Form 8 (OPD) Hong Kong Exchanges and Clearing Ltd

RNS Number : 9899N

London Stock Exchange Group PLC

27 September 2019

 

FORM 8 (OPD)

AMENDMENT: ADDITION TO SECTION 3

PUBLIC OPENING POSITION DISCLOSURE BY A PARTY TO AN OFFER

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

1.         KEY INFORMATION

(a) Full name of discloser:	LONDON STOCK EXCHANGE GROUP PLC
(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	HONG KONG EXCHANGES AND CLEARING LIMITED
(d) Is the discloser the offeror or the offeree?	OFFEREE
(e) Date position held:      The latest practicable date prior to the disclosure	20 SEPTEMBER 2019
(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"	YES - LONDON STOCK EXCHANGE GROUP PLC

2.         POSITIONS OF THE PARTY TO THE OFFER 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

Class of relevant security:	Hong Kong Exchanges and Clearing Limited ordinary NPV
	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	Nil	-	Nil	-
(2) Cash-settled derivatives:	Nil	-	Nil	-
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:	Nil	-	Nil	-
TOTAL:	Nil	-	Nil	-

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

Class of relevant security in relation to which subscription right exists:	N/A
Details, including nature of the rights concerned and relevant percentages:	N/A

3.         POSITIONS OF PERSONS ACTING IN CONCERT WITH THE PARTY TO THE OFFER MAKING THE DISCLOSURE

Details of any interests, short positions and rights to subscribe (including directors' and other employee options) of any person acting in concert with the party to the offer making the disclosure:

London Stock Exchange Group plc made its opening position disclosure of its interests and those of its concert parties in relevant securities on 24 September. The following information is in addition to the original disclosure. Toronto Dominion (South East Asia) Limited Class of relevant security: Hong Kong Exchanges and Clearing Limited ordinary NPV Interests Short positions Number % Number % (1) Relevant securities owned and/or controlled: 44,700 0.004% Nil - (2) Cash-settled derivatives: Nil - Nil - (3) Stock-settled derivatives (including options) and agreements to purchase/sell: Nil - Nil -      TOTAL: 44,700 0.004% Nil - TD Asset Management Inc Class of relevant security: Hong Kong Exchanges and Clearing Limited ordinary NPV Interests Short positions Number % Number % (1) Relevant securities owned and/or controlled: 503,060 0.04% Nil - (2) Cash-settled derivatives: Nil - Nil - (3) Stock-settled derivatives (including options) and agreements to purchase/sell: Nil - Nil -      TOTAL: 503,060 0.04% Nil Epoch Investment Partners, Inc. Class of relevant security: Hong Kong Exchanges and Clearing Limited ordinary NPV Interests Short positions Number % Number % (1) Relevant securities owned and/or controlled: 188,700 0.015% Nil - (2) Cash-settled derivatives: Nil - Nil - (3) Stock-settled derivatives (including options) and agreements to purchase/sell: Nil - Nil -      TOTAL: 188,700 0.015% Nil - TD Waterhouse Inc. Class of relevant security: Hong Kong Exchanges and Clearing Limited ordinary NPV Interests Short positions Number % Number % (1) Relevant securities owned and/or controlled: 22,100 0.002% Nil - (2) Cash-settled derivatives: Nil - Nil - (3) Stock-settled derivatives (including options) and agreements to purchase/sell: Nil - Nil -      TOTAL: 22,100 0.002% Nil - Morgan Stanley Asia Limited Class of relevant security: Hong Kong Exchanges and Clearing Limited ordinary NPV Interests Short positions Number % Number % (1) Relevant securities owned and/or controlled: 747,400 0.06% Nil - (2) Cash-settled derivatives: Nil - Nil - (3) Stock-settled derivatives (including options) and agreements to purchase/sell: Nil - Nil -      TOTAL: 747,400 0.06% Nil - Note that the interests of Royal Bank of Canada, London Branch in relevant securities disclosed on 24 September 2019 are covered by applicable exemptions from disclosure under the Takeover Code.

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).

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 making the disclosure or any person acting in concert with it: 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 making the disclosure, or any person acting in concert with it, 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:	27 September 2019
Contact name:	Lisa Condron
Telephone number:	[phone]

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.

 

END

 

 

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