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

LONDON--()--

FORM 8.5 (EPT/NON-RI)

AMENDMENT T0 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: 28 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: 1,604,649 0.83% 2,034,180 1.05%
           
(2) Cash-settled derivatives:        
780,548 0.40% 591,222 0.31%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)        
TOTAL: 2,385,197 1.24% 2,625,402 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 12,395 81.0789 EUR 80.1836 EUR
ORD Sale 5,729 82.7300 EUR 80.2411 EUR
TENDERED ORD Purchase 123,298 81.5393 EUR 80.9 EUR
TENDERED ORD Sale 122,355 81.5912 EUR 80.8932 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 90 82.7237 EUR
ORD SWAP Long 1,345 80.1900 EUR
ORD SWAP Long 4,312 80.3391 EUR
ORD CFD Short 30 80.8620 EUR
ORD CFD Short 50 80.7222 EUR
ORD CFD Short 57 81.7522 EUR
ORD CFD Short 86 80.8720 EUR
ORD CFD Short 100 80.4921 EUR
ORD CFD Short 100 80.8821 EUR
ORD CFD Short 100 81.1122 EUR
ORD CFD Short 101 80.6820 EUR
ORD CFD Short 113 80.5921 EUR
ORD CFD Short 122 80.6221 EUR
ORD CFD Short 125 81.3021 EUR
ORD CFD Short 132 82.7397 EUR
ORD SWAP Short 163 80.3415 EUR
ORD CFD Short 173 80.8721 EUR
ORD CFD Short 178 80.8421 EUR
ORD CFD Short 180 80.3020 EUR
ORD CFD Short 190 80.9521 EUR
ORD CFD Short 204 81.9002 EUR
ORD CFD Short 251 81.3621 EUR
ORD CFD Short 283 80.9121 EUR
ORD CFD Short 289 80.8552 EUR
ORD CFD Short 313 81.7622 EUR
ORD CFD Short 395 81.0021 EUR
ORD CFD Short 421 80.8328 EUR
ORD SWAP Short 496 80.1989 EUR
ORD CFD Short 496 80.3120 EUR
ORD CFD Short 528 80.4820 EUR
ORD CFD Short 756 81.0121 EUR
ORD CFD Short 780 81.7422 EUR
ORD SWAP Short 905 80.3100 EUR
ORD SWAP Short 957 80.1900 EUR
ORD SWAP Short 1,055 80.3540 EUR
ORD CFD Short 2,284 80.2633 EUR
TENDERED ORD SWAP Long 278 80.9975 EUR
TENDERED ORD CFD Long 341 80.9000 EUR
TENDERED ORD CFD Short 35 80.9162 EUR
TENDERED ORD CFD Short 797 80.9161 EUR
TENDERED ORD SWAP Short 1,054 81.0854 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: 3 Mar 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: 578853
Time of Receipt (offset from UTC): 20170303T155954+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC