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:	13 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
		Â

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:	2,289,718	0.65%	1,768,272	0.51%
		Â	Â	Â	Â
(2)	Cash-settled derivatives:	Â	Â	Â	Â
		423,687	0.12%	1,520,013	0.43%
		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:	2,713,405	0.78%	3,288,285	0.94%
		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	333,942	75.1377 GBP	72.5927 GBP
6 79/86 p ordinary	Sale	178,409	75.1550 GBP	72.76 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	18	74.5000 GBP
6 79/86 p ordinary	SWAP	Long	59	74.7537 GBP
6 79/86 p ordinary	SWAP	Long	200	74.6244 GBP
6 79/86 p ordinary	CFD	Long	361	74.6204 GBP
6 79/86 p ordinary	CFD	Long	442	73.9273 GBP
6 79/86 p ordinary	SWAP	Long	754	74.7377 GBP
6 79/86 p ordinary	SWAP	Long	1,458	74.0875 GBP
6 79/86 p ordinary	SWAP	Long	1,741	74.8420 GBP
6 79/86 p ordinary	CFD	Long	1,798	75.1339 GBP
6 79/86 p ordinary	CFD	Long	2,297	74.5898 GBP
6 79/86 p ordinary	SWAP	Long	3,310	74.1985 GBP
6 79/86 p ordinary	SWAP	Long	7,036	75.1392 GBP
6 79/86 p ordinary	CFD	Long	7,787	74.2901 GBP
6 79/86 p ordinary	SWAP	Long	55,049	73.9460 GBP
6 79/86 p ordinary	SWAP	Long	59,072	74.5149 GBP
6 79/86 p ordinary	SWAP	Short	1	73.0049 GBP
6 79/86 p ordinary	SWAP	Short	1	74.7149 GBP
6 79/86 p ordinary	SWAP	Short	2	73.9693 GBP
6 79/86 p ordinary	SWAP	Short	2	74.1729 GBP
6 79/86 p ordinary	SWAP	Short	4	74.2157 GBP
6 79/86 p ordinary	CFD	Short	4	74.2375 GBP
6 79/86 p ordinary	SWAP	Short	5	74.0099 GBP
6 79/86 p ordinary	SWAP	Short	5	75.0780 GBP
6 79/86 p ordinary	SWAP	Short	6	73.1400 GBP
6 79/86 p ordinary	CFD	Short	6	74.2350 GBP
6 79/86 p ordinary	SWAP	Short	8	73.6918 GBP
6 79/86 p ordinary	CFD	Short	8	74.2362 GBP
6 79/86 p ordinary	SWAP	Short	9	74.2579 GBP
6 79/86 p ordinary	SWAP	Short	11	73.8550 GBP
6 79/86 p ordinary	SWAP	Short	13	74.0995 GBP
6 79/86 p ordinary	SWAP	Short	14	73.7814 GBP
6 79/86 p ordinary	SWAP	Short	21	72.8114 GBP
6 79/86 p ordinary	SWAP	Short	25	73.5931 GBP
6 79/86 p ordinary	SWAP	Short	31	73.2831 GBP
6 79/86 p ordinary	SWAP	Short	32	73.8353 GBP
6 79/86 p ordinary	SWAP	Short	34	73.1567 GBP
6 79/86 p ordinary	SWAP	Short	38	74.3214 GBP
6 79/86 p ordinary	SWAP	Short	39	73.2772 GBP
6 79/86 p ordinary	SWAP	Short	45	73.3829 GBP
6 79/86 p ordinary	SWAP	Short	47	74.9608 GBP
6 79/86 p ordinary	SWAP	Short	64	73.7646 GBP
6 79/86 p ordinary	SWAP	Short	73	73.3224 GBP
6 79/86 p ordinary	SWAP	Short	80	74.0837 GBP
6 79/86 p ordinary	SWAP	Short	84	73.6020 GBP
6 79/86 p ordinary	SWAP	Short	90	73.5511 GBP
6 79/86 p ordinary	SWAP	Short	95	74.8378 GBP
6 79/86 p ordinary	SWAP	Short	102	73.6964 GBP
6 79/86 p ordinary	SWAP	Short	125	72.8133 GBP
6 79/86 p ordinary	CFD	Short	136	73.7558 GBP
6 79/86 p ordinary	SWAP	Short	163	73.1607 GBP
6 79/86 p ordinary	SWAP	Short	185	73.2876 GBP
6 79/86 p ordinary	SWAP	Short	226	73.2597 GBP
6 79/86 p ordinary	SWAP	Short	254	73.1577 GBP
6 79/86 p ordinary	SWAP	Short	317	73.5723 GBP
6 79/86 p ordinary	SWAP	Short	373	73.3347 GBP
6 79/86 p ordinary	SWAP	Short	420	74.3415 GBP
6 79/86 p ordinary	SWAP	Short	473	73.6952 GBP
6 79/86 p ordinary	SWAP	Short	482	73.5884 GBP
6 79/86 p ordinary	SWAP	Short	486	73.5635 GBP
6 79/86 p ordinary	CFD	Short	833	74.2368 GBP
6 79/86 p ordinary	SWAP	Short	894	73.6359 GBP
6 79/86 p ordinary	SWAP	Short	977	74.1354 GBP
6 79/86 p ordinary	SWAP	Short	1,067	74.6502 GBP
6 79/86 p ordinary	CFD	Short	1,195	74.5068 GBP
6 79/86 p ordinary	SWAP	Short	1,477	74.3501 GBP
6 79/86 p ordinary	SWAP	Short	1,484	74.3131 GBP
6 79/86 p ordinary	CFD	Short	2,228	72.6058 GBP
6 79/86 p ordinary	SWAP	Short	2,493	74.9748 GBP
6 79/86 p ordinary	SWAP	Short	2,867	73.5549 GBP
6 79/86 p ordinary	SWAP	Short	3,831	74.0820 GBP
6 79/86 p ordinary	SWAP	Short	3,925	73.4140 GBP
6 79/86 p ordinary	SWAP	Short	4,255	73.9875 GBP
6 79/86 p ordinary	SWAP	Short	4,415	73.4466 GBP
6 79/86 p ordinary	SWAP	Short	6,516	74.5333 GBP
6 79/86 p ordinary	SWAP	Short	20,278	74.0069 GBP
6 79/86 p ordinary	SWAP	Short	22,668	73.4133 GBP
6 79/86 p ordinary	SWAP	Short	31,680	74.0965 GBP
6 79/86 p ordinary	SWAP	Short	38,238	74.2225 GBP
6 79/86 p ordinary	SWAP	Short	143,728	73.9130 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:	16 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/20190916005403/en/