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: 06 December 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: 1,480,684 0.77% 1,936,893 1.00%
           
(2) Cash-settled derivatives:        
714,403 0.37% 606,546 0.31%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
 
TOTAL: 2,195,087 1.14% 2,543,439 1.32%

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 5,983 71.3000 EUR 70.01 EUR
ORD Sale 9,833 71.0433 EUR 70.01 EUR
TENDERED ORD Purchase 9,679 73.6300 EUR 73.5676 EUR
TENDERED ORD Sale 30,293 73.6521 EUR 73.3799 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 10 69.8800 EUR
ORD CFD Long 10 69.8900 EUR
ORD CFD Long 14 71.1392 EUR
ORD SWAP Long 34 70.9100 EUR
ORD CFD Long 37 69.9894 EUR
ORD CFD Long 39 69.8500 EUR
ORD CFD Long 53 70.0228 EUR
ORD CFD Long 54 70.0194 EUR
ORD CFD Long 54 70.8494 EUR
ORD CFD Long 57 69.8400 EUR
ORD CFD Long 75 70.0094 EUR
ORD CFD Long 93 70.1594 EUR
ORD CFD Long 121 70.2395 EUR
ORD CFD Long 126 70.8393 EUR
ORD CFD Long 143 70.4894 EUR
ORD CFD Long 145 71.1093 EUR
ORD CFD Long 209 70.3694 EUR
ORD CFD Long 215 70.1294 EUR
ORD CFD Long 230 69.8395 EUR
ORD CFD Long 247 69.9994 EUR
ORD CFD Long 296 70.1394 EUR
ORD CFD Long 299 70.4194 EUR
ORD CFD Long 300 70.0595 EUR
ORD CFD Long 307 69.9995 EUR
ORD CFD Long 310 70.7993 EUR
ORD CFD Long 316 70.6593 EUR
ORD CFD Long 411 69.8495 EUR
ORD CFD Long 716 70.3213 EUR
ORD CFD Long 900 69.9895 EUR
ORD SWAP Short 26 70.8600 EUR
ORD CFD Short 770 70.3259 EUR
ORD SWAP Short 1,175 70.6168 EUR
TENDERED ORD CFD Long 244 73.4500 EUR
TENDERED ORD SWAP Long 5,447 73.3835 EUR
TENDERED ORD CFD Long 14,840 73.6300 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: 7 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: 569861
Time of Receipt (offset from UTC): 20161207T093503+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC