Form 8.5 (EPT/NON-RI) - DEUTSCHE BOERSE AG

LONDON--()--

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 DEUTSCHE BOERSE AG
  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: 30 November 2016
(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? LONDON STOCK EXCHANGE GROUP PLC

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:       ORD            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned        
and/or controlled: 1,514,223 0.78% 1,936,638 1.00%
           
(2) Cash-settled derivatives:        
712,935 0.37% 640,679 0.33%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)        
TOTAL: 2,227,158 1.15% 2,577,317 1.34%

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:  
Details, including nature of the rights concerned and relevant percentages:  

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
ORD Purchase 25,229 73.9900 EUR 73.324 EUR
ORD Sale 2,705 73.9900 EUR 73.118 EUR
TENDERED ORD Purchase 69,678 76.4100 EUR 75.29 EUR
TENDERED ORD Sale 69,209 76.4100 EUR 75.8783 EUR

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 34 73.7900 EUR
ORD SWAP Long 361 73.6705 EUR
ORD SWAP Long 525 73.6158 EUR
ORD SWAP Long 1,471 73.7216 EUR
ORD CFD Short 31 74.0109 EUR
ORD CFD Short 37 73.9410 EUR
ORD CFD Short 66 74.0210 EUR
ORD CFD Short 89 73.9411 EUR
ORD CFD Short 89 74.1211 EUR
ORD CFD Short 98 73.8211 EUR
ORD CFD Short 100 74.0611 EUR
ORD CFD Short 127 74.0007 EUR
ORD CFD Short 140 73.9910 EUR
ORD CFD Short 150 73.9111 EUR
ORD CFD Short 154 74.0211 EUR
ORD CFD Short 159 73.8310 EUR
ORD CFD Short 189 74.0011 EUR
ORD CFD Short 192 73.7910 EUR
ORD CFD Short 196 73.7810 EUR
ORD CFD Short 196 74.1311 EUR
ORD CFD Short 225 74.1611 EUR
ORD CFD Short 250 73.7710 EUR
ORD CFD Short 277 74.0511 EUR
ORD CFD Short 281 73.9750 EUR
ORD CFD Short 287 74.0111 EUR
ORD CFD Short 297 74.1011 EUR
ORD CFD Short 433 74.0811 EUR
ORD CFD Short 489 74.0911 EUR
ORD CFD Short 495 73.7610 EUR
ORD CFD Short 574 74.1511 EUR
TENDERED ORD SWAP Long 297 76.1894 EUR
TENDERED ORD CFD Long 2,171 76.1084 EUR
TENDERED ORD SWAP Expires 02/06/2018 Long 2,500 76.2026 EUR
TENDERED ORD SWAP Short 92 75.2907 EUR
TENDERED ORD SWAP Short 349 76.2500 EUR
TENDERED ORD CFD Short 5,692 76.2652 EUR

(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

Class of relevant security   Product description

e.g. call option

  Exercising/ exercised against   Number of securities   Exercise price per unit

(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)

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?   NO
Date of disclosure: 1 Dec 2016
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 +44 (0)20 7638 0129.

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

Short Name: BARCLAYS PLC
Category Code: FEO
Sequence Number: 568134
Time of Receipt (offset from UTC): 20161201T133025+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC