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: 20 March 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: 2,042,426 1.06% 2,334,621 1.21%
           
(2) Cash-settled derivatives:
1,087,383 0.59% 903,027 0.46%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 3,129,809 1.65% 3,237,648 1.67%

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 8,244 81.5418 EUR 80.92 EUR
ORD Sale 5,720 81.5400 EUR 80.92 EUR
TENDERED ORD Purchase 33,621 81.8750 EUR 80.9591 EUR
TENDERED ORD Sale 27,759 81.8750 EUR 81.02 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 100 81.5639 EUR
ORD SWAP Long 189 81.2908 EUR
ORD SWAP Long 424 81.3300 EUR
ORD SWAP Long 673 81.3426 EUR
ORD SWAP Long 1,293 81.4782 EUR
ORD CFD Long 2,470 81.1676 EUR
ORD CFD Short 7 81.7028 EUR
ORD CFD Short 10 81.4620 EUR
ORD CFD Short 11 81.7018 EUR
ORD CFD Short 36 81.8922 EUR
ORD CFD Short 38 81.0921 EUR
ORD CFD Short 39 81.4623 EUR
ORD CFD Short 45 81.4222 EUR
ORD CFD Short 50 81.3122 EUR
ORD CFD Short 55 81.3021 EUR
ORD CFD Short 55 81.5321 EUR
ORD CFD Short 55 81.7421 EUR
ORD CFD Short 56 81.8823 EUR
ORD CFD Short 59 81.3922 EUR
ORD CFD Short 66 81.4922 EUR
ORD CFD Short 76 81.8822 EUR
ORD CFD Short 89 81.7522 EUR
ORD CFD Short 89 81.8622 EUR
ORD CFD Short 100 81.5722 EUR
ORD CFD Short 100 81.5822 EUR
ORD CFD Short 100 81.6622 EUR
ORD CFD Short 100 81.7123 EUR
ORD CFD Short 100 81.8123 EUR
ORD CFD Short 100 81.8623 EUR
ORD CFD Short 101 81.4521 EUR
ORD CFD Short 123 81.8722 EUR
ORD CFD Short 130 81.0953 EUR
ORD CFD Short 142 80.9221 EUR
ORD CFD Short 144 81.5622 EUR
ORD CFD Short 175 81.5471 EUR
ORD SWAP Short 206 81.3153 EUR
ORD CFD Short 269 81.5248 EUR
ORD CFD Short 293 81.5021 EUR
ORD CFD Short 300 81.4122 EUR
ORD CFD Short 300 81.6822 EUR
ORD CFD Short 332 81.4339 EUR
ORD CFD Short 341 81.3221 EUR
ORD CFD Short 420 81.1121 EUR
ORD CFD Short 600 81.5122 EUR
ORD SWAP Short 732 81.1930 EUR
ORD CFD Short 849 81.5483 EUR
ORD SWAP Short 911 81.1697 EUR
TENDERED ORD SWAP Long 545 81.2913 EUR
TENDERED ORD SWAP Long 10,409 81.8700 EUR
TENDERED ORD SWAP Short 251 81.7430 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: 21 Mar 2017
Contact name: Jay Supaya
Telephone number: 0207 773 0635

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: 580112
Time of Receipt (offset from UTC): 20170321T100842+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC