Form 8.5 - LONDON STOCK EXCHANGE GROUP PLC

Form 8.5 - 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:	Â	BARCLAYS CAPITAL SECURITIES LTD
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree	Â	LONDON STOCK EXCHANGE GROUP PLC
(c) Name of the party to the offer with which exempt principal trader is connected:	Â	LONDON STOCK EXCHANGE GROUP PLC
(d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure	Â	17 FEB 2017
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A”	Â	YES DEUTSCHE BOERSE AG

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:	Â	Â	Â	ORD	Â	Â	Â	Â	Â	Â
				Interests		Â		Short Positions		Â
Â		Â		Number		(%)		Number		(%)
(1)		Relevant securities owned
		and/or controlled:		1,453,039		0.41%		853,886		0.24%
Â		Â		Â		Â		Â		Â
(2)		Cash-settled derivatives:
				95,947		0.03%		749,445		0.21%
Â		Â		Â		Â		Â		Â
(3)		Stock-settled derivatives (including options)
		and agreements to purchase/sell:		0		0.00%		0		0.00%
Â		Â		Â		Â		Â		Â
(4)
		TOTAL:		1,548,986		0.44%		1,603,331		0.46%

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

Purchase/sale	Â	Total number of	Â	Highest price per unit	Â	Lowest price per unit
Â		securities		paid/received		paid/received
Purchase		92,933		31.3025 GBP		31.08 GBP
Sale		106,363		31.3000 GBP		31.11 GBP
Purchase		100		9.8000 USD		9.8 USD
Sale		100		9.8000 USD		9.8 USD
							Â
Cash-settled derivative transactions		Â		Â		Â
Product		Nature of dealing		Number of		Price per
description				reference		unit
Â		Â		securities		Â
SWAP		Long		248		31.1326 GBP
SWAP		Long		300		31.2197 GBP
SWAP		Long		716		31.1738 GBP
SWAP		Long		1,206		31.1805 GBP
CFD		Long		1,297		31.2974 GBP
CFD		Long		1,566		31.2171 GBP
SWAP		Long		2,640		31.2060 GBP
SWAP		Long		15,333		31.1949 GBP
SWAP		Long		32,338		31.2080 GBP
CFD		Short		24		31.2129 GBP
CFD		Short		39		31.2371 GBP
CFD		Short		85		31.3024 GBP
CFD		Short		103		31.2509 GBP
CFD		Short		226		31.3025 GBP
SWAP		Short		249		31.1300 GBP
CFD		Short		275		31.2510 GBP
CFD		Short		498		31.1681 GBP
SWAP		Short		1,193		31.2203 GBP
CFD		Short		1,372		31.2445 GBP
SWAP		Short		2,657		31.1514 GBP
SWAP		Short		2,792		31.2034 GBP
CFD		Short		5,279		31.2178 GBP
SWAP		Short		6,685		31.2251 GBP

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security

Â

Product description e.g. call option

Â

Writing, purchasing, selling, varying etc.

Â

Number of securities to which option relates

Â

Exercise price per unit

Â

Type e.g. American, European etc.

Â

Expiry date

Â

Option money paid/ received per unit

(ii) Exercise

Class of relevant security

Â

Product description e.g. call option

Â

Exercising/ exercised against

Â

Number of securities

Â

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Â

Nature of dealing e.g. subscription, conversion

Â

Details

Â

Price per unit (if applicable)

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

(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

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

Â

NO

Date of disclosure:	Â	20 FEB 2017
Contact name:		Hemika Mistry
Telephone number:		020 7116 3891

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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