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:	12 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
	and/or controlled:	2,071,354	0.59%	1,705,441	0.49%
					Â
(2)	Cash-settled derivatives:
		360,810	0.10%	1,298,830	0.37%
					Â
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
					Â
					Â
	TOTAL:	2,432,164	0.70%	3,004,271	0.86%
					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	351,863	72.8000 GBP	71.68 GBP
6 79/86 p ordinary	Sale	74,447	72.8000 GBP	71.68 GBP

(b) Cash-settled derivative transactions

Class of	Product	Nature of dealing	Number of	Price per
relevant	description	Â	reference	unit
security	Â	Â	securities	Â
6 79/86 p ordinary	SWAP	Long	31	72.5083 GBP
6 79/86 p ordinary	SWAP	Long	306	72.0920 GBP
6 79/86 p ordinary	SWAP	Long	615	72.1950 GBP
6 79/86 p ordinary	SWAP	Long	820	71.8932 GBP
6 79/86 p ordinary	CFD	Long	1,032	72.2646 GBP
6 79/86 p ordinary	CFD	Long	1,292	72.2527 GBP
6 79/86 p ordinary	CFD	Long	4,145	72.3339 GBP
6 79/86 p ordinary	SWAP	Long	6,123	72.1242 GBP
6 79/86 p ordinary	SWAP	Long	10,311	72.5200 GBP
6 79/86 p ordinary	SWAP	Long	16,347	72.1737 GBP
6 79/86 p ordinary	SWAP	Long	19,518	72.3578 GBP
6 79/86 p ordinary	SWAP	Short	2	72.0563 GBP
6 79/86 p ordinary	SWAP	Short	4	71.8854 GBP
6 79/86 p ordinary	SWAP	Short	4	71.9007 GBP
6 79/86 p ordinary	CFD	Short	4	72.1875 GBP
6 79/86 p ordinary	SWAP	Short	10	71.6943 GBP
6 79/86 p ordinary	SWAP	Short	12	71.8216 GBP
6 79/86 p ordinary	CFD	Short	12	72.1866 GBP
6 79/86 p ordinary	SWAP	Short	20	72.0731 GBP
6 79/86 p ordinary	SWAP	Short	24	72.0038 GBP
6 79/86 p ordinary	SWAP	Short	28	72.4000 GBP
6 79/86 p ordinary	SWAP	Short	28	72.4146 GBP
6 79/86 p ordinary	SWAP	Short	36	72.0473 GBP
6 79/86 p ordinary	SWAP	Short	97	71.8483 GBP
6 79/86 p ordinary	SWAP	Short	97	72.4775 GBP
6 79/86 p ordinary	SWAP	Short	102	71.9376 GBP
6 79/86 p ordinary	SWAP	Short	107	72.0229 GBP
6 79/86 p ordinary	SWAP	Short	108	72.0142 GBP
6 79/86 p ordinary	SWAP	Short	125	72.3788 GBP
6 79/86 p ordinary	SWAP	Short	140	71.9973 GBP
6 79/86 p ordinary	SWAP	Short	184	72.4474 GBP
6 79/86 p ordinary	SWAP	Short	184	72.4721 GBP
6 79/86 p ordinary	SWAP	Short	186	72.4919 GBP
6 79/86 p ordinary	SWAP	Short	195	72.2958 GBP
6 79/86 p ordinary	SWAP	Short	223	72.4522 GBP
6 79/86 p ordinary	SWAP	Short	223	72.5448 GBP
6 79/86 p ordinary	SWAP	Short	267	71.8800 GBP
6 79/86 p ordinary	SWAP	Short	332	72.2516 GBP
6 79/86 p ordinary	SWAP	Short	375	72.3435 GBP
6 79/86 p ordinary	SWAP	Short	435	72.3934 GBP
6 79/86 p ordinary	SWAP	Short	516	72.4787 GBP
6 79/86 p ordinary	SWAP	Short	797	72.2119 GBP
6 79/86 p ordinary	SWAP	Short	958	72.0779 GBP
6 79/86 p ordinary	SWAP	Short	984	72.4233 GBP
6 79/86 p ordinary	SWAP	Short	1,162	72.2885 GBP
6 79/86 p ordinary	SWAP	Short	1,183	72.5506 GBP
6 79/86 p ordinary	SWAP	Short	1,266	72.4455 GBP
6 79/86 p ordinary	SWAP	Short	1,571	72.0825 GBP
6 79/86 p ordinary	SWAP	Short	1,816	72.2721 GBP
6 79/86 p ordinary	SWAP	Short	2,807	72.4875 GBP
6 79/86 p ordinary	CFD	Short	3,311	72.1872 GBP
6 79/86 p ordinary	SWAP	Short	3,537	72.4873 GBP
6 79/86 p ordinary	SWAP	Short	3,862	72.3272 GBP
6 79/86 p ordinary	SWAP	Short	4,774	72.1189 GBP
6 79/86 p ordinary	SWAP	Short	5,748	72.4245 GBP
6 79/86 p ordinary	SWAP	Short	10,885	71.9955 GBP
6 79/86 p ordinary	SWAP	Short	12,691	72.5200 GBP
6 79/86 p ordinary	SWAP	Short	18,263	72.2056 GBP
6 79/86 p ordinary	SWAP	Short	19,056	72.3198 GBP
6 79/86 p ordinary	SWAP	Short	20,544	72.4869 GBP
6 79/86 p ordinary	SWAP	Short	23,088	72.2627 GBP
6 79/86 p ordinary	SWAP	Short	25,348	72.3039 GBP
6 79/86 p ordinary	SWAP	Short	27,877	72.2055 GBP
6 79/86 p ordinary	SWAP	Short	31,427	72.5034 GBP
6 79/86 p ordinary	SWAP	Short	113,233	72.1840 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:	13 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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20190913005201/en/