAP	Short	41	69.9740 GBP
6 79/86 p ordinary	SWAP	Short	49	69.9980 GBP
6 79/86 p ordinary	SWAP	Short	49	70.0028 GBP
6 79/86 p ordinary	SWAP	Short	49	70.4426 GBP
6 79/86 p ordinary	SWAP	Short	50	69.7881 GBP
6 79/86 p ordinary	SWAP	Short	56	71.0115 GBP
6 79/86 p ordinary	SWAP	Short	59	70.0022 GBP
6 79/86 p ordinary	SWAP	Short	63	70.1546 GBP
6 79/86 p ordinary	SWAP	Short	64	70.2536 GBP
6 79/86 p ordinary	SWAP	Short	106	70.6463 GBP
6 79/86 p ordinary	SWAP	Short	107	71.0661 GBP
6 79/86 p ordinary	SWAP	Short	118	70.7325 GBP
6 79/86 p ordinary	SWAP	Short	129	70.3463 GBP
6 79/86 p ordinary	SWAP	Short	138	70.3997 GBP
6 79/86 p ordinary	CFD	Short	148	70.6277 GBP
6 79/86 p ordinary	SWAP	Short	161	70.2849 GBP
6 79/86 p ordinary	SWAP	Short	168	71.0129 GBP
6 79/86 p ordinary	SWAP	Short	215	70.4592 GBP
6 79/86 p ordinary	SWAP	Short	225	70.3941 GBP
6 79/86 p ordinary	SWAP	Short	241	69.9065 GBP
6 79/86 p ordinary	CFD	Short	250	71.0864 GBP
6 79/86 p ordinary	SWAP	Short	294	70.9244 GBP
6 79/86 p ordinary	SWAP	Short	311	70.3900 GBP
6 79/86 p ordinary	SWAP	Short	326	69.9747 GBP
6 79/86 p ordinary	SWAP	Short	585	71.3200 GBP
6 79/86 p ordinary	SWAP	Short	642	70.9550 GBP
6 79/86 p ordinary	SWAP	Short	682	70.5523 GBP
6 79/86 p ordinary	SWAP	Short	686	71.0341 GBP
6 79/86 p ordinary	SWAP	Short	701	70.3589 GBP
6 79/86 p ordinary	SWAP	Short	873	69.5600 GBP
6 79/86 p ordinary	SWAP	Short	873	70.9229 GBP
6 79/86 p ordinary	SWAP	Short	983	69.5500 GBP
6 79/86 p ordinary	CFD	Short	999	70.2663 GBP
6 79/86 p ordinary	SWAP	Short	1,256	69.9865 GBP
6 79/86 p ordinary	SWAP	Short	1,353	69.9066 GBP
6 79/86 p ordinary	SWAP	Short	1,402	70.7162 GBP
6 79/86 p ordinary	SWAP	Short	1,588	70.3937 GBP
6 79/86 p ordinary	SWAP	Short	2,023	71.0350 GBP
6 79/86 p ordinary	SWAP	Short	2,543	70.9205 GBP
6 79/86 p ordinary	SWAP	Short	3,962	70.4558 GBP
6 79/86 p ordinary	SWAP	Short	4,041	70.5200 GBP
6 79/86 p ordinary	SWAP	Short	4,597	71.0800 GBP
6 79/86 p ordinary	SWAP	Short	4,853	70.3594 GBP
6 79/86 p ordinary	CFD	Short	4,948	70.2946 GBP
6 79/86 p ordinary	SWAP	Short	5,400	70.8489 GBP
6 79/86 p ordinary	SWAP	Short	11,869	70.2031 GBP
6 79/86 p ordinary	SWAP	Short	14,413	70.2000 GBP
6 79/86 p ordinary	SWAP	Short	14,413	70.2000 GBP
6 79/86 p ordinary	SWAP	Short	16,136	70.8032 GBP
6 79/86 p ordinary	SWAP	Short	17,523	70.4252 GBP
6 79/86 p ordinary	SWAP	Short	18,371	71.1400 GBP
6 79/86 p ordinary	CFD	Short	28,302	70.3102 GBP
6 79/86 p ordinary	CFD	Short	43,047	70.0252 GBP
6 79/86 p ordinary	SWAP	Short	50,000	71.0697 GBP
6 79/86 p ordinary	SWAP	Short	50,000	71.0949 GBP
6 79/86 p ordinary	SWAP	Short	55,477	70.2057 GBP
6 79/86 p ordinary	SWAP	Short	67,073	70.8168 GBP
6 79/86 p ordinary	SWAP	Short	163,020	71.1705 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:	9 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/20191009005329/en/