Form 8.5 - NEX GROUP PLC - Amendment

LONDON--()--

FORM 8.5 (EPT/NON-RI) AMENDMENT TO SALES

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 relevant securities this form relates:

Use a separate form for each offeror/offeree

 

NEX GROUP PLC

(c) Name of the party to the offer with which exempt principal trader is connected:  

CME GROUP INC

(d) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

29 March 2018

(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

YES CME GROUP INC

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:       17.5p ordinary            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,824,832 1.30% 2,477,820 0.65%
           
(2) Cash-settled derivatives:
532,333 0.14% 4,415,434 1.16%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 5,357,165 1.44% 6,893,254 1.82%

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
17.5p ordinary Purchase 743,191 9.8100 GBP 9.6909 GBP
17.5p ordinary Sale 1,620,046 9.8100 GBP 9.66 GBP
 
(b) Cash-settled derivative transactions      
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security     securities  
17.5p ordinary SWAP Long 125 9.7750 GBP
17.5p ordinary SWAP Long 200 9.7350 GBP
17.5p ordinary SWAP Long 372 9.7447 GBP
17.5p ordinary SWAP Long 494 9.8330 GBP
17.5p ordinary CFD Long 2,251 9.6958 GBP
17.5p ordinary CFD Long 4,000 9.4991 GBP
17.5p ordinary CFD Long 4,452 9.6950 GBP
17.5p ordinary CFD Long 10,234 9.7503 GBP
17.5p ordinary SWAP Long 14,835 9.7140 GBP
17.5p ordinary CFD Long 15,304 9.7115 GBP
17.5p ordinary CFD Long 20,825 9.7647 GBP
17.5p ordinary CFD Long 24,397 9.7742 GBP
17.5p ordinary SWAP Long 34,960 9.7172 GBP
17.5p ordinary SWAP Long 35,516 9.7608 GBP
17.5p ordinary CFD Long 36,664 9.6699 GBP
17.5p ordinary SWAP Long 37,304 9.8100 GBP
17.5p ordinary CFD Long 42,065 9.6732 GBP
17.5p ordinary CFD Long 49,061 9.7029 GBP
17.5p ordinary CFD Long 53,658 9.7096 GBP
17.5p ordinary SWAP Long 59,495 9.7268 GBP
17.5p ordinary CFD Long 86,594 9.7130 GBP
17.5p ordinary CFD Long 112,587 9.6987 GBP
17.5p ordinary CFD Long 156,337 9.7610 GBP
17.5p ordinary CFD Long 161,511 9.7406 GBP
17.5p ordinary SWAP Long 186,117 9.7010 GBP
17.5p ordinary CFD Long 191,857 9.7004 GBP
17.5p ordinary SWAP Short 76 9.6800 GBP
17.5p ordinary SWAP Short 500 9.6300 GBP
17.5p ordinary SWAP Short 766 9.7980 GBP
17.5p ordinary SWAP Short 800 9.7057 GBP
17.5p ordinary SWAP Short 1,534 9.7080 GBP
17.5p ordinary SWAP Short 1,636 9.8100 GBP
17.5p ordinary SWAP Short 3,702 9.7269 GBP
17.5p ordinary SWAP Short 5,587 9.7952 GBP
17.5p ordinary CFD Short 6,004 9.7958 GBP
17.5p ordinary SWAP Short 17,818 9.7280 GBP
17.5p ordinary SWAP Short 46,162 9.8037 GBP
17.5p ordinary SWAP Short 58,153 9.7029 GBP
17.5p ordinary CFD Short 319,855 9.7519 GBP

(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:  

30 Apr 2018

Contact name:

Jay Supaya

Telephone number:

020 7773 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: 646103
Time of Receipt (offset from UTC): 20180430T104430+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC