Form 8.5 (EPT/NON-RI) - NEX GROUP PLC

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 NEX GROUP PLC
  relevant securities this form relates:  
(c) Name of the party to the offer with which exempt CME GROUP INC
  principal trader is connected  
(d) Date position held/dealing undertaken: 18 June 2018
(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? 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: 16,313,664 4.30% 2,195,749 0.58%
           
(2) Cash-settled derivatives:
441,721 0.12% 15,891,152 4.18%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
 
TOTAL: 16,755,385 4.41% 18,086,901 4.76%

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 1,708,995 10.3940 GBP 10.35 GBP
17.5p ordinary Sale 306,115 10.3939 GBP 10.35 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 CFD Long 43 10.3574 GBP
17.5p ordinary SWAP Long 676 10.3650 GBP
17.5p ordinary SWAP Long 3,426 10.3779 GBP
17.5p ordinary SWAP Long 6,729 10.3633 GBP
17.5p ordinary CFD Long 8,001 10.3661 GBP
17.5p ordinary SWAP Long 17,698 10.3627 GBP
17.5p ordinary CFD Long 22,947 10.3691 GBP
17.5p ordinary SWAP Long 22,947 10.3691 GBP
17.5p ordinary CFD Long 27,701 10.3605 GBP
17.5p ordinary SWAP Long 29,117 10.3699 GBP
17.5p ordinary SWAP Long 31,057 10.3727 GBP
17.5p ordinary CFD Short 43 10.3900 GBP
17.5p ordinary SWAP Short 2,906 10.3670 GBP
17.5p ordinary CFD Short 3,056 10.3705 GBP
17.5p ordinary SWAP Short 3,056 10.3705 GBP
17.5p ordinary SWAP Short 7,222 10.3666 GBP
17.5p ordinary SWAP Short 44,010 10.3706 GBP
17.5p ordinary SWAP Expires 20/07/2019 Short 300,000 10.3762 GBP
17.5p ordinary SWAP Expires 20/07/2019 Short 450,000 10.3751 GBP
17.5p ordinary SWAP Expires 20/07/2019 Short 750,000 10.3798 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: 19 Jun 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: 649754
Time of Receipt (offset from UTC): 20180619T130344+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC