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:	11 September 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
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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:	1,820,182	0.52%	1,731,727	0.50%
		Â	Â	Â	Â
(2)	Cash-settled derivatives:	Â	Â	Â	Â
		385,907	0.11%	1,044,199	0.30%
		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:	2,206,089	0.63%	2,775,926	0.79%
		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	536,442	74.8600 GBP	67 GBP
6 79/86 p ordinary	Sale	426,589	76.2884 GBP	67 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	45	67.5004 GBP
6 79/86 p ordinary	SWAP	Long	98	67.3743 GBP
6 79/86 p ordinary	SWAP	Long	189	72.1678 GBP
6 79/86 p ordinary	CFD	Long	225	73.7500 GBP
6 79/86 p ordinary	SWAP	Long	261	72.2000 GBP
6 79/86 p ordinary	CFD	Long	298	67.6084 GBP
6 79/86 p ordinary	SWAP	Long	300	72.5000 GBP
6 79/86 p ordinary	SWAP	Long	420	76.2884 GBP
6 79/86 p ordinary	CFD	Long	616	72.6080 GBP
6 79/86 p ordinary	SWAP	Long	648	73.8239 GBP
6 79/86 p ordinary	CFD	Long	780	74.8023 GBP
6 79/86 p ordinary	SWAP	Long	837	70.2890 GBP
6 79/86 p ordinary	SWAP	Long	866	71.3668 GBP
6 79/86 p ordinary	SWAP	Long	914	72.9492 GBP
6 79/86 p ordinary	SWAP	Long	972	71.2900 GBP
6 79/86 p ordinary	CFD	Long	1,040	67.1772 GBP
6 79/86 p ordinary	SWAP	Long	1,249	69.0586 GBP
6 79/86 p ordinary	SWAP	Long	2,467	71.2872 GBP
6 79/86 p ordinary	CFD	Long	2,591	71.8193 GBP
6 79/86 p ordinary	CFD	Long	3,891	71.5695 GBP
6 79/86 p ordinary	CFD	Long	7,956	74.5053 GBP
6 79/86 p ordinary	SWAP	Long	12,965	72.1007 GBP
6 79/86 p ordinary	SWAP	Long	24,701	71.6899 GBP
6 79/86 p ordinary	CFD	Long	27,062	68.1800 GBP
6 79/86 p ordinary	SWAP	Long	28,072	72.0600 GBP
6 79/86 p ordinary	SWAP	Long	43,332	74.7200 GBP
6 79/86 p ordinary	CFD	Short	27	71.4044 GBP
6 79/86 p ordinary	SWAP	Short	68	72.4317 GBP
6 79/86 p ordinary	SWAP	Short	75	71.9400 GBP
6 79/86 p ordinary	SWAP	Short	139	71.9589 GBP
6 79/86 p ordinary	SWAP	Short	200	67.2700 GBP
6 79/86 p ordinary	SWAP	Short	217	72.4044 GBP
6 79/86 p ordinary	SWAP	Short	276	72.2002 GBP
6 79/86 p ordinary	SWAP	Short	290	67.2724 GBP
6 79/86 p ordinary	CFD	Short	847	68.1854 GBP
6 79/86 p ordinary	CFD	Short	1,400	72.1653 GBP
6 79/86 p ordinary	CFD	Short	1,400	72.3454 GBP
6 79/86 p ordinary	CFD	Short	1,500	71.7133 GBP
6 79/86 p ordinary	CFD	Short	1,850	68.8800 GBP
6 79/86 p ordinary	CFD	Short	1,988	71.4045 GBP
6 79/86 p ordinary	SWAP	Short	2,077	71.9180 GBP
6 79/86 p ordinary	SWAP	Short	2,113	74.2440 GBP
6 79/86 p ordinary	CFD	Short	2,664	72.1520 GBP
6 79/86 p ordinary	CFD	Short	2,808	72.2637 GBP
6 79/86 p ordinary	SWAP	Short	3,572	71.7444 GBP
6 79/86 p ordinary	CFD	Short	4,525	72.3208 GBP
6 79/86 p ordinary	SWAP	Short	4,587	71.1311 GBP
6 79/86 p ordinary	CFD	Short	4,858	69.5870 GBP
6 79/86 p ordinary	SWAP	Short	5,923	71.9070 GBP
6 79/86 p ordinary	SWAP	Short	6,637	71.9923 GBP
6 79/86 p ordinary	SWAP	Short	7,560	71.8336 GBP
6 79/86 p ordinary	CFD	Short	11,298	72.2629 GBP
6 79/86 p ordinary	SWAP	Short	11,623	72.7954 GBP
6 79/86 p ordinary	CFD	Short	12,094	72.1272 GBP
6 79/86 p ordinary	SWAP	Short	13,489	72.1298 GBP
6 79/86 p ordinary	SWAP	Short	16,220	70.5822 GBP
6 79/86 p ordinary	SWAP	Short	28,072	72.0600 GBP
6 79/86 p ordinary	CFD	Short	36,065	71.8594 GBP
6 79/86 p ordinary	SWAP	Short	43,332	74.7200 GBP
6 79/86 p ordinary	SWAP	Short	58,062	71.6837 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:	12 Sep 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.

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