Form 8.5 - LONDON STOCK EXCHANGE GROUP PLC

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

 

LONDON STOCK EXCHANGE GROUP PLC

(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

 

17 FEB 2017

(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

DEUTSCHE BOERSE AG

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: 1,453,039 0.41% 853,886 0.24%
           
(2) Cash-settled derivatives:
95,947 0.03% 749,445 0.21%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 1,548,986 0.44% 1,603,331 0.46%

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

Purchase/sale   Total number of   Highest price per unit   Lowest price per unit
  securities paid/received paid/received
Purchase 92,933 31.3025 GBP 31.08 GBP
Sale 106,363 31.3000 GBP 31.11 GBP
Purchase 100 9.8000 USD 9.8 USD
Sale 100 9.8000 USD 9.8 USD
 
Cash-settled derivative transactions      
Product Nature of dealing Number of Price per
description reference unit
    securities  
SWAP Long 248 31.1326 GBP
SWAP Long 300 31.2197 GBP
SWAP Long 716 31.1738 GBP
SWAP Long 1,206 31.1805 GBP
CFD Long 1,297 31.2974 GBP
CFD Long 1,566 31.2171 GBP
SWAP Long 2,640 31.2060 GBP
SWAP Long 15,333 31.1949 GBP
SWAP Long 32,338 31.2080 GBP
CFD Short 24 31.2129 GBP
CFD Short 39 31.2371 GBP
CFD Short 85 31.3024 GBP
CFD Short 103 31.2509 GBP
CFD Short 226 31.3025 GBP
SWAP Short 249 31.1300 GBP
CFD Short 275 31.2510 GBP
CFD Short 498 31.1681 GBP
SWAP Short 1,193 31.2203 GBP
CFD Short 1,372 31.2445 GBP
SWAP Short 2,657 31.1514 GBP
SWAP Short 2,792 31.2034 GBP
CFD Short 5,279 31.2178 GBP
SWAP Short 6,685 31.2251 GBP

(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:  

20 FEB 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: 577962
Time of Receipt (offset from UTC): 20170220T094857+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC