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: 23 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 1,761,786 0.91% 2,207,882 1.14%
and/or controlled:
           
(2) Cash-settled derivatives: 1,019,509 0.53% 783,326 0.41%
 
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4) 2,781,295 1.44% 2,991,208 1.55%
TOTAL:

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 10,385 81.0847 EUR 79.448 EUR
ORD Sale

10,178

81.1689 EUR 79.46 EUR
TENDERED ORD Purchase 17,606 81.5400 EUR 79.65 EUR
TENDERED ORD Sale 61,104 81.3000 EUR 79.65 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 53 80.8800 EUR
ORD SWAP Long 124 80.7946 EUR
ORD SWAP Long 827 80.7831 EUR
ORD CFD Short 1 79.4700 EUR
ORD CFD Short 1 79.5200 EUR
ORD CFD Short 1 79.5700 EUR
ORD CFD Short 2 79.4600 EUR
ORD CFD Short 2 79.5000 EUR
ORD CFD Short 2 79.5400 EUR
ORD CFD Short 2 79.9800 EUR
ORD CFD Short 3 79.4733 EUR
ORD CFD Short 3 79.5133 EUR
ORD CFD Short 3 79.5233 EUR
ORD CFD Short 4 79.4500 EUR
ORD CFD Short 4 79.5625 EUR
ORD CFD Short 4 79.5725 EUR
ORD CFD Short 5 79.5020 EUR
ORD CFD Short 5 79.6220 EUR
ORD CFD Short 5 79.9920 EUR
ORD CFD Short 6 79.4516 EUR
ORD CFD Short 6 79.4816 EUR
ORD CFD Short 6 79.5100 EUR
ORD CFD Short 7 79.4714 EUR
ORD CFD Short 8 79.4725 EUR
ORD CFD Short 9 79.5122 EUR
ORD CFD Short 9 79.5622 EUR
ORD CFD Short 10 79.9520 EUR
ORD CFD Short 11 79.5118 EUR
ORD CFD Short 12 79.4716 EUR
ORD CFD Short 12 79.8616 EUR
ORD CFD Short 12 79.9816 EUR
ORD CFD Short 13 79.4715 EUR
ORD CFD Short 14 79.4821 EUR
ORD CFD Short 14 79.8721 EUR
ORD CFD Short 15 79.5120 EUR
ORD CFD Short 15 79.5520 EUR
ORD CFD Short 16 79.5718 EUR
ORD CFD Short 18 79.5116 EUR
ORD CFD Short 19 79.7521 EUR
ORD CFD Short 24 79.6216 EUR
ORD CFD Short 26 79.7019 EUR
ORD CFD Short 26 79.7319 EUR
ORD CFD Short 27 79.9818 EUR
ORD CFD Short 28 79.6117 EUR
ORD CFD Short 31 79.9719 EUR
ORD CFD Short 35 79.4520 EUR
ORD CFD Short 35 79.9820 EUR
ORD CFD Short 36 79.9519 EUR
ORD CFD Short 40 79.6320 EUR
ORD CFD Short 42 79.5119 EUR
ORD CFD Short 42 79.7419 EUR
ORD CFD Short 48 79.8318 EUR
ORD CFD Short 48 80.0420 EUR
ORD CFD Short 50 79.9720 EUR
ORD CFD Short 52 79.5619 EUR
ORD CFD Short 54 79.6318 EUR
ORD CFD Short 54 79.7320 EUR
ORD CFD Short 55 79.5220 EUR
ORD CFD Short 60 79.7020 EUR
ORD CFD Short 65 79.7420 EUR
ORD CFD Short 75 79.8220 EUR
ORD CFD Short 92 79.5019 EUR
ORD CFD Short 100 79.7520 EUR
ORD CFD Short 110 80.0797 EUR
ORD CFD Short 114 79.5218 EUR
ORD CFD Short 125 79.7119 EUR
ORD CFD Short 227 79.5219 EUR
ORD SWAP Short 760 79.6707 EUR
ORD SWAP Short 829 79.8682 EUR
ORD CFD Short 1,674 80.6938 EUR
TENDERED ORD SWAP Short 1,842 80.1514 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: 24 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: 580405
Time of Receipt (offset from UTC): 20170324T093738+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC