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: 05 January 2017
(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: 1,590,448 0.82% 1,989,862 1.03%
           
(2) Cash-settled derivatives:        
1,318,553 0.68% 557,099 0.29%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
       
TOTAL: 2,909,001 1.51% 2,546,961 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 7,088 76.2500 EUR 75.01 EUR
ORD Sale 11,614 76.2500 EUR 75.01 EUR
TENDERED ORD Purchase 10,179 77.7400 EUR 76.605 EUR
TENDERED ORD Sale 6,301 77.7500 EUR 76.5679 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 2 76.2500 EUR
ORD CFD Long 5 76.1180 EUR
ORD CFD Long 13 76.0084 EUR
ORD CFD Long 50 75.5486 EUR
ORD CFD Long 73 74.6787 EUR
ORD CFD Long 95 74.4988 EUR
ORD CFD Long 100 76.2386 EUR
ORD CFD Long 113 76.0085 EUR
ORD CFD Long 148 74.6087 EUR
ORD CFD Long 166 76.1885 EUR
ORD CFD Long 177 76.1385 EUR
ORD SWAP Long 181 76.1737 EUR
ORD CFD Long 190 74.7987 EUR
ORD CFD Long 193 75.4986 EUR
ORD SWAP Long 624 76.1029 EUR
ORD CFD Long 863 75.0026 EUR
ORD CFD Long 1,059 74.8887 EUR
ORD CFD Long 1,355 75.1931 EUR
ORD CFD Long 2,052 74.9987 EUR
ORD CFD Short 50 75.8014 EUR
ORD SWAP Short 94 76.1600 EUR
ORD CFD Short 213 75.1330 EUR
ORD SWAP Short 415 75.7542 EUR
ORD SWAP Short 520 75.7511 EUR
ORD SWAP Short 1,525 75.7145 EUR
TENDERED ORD SWAP Expires 09/07/2018 Long 3,400 77.2934 EUR
TENDERED ORD CFD Short 7,134 77.7400 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: 6 Jan 2017
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: 573637
Time of Receipt (offset from UTC): 20170106T100001+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC