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:	16 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

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:	2,331,729	0.67%	1,869,334	0.53%
Â		Â	Â	Â	Â
(2)	Cash-settled derivatives:
		543,317	0.16%	1,556,090	0.44%
					Â
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
					Â
					Â
	TOTAL:	2,875,046	0.82%	3,425,424	0.98%

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	93,799	74.0400 GBP	72.88 GBP
6 79/86 p ordinary	Sale	188,493	74.3400 GBP	72.88 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	73.2200 GBP
6 79/86 p ordinary	SWAP	Long	122	73.5515 GBP
6 79/86 p ordinary	SWAP	Long	146	73.4715 GBP
6 79/86 p ordinary	SWAP	Long	244	73.7852 GBP
6 79/86 p ordinary	SWAP	Long	382	73.7692 GBP
6 79/86 p ordinary	SWAP	Long	468	73.6944 GBP
6 79/86 p ordinary	SWAP	Long	637	73.2833 GBP
6 79/86 p ordinary	SWAP	Long	1,088	73.6379 GBP
6 79/86 p ordinary	SWAP	Long	1,603	73.5518 GBP
6 79/86 p ordinary	CFD	Long	1,800	73.1730 GBP
6 79/86 p ordinary	CFD	Long	2,033	74.3400 GBP
6 79/86 p ordinary	CFD	Long	2,039	73.5669 GBP
6 79/86 p ordinary	SWAP	Long	2,578	73.2551 GBP
6 79/86 p ordinary	CFD	Long	2,771	74.0340 GBP
6 79/86 p ordinary	CFD	Long	3,846	73.3923 GBP
6 79/86 p ordinary	SWAP	Long	6,103	73.3452 GBP
6 79/86 p ordinary	SWAP	Long	10,373	74.0224 GBP
6 79/86 p ordinary	CFD	Long	12,043	73.3165 GBP
6 79/86 p ordinary	CFD	Long	13,374	74.0400 GBP
6 79/86 p ordinary	SWAP	Long	27,686	73.8031 GBP
6 79/86 p ordinary	SWAP	Long	81,140	73.9537 GBP
6 79/86 p ordinary	SWAP	Short	3	73.6355 GBP
6 79/86 p ordinary	SWAP	Short	7	73.6273 GBP
6 79/86 p ordinary	SWAP	Short	7	73.7655 GBP
6 79/86 p ordinary	CFD	Short	10	73.6370 GBP
6 79/86 p ordinary	SWAP	Short	11	73.4727 GBP
6 79/86 p ordinary	CFD	Short	11	73.6363 GBP
6 79/86 p ordinary	SWAP	Short	12	73.6423 GBP
6 79/86 p ordinary	SWAP	Short	15	73.8273 GBP
6 79/86 p ordinary	CFD	Short	17	73.6364 GBP
6 79/86 p ordinary	SWAP	Short	21	73.5841 GBP
6 79/86 p ordinary	SWAP	Short	23	73.6000 GBP
6 79/86 p ordinary	SWAP	Short	35	73.6236 GBP
6 79/86 p ordinary	SWAP	Short	45	73.4422 GBP
6 79/86 p ordinary	SWAP	Short	45	73.5788 GBP
6 79/86 p ordinary	CFD	Short	57	73.6366 GBP
6 79/86 p ordinary	SWAP	Short	139	73.6490 GBP
6 79/86 p ordinary	SWAP	Short	154	73.5999 GBP
6 79/86 p ordinary	SWAP	Short	164	73.5975 GBP
6 79/86 p ordinary	SWAP	Short	252	73.6300 GBP
6 79/86 p ordinary	SWAP	Short	305	73.5675 GBP
6 79/86 p ordinary	SWAP	Short	387	73.4130 GBP
6 79/86 p ordinary	SWAP	Short	525	73.6304 GBP
6 79/86 p ordinary	SWAP	Short	573	73.6528 GBP
6 79/86 p ordinary	SWAP	Short	701	73.6416 GBP
6 79/86 p ordinary	SWAP	Short	723	73.1805 GBP
6 79/86 p ordinary	CFD	Short	750	73.1115 GBP
6 79/86 p ordinary	SWAP	Short	1,092	73.4634 GBP
6 79/86 p ordinary	SWAP	Short	1,298	73.6217 GBP
6 79/86 p ordinary	SWAP	Short	1,535	73.5540 GBP
6 79/86 p ordinary	CFD	Short	1,535	74.3459 GBP
6 79/86 p ordinary	SWAP	Short	3,174	73.7118 GBP
6 79/86 p ordinary	SWAP	Short	5,944	73.4822 GBP
6 79/86 p ordinary	SWAP	Short	6,235	74.0400 GBP
6 79/86 p ordinary	SWAP	Short	6,396	73.3781 GBP
6 79/86 p ordinary	CFD	Short	6,981	73.6367 GBP
6 79/86 p ordinary	SWAP	Short	12,461	73.8146 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:	17 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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