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

LONDON--()--

FORM 8.5 (EPT/NON-RI)

AMENDMENT TO 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: 22 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: 1,811,460 0.94% 2,228,345 1.15%
           
(2) Cash-settled derivatives:        
1,021,936 0.53% 779,652 0.40%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
       
TOTAL: 2,833,396 1.47% 3,007,997 1.56%

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 12,296 80.4500 EUR 79.3423 EUR
ORD Sale 18,559 80.6200 EUR 79.5541 EUR
TENDERED ORD Purchase 20,910 80.9750 EUR 79.4183 EUR
TENDERED ORD Sale 58,971 80.9750 EUR 79.39 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 1 80.3700 EUR
ORD CFD Long 7 80.3385 EUR
ORD CFD Long 9 80.3377 EUR
ORD CFD Long 12 80.3383 EUR
ORD CFD Long 25 80.2880 EUR
ORD CFD Long 33 80.3478 EUR
ORD CFD Long 45 80.1880 EUR
ORD CFD Long 52 80.3280 EUR
ORD CFD Long 55 80.3180 EUR
ORD CFD Long 82 80.4679 EUR
ORD CFD Long 100 80.2280 EUR
ORD CFD Long 100 80.3279 EUR
ORD SWAP Long 105 80.2100 EUR
ORD CFD Long 115 80.4379 EUR
ORD CFD Long 127 80.3079 EUR
ORD CFD Long 146 80.3579 EUR
ORD CFD Long 203 80.1879 EUR
ORD CFD Long 240 80.2979 EUR
ORD CFD Long 253 80.5179 EUR
ORD SWAP Long 281 80.3946 EUR
ORD CFD Long 434 80.3379 EUR
ORD CFD Long 442 80.4106 EUR
ORD CFD Long 965 80.3179 EUR
ORD CFD Long 1,340 80.3326 EUR
ORD CFD Long 2,262 80.2179 EUR
ORD SWAP Short 191 79.7547 EUR
ORD SWAP Short 407 79.8357 EUR
ORD CFD Short 625 79.3423 EUR
TENDERED ORD SWAP Long 2,016 80.8993 EUR
TENDERED ORD SWAP Short 1,532 79.4196 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: 27 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: 580494
Time of Receipt (offset from UTC): 20170327T094458+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC