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 relevant securities this form relates:

Use a separate form for each offeror/offeree

 

DEUTSCHE BOERSE AG

(c) Name of the party to the offer with which exempt principal trader is connected:  

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

 

1 Dec 2016

(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”

 

YES 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 1,505,897 0.78% 1,937,551 1.00%
and/or controlled:
           
(2) Cash-settled derivatives:        
714,309 0.37% 631,645 0.33%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)        
TOTAL: 2,220,206 1.15% 2,569,196 1.33%

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

(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 2,808 72.7400 EUR 71.5257 EUR
ORD Sale 5,505 72.7400 EUR 71.6889 EUR
TENDERED ORD Purchase 98,386 75.2000 EUR 74.3245 EUR
TENDERED ORD Sale 104,928 75.2000 EUR 74.2725 EUR
 
(b) Cash-settled derivative transactions      
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security     securities  
ORD CFD Long 15 71.8693 EUR
ORD CFD Long 20 72.3990 EUR
ORD CFD Long 22 72.3690 EUR
ORD CFD Long 25 71.8392 EUR
ORD CFD Long 43 72.3490 EUR
ORD CFD Long 49 72.5091 EUR
ORD CFD Long 50 72.4292 EUR
ORD CFD Long 62 72.4391 EUR
ORD CFD Long 65 72.4490 EUR
ORD CFD Long 66 72.2690 EUR
ORD CFD Long 71 72.2891 EUR
ORD CFD Long 91 72.5891 EUR
ORD CFD Long 121 72.6290 EUR
ORD SWAP Long 130 72.5336 EUR
ORD CFD Long 135 72.2265 EUR
ORD CFD Long 142 72.3691 EUR
ORD CFD Long 147 72.4591 EUR
ORD CFD Long 156 72.3991 EUR
ORD CFD Long 179 72.3591 EUR
ORD CFD Long 279 72.7291 EUR
ORD CFD Long 299 72.5723 EUR
ORD CFD Long 342 72.7190 EUR
ORD CFD Long 357 72.4791 EUR
ORD CFD Long 395 72.4291 EUR
ORD SWAP Long 401 72.1647 EUR
ORD CFD Long 638 72.4918 EUR
ORD SWAP Short 32 71.3600 EUR
ORD SWAP Short 100 71.4000 EUR
ORD SWAP Short 1,471 72.1229 EUR
TENDERED ORD SWAP Long 349 74.3600 EUR
TENDERED ORD SWAP Long 7,362 74.3735 EUR
TENDERED ORD SWAP Short 606 74.3600 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:

2 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: 569049
Time of Receipt (offset from UTC): 20161202T104551+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC