Form 8 (DD) - London Stock Exchange Group

RNS Number : 5428G

London Stock Exchange Group PLC

08 August 2016

 

FORM 8 (DD)

PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")

1.         KEY INFORMATION

(a) Full name of discloser:	Raffaele Jerusalmi, Xavier Rolet, David Warren
(b) Owner or controller of interests and short positions disclosed, if different from 1(a):      The naming of nominee or vehicle companies is insufficient.  For a trust, the trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:      Use a separate form for each offeror/offeree	London Stock Exchange Group plc
(d) Status of person making the disclosure:      e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)	Person acting in concert with the offeree
(e) Date dealing undertaken:	5 August 2016
(f)  In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?      If it is a cash offer or possible cash offer, state "N/A"	NO

2.         POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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(c), 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

RAFFAELE JERUSALMI

Class of relevant security:
	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	80,861	0.02308
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
TOTAL:	80,861	0.02308

XAVIER ROLET

Class of relevant security:
	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	601,088	0.17159
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
TOTAL:	601,088	0.17159

DAVID WARREN

Class of relevant security:
	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	53,426	0.01525
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
TOTAL:	53,426	0.01525

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).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

(b)        Rights to subscribe for new securities (including directors' and other employee options)

RAFFAELE JERUSALMI

Class of relevant security in relation to which subscription right exists:	Ordinary shares
Details, including nature of the rights concerned and relevant percentages:	See below.  0.0392%

Name	Grant Date	Price at Grant	Shares in respect of which options granted	Exercise Date/Period
LTIP (2014)	27-Aug-2014	£20.36	58,638	29-Aug-2017 to 28-Feb-2018
LTIP (2014)	2-Apr-2015	£24.47	40,659	3-Apr-2018 to 2-Oct-2018
LTIP (2014)	17-Mar-2016	£28.70	37,860	18-Mar-2019 to 17-Sep-2019

XAVIER ROLET

Class of relevant security in relation to which subscription right exists:	Ordinary shares
Details, including nature of the rights concerned and relevant percentages:	See below.  0.0983%

Name	Grant Date	Price at Grant	Shares in respect of which options granted	Exercise Date/Period
LTIP (2014)	27-Aug-2014	£20.36	117,250	29-Aug-2017 to 28-Feb-2018
LTIP (2014)	2-Apr-2015	£24.47	91,949	3-Apr-2018 to 2-Oct-2018
Deferred Bonus Plan	2-Apr-2015	£24.47	22,476	10-Mar-2017 to 9-Sep-2017
SAYE	10-Jan-2014	£11.643291	772	1-Mar-2017 to 31-Aug-2017
SAYE	5-May-2015	£20.42	440	2-Jul-2018 to 31-Dec-2018
LTIP (2014)	17-Mar-2016	£28.70	83,623	18-Mar-2019 to 17-Sep-2019
Deferred Bonus Plan	17-Mar-2016	£28.70	27,874	12-Mar-2018 to 11-Sep-2018

DAVID WARREN

Class of relevant security in relation to which subscription right exists:	Ordinary shares
Details, including nature of the rights concerned and relevant percentages:	See below.  0.0462%

Name	Grant Date	Price at Grant	Shares in respect of which options granted	Exercise Date/Period
LTIP (2014)	27-Aug-2014	£20.36	39,989	29-Aug-2017 to 28-Feb-2018
LTIP (2014)	2-Apr-2015	£24.47	52,104	3-Apr-2018 to 2-Oct-2018
Deferred Bonus Plan	2-Apr-2015	£24.47	11,238	10-Mar-2017 to 9-Sep-2018
LTIP (2014)	17-Mar-2016	£28.70	44,555	18-Mar-2019 to 17-Sep-2019
Deferred Bonus Plan	17-Mar-2016	£28.70	13,937	12-Mar-2018 to 11-Sep-2018

3.         DEALINGS BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), 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

(i)         Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)

RAFFAELE JERUSALMI

Class of relevant security	Purchase/sale	Number of securities	Price per unit
Ordinary shares	Sale (to satisfy taxes, social security and associated dealing costs)	23,717	£27.6833

XAVIER ROLET

Class of relevant security	Purchase/sale	Number of securities	Price per unit
Ordinary shares	Sale (to satisfy taxes, social security and associated dealing costs)	74,220	£27.6833

DAVID WARREN

Class of relevant security	Purchase/sale	Number of securities	Price per unit
Ordinary shares	Sale (to satisfy taxes, social security and associated dealing costs)	26,319	£27.6833

(ii)        Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser

Class of relevant security	Purchases/ sales	Total number of securities	Highest price per unit paid/received	Lowest price per unit paid/received

(b)        Cash-settled derivative transactions

Class of relevant security	Product description e.g. CFD	Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position	Number of reference securities	Price per unit

(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

(ii)        Exercise

RAFFAELE JERUSALMI

Class of relevant security	Product description e.g. call option	Exercising/ exercised against	Number of securities	Exercise price per unit
Ordinary shares	Nil-cost award	Exercise	LTIP award over 52,448 ordinary shares	Nil

XAVIER ROLET

Class of relevant security	Product description e.g. call option	Exercising/ exercised against	Number of securities	Exercise price per unit
Ordinary shares	Nil-cost award	Exercise	LTIP award over 156,239 ordinary shares	Nil

DAVID WARREN

Class of relevant security	Product description e.g. call option	Exercising/ exercised against	Number of securities	Exercise price per unit
Ordinary shares	Nil-cost award	Exercise	LTIP award over 55,403 ordinary shares	Nil

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

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 party to the offer or person acting in concert making the disclosure and any other person: 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 party to the offer or person acting in concert 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

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions)	NO
Supplemental Form 8 (SBL)	NO

Date of disclosure:	8 August 2016
Contact name:	Lisa Condron
Telephone number:	[phone]

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [e-mail].  The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on [phone].

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

 

END

 

 

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