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

LONDON--()--

FORM 8.5 (EPT/NON-RI)

Amendment to Section 2(a) & 3(a)

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: 11 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: 1,586,841 0.82% 1,993,439 1.03%
           
(2) Cash-settled derivatives:        
773,095 0.40% 558,865 0.29%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)        
TOTAL: 2,359,936 1.22% 2,552,304 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 3,709 76.6000 EUR 76.3112 EUR
ORD Sale 926 76.7750 EUR 76.36 EUR
TENDERED ORD Purchase 4,061 78.9500 EUR 77.955 EUR
TENDERED ORD Sale 6,914 78.9548 EUR 77.955 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 78 76.6200 EUR
ORD SWAP Long 102 76.6001 EUR
ORD SWAP Long 129 76.5909 EUR
ORD SWAP Long 296 76.6664 EUR
ORD CFD Short 3 76.0800 EUR
ORD CFD Short 3 76.3300 EUR
ORD CFD Short 4 76.1825 EUR
ORD CFD Short 25 76.1016 EUR
ORD CFD Short 40 76.5815 EUR
ORD CFD Short 51 76.2613 EUR
ORD CFD Short 62 76.2314 EUR
ORD CFD Short 84 76.2414 EUR
ORD CFD Short 87 76.2914 EUR
ORD CFD Short 101 76.1813 EUR
ORD CFD Short 116 76.6414 EUR
ORD CFD Short 122 76.1613 EUR
ORD CFD Short 125 76.1414 EUR
ORD CFD Short 132 76.3214 EUR
ORD CFD Short 136 76.6114 EUR
ORD CFD Short 140 76.2814 EUR
ORD CFD Short 150 76.3614 EUR
ORD CFD Short 244 76.3514 EUR
ORD CFD Short 268 76.6514 EUR
ORD CFD Short 305 76.5774 EUR
ORD CFD Short 310 76.1614 EUR
ORD CFD Short 334 76.2988 EUR
ORD CFD Short 546 76.3714 EUR
TENDERED ORD SWAP Long 735 78.7000 EUR
TENDERED ORD SWAP Expires 13/07/2018 Long 3,200 78.4358 EUR
TENDERED ORD SWAP Expires 15/01/2018 Short 215,012 78.7000 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: 13 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: 574300
Time of Receipt (offset from UTC): 20170113T151734+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC