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: 27 February 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: 1,651,717 0.86% 2,045,991 0.011
           
(2) Cash-settled derivatives:
783,835 0.41% 586,188 0.30%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)
  TOTAL: 2,435,552 1.26% 2,632,179 1.36%

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 9,897 79.9900 EUR 79 EUR
ORD Sale 9,155 79.9900 EUR 79 EUR
TENDERED ORD Purchase 138,780 82.0000 EUR 79.515 EUR
TENDERED ORD Sale 116,411 82.0000 EUR 79.515 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 25 79.7180 EUR
ORD CFD Long 36 79.3280 EUR
ORD CFD Long 46 79.5480 EUR
ORD CFD Long 50 79.0982 EUR
ORD CFD Long 54 79.7179 EUR
ORD CFD Long 59 79.3681 EUR
ORD CFD Long 64 80.0079 EUR
ORD CFD Long 72 79.3680 EUR
ORD CFD Long 75 79.3281 EUR
ORD CFD Long 106 79.6380 EUR
ORD CFD Long 108 79.5280 EUR
ORD CFD Long 129 79.4980 EUR
ORD CFD Long 200 79.3181 EUR
ORD CFD Long 201 79.4981 EUR
ORD CFD Long 265 79.9180 EUR
ORD CFD Long 278 79.5680 EUR
ORD CFD Long 280 79.5581 EUR
ORD CFD Long 295 79.2793 EUR
ORD CFD Long 303 79.3629 EUR
ORD CFD Long 376 79.6480 EUR
ORD CFD Long 410 79.9780 EUR
ORD CFD Long 476 79.0917 EUR
ORD CFD Long 500 79.2281 EUR
ORD CFD Long 546 79.9980 EUR
ORD CFD Long 630 79.5580 EUR
ORD CFD Long 636 79.5880 EUR
ORD CFD Long 671 79.5380 EUR
ORD CFD Long 1,045 79.5980 EUR
ORD SWAP Long 1,801 79.7100 EUR
ORD CFD Short 51 79.5119 EUR
ORD CFD Short 105 79.5803 EUR
ORD SWAP Short 163 79.4213 EUR
ORD SWAP Short 1,345 79.7100 EUR
ORD SWAP Short 2,275 79.4499 EUR
ORD SWAP Short 2,359 79.4173 EUR
ORD SWAP Short 4,220 79.3185 EUR
TENDERED ORD CFD Long 747 80.0913 EUR
TENDERED ORD SWAP Long 2,230 80.7600 EUR
TENDERED ORD CFD Long 19,172 82.0000 EUR
TENDERED ORD SWAP Long 25,385 80.0841 EUR
TENDERED ORD CFD Short 341 80.7600 EUR
TENDERED ORD CFD Short 4,892 80.1766 EUR
TENDERED ORD CFD Short 19,172 82.0000 EUR
TENDERED ORD CFD Short 21,980 80.0682 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: 28 Feb 2017
Contact name: Jay Supaya
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: 578544
Time of Receipt (offset from UTC): 20170228T113059+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC