Form 8.5 (EPT/NON-RI) - London Stock Exchange 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

LONDON STOCK EXCHANGE GROUP PLC

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: 12 September 2019
(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?

HONG KONG EXCHANGES & CLEARING LTD

 
 

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: 6 79/86 p ordinary
Interests Short Positions
Number (%) Number (%)

(1)

Relevant securities owned
and/or controlled:

2,071,354

0.59%

1,705,441

0.49%

 

(2)

Cash-settled derivatives:

360,810

0.10%

1,298,830

0.37%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

0

0.00%

0

0.00%

 
 
TOTAL:

2,432,164

0.70%

3,004,271

0.86%

 

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

6 79/86 p ordinary Purchase

351,863

72.8000 GBP

71.68 GBP

6 79/86 p ordinary Sale

74,447

72.8000 GBP

71.68 GBP

(b) Cash-settled derivative transactions

Class of

Product

Nature of dealing

Number of

Price per

relevant

description

 

reference

unit

security

 

 

securities

 

6 79/86 p ordinary

SWAP

Long

31

72.5083 GBP

6 79/86 p ordinary

SWAP

Long

306

72.0920 GBP

6 79/86 p ordinary

SWAP

Long

615

72.1950 GBP

6 79/86 p ordinary

SWAP

Long

820

71.8932 GBP

6 79/86 p ordinary

CFD

Long

1,032

72.2646 GBP

6 79/86 p ordinary

CFD

Long

1,292

72.2527 GBP

6 79/86 p ordinary

CFD

Long

4,145

72.3339 GBP

6 79/86 p ordinary

SWAP

Long

6,123

72.1242 GBP

6 79/86 p ordinary

SWAP

Long

10,311

72.5200 GBP

6 79/86 p ordinary

SWAP

Long

16,347

72.1737 GBP

6 79/86 p ordinary

SWAP

Long

19,518

72.3578 GBP

6 79/86 p ordinary

SWAP

Short

2

72.0563 GBP

6 79/86 p ordinary

SWAP

Short

4

71.8854 GBP

6 79/86 p ordinary

SWAP

Short

4

71.9007 GBP

6 79/86 p ordinary

CFD

Short

4

72.1875 GBP

6 79/86 p ordinary

SWAP

Short

10

71.6943 GBP

6 79/86 p ordinary

SWAP

Short

12

71.8216 GBP

6 79/86 p ordinary

CFD

Short

12

72.1866 GBP

6 79/86 p ordinary

SWAP

Short

20

72.0731 GBP

6 79/86 p ordinary

SWAP

Short

24

72.0038 GBP

6 79/86 p ordinary

SWAP

Short

28

72.4000 GBP

6 79/86 p ordinary

SWAP

Short

28

72.4146 GBP

6 79/86 p ordinary

SWAP

Short

36

72.0473 GBP

6 79/86 p ordinary

SWAP

Short

97

71.8483 GBP

6 79/86 p ordinary

SWAP

Short

97

72.4775 GBP

6 79/86 p ordinary

SWAP

Short

102

71.9376 GBP

6 79/86 p ordinary

SWAP

Short

107

72.0229 GBP

6 79/86 p ordinary

SWAP

Short

108

72.0142 GBP

6 79/86 p ordinary

SWAP

Short

125

72.3788 GBP

6 79/86 p ordinary

SWAP

Short

140

71.9973 GBP

6 79/86 p ordinary

SWAP

Short

184

72.4474 GBP

6 79/86 p ordinary

SWAP

Short

184

72.4721 GBP

6 79/86 p ordinary

SWAP

Short

186

72.4919 GBP

6 79/86 p ordinary

SWAP

Short

195

72.2958 GBP

6 79/86 p ordinary

SWAP

Short

223

72.4522 GBP

6 79/86 p ordinary

SWAP

Short

223

72.5448 GBP

6 79/86 p ordinary

SWAP

Short

267

71.8800 GBP

6 79/86 p ordinary

SWAP

Short

332

72.2516 GBP

6 79/86 p ordinary

SWAP

Short

375

72.3435 GBP

6 79/86 p ordinary

SWAP

Short

435

72.3934 GBP

6 79/86 p ordinary

SWAP

Short

516

72.4787 GBP

6 79/86 p ordinary

SWAP

Short

797

72.2119 GBP

6 79/86 p ordinary

SWAP

Short

958

72.0779 GBP

6 79/86 p ordinary

SWAP

Short

984

72.4233 GBP

6 79/86 p ordinary

SWAP

Short

1,162

72.2885 GBP

6 79/86 p ordinary

SWAP

Short

1,183

72.5506 GBP

6 79/86 p ordinary

SWAP

Short

1,266

72.4455 GBP

6 79/86 p ordinary

SWAP

Short

1,571

72.0825 GBP

6 79/86 p ordinary

SWAP

Short

1,816

72.2721 GBP

6 79/86 p ordinary

SWAP

Short

2,807

72.4875 GBP

6 79/86 p ordinary

CFD

Short

3,311

72.1872 GBP

6 79/86 p ordinary

SWAP

Short

3,537

72.4873 GBP

6 79/86 p ordinary

SWAP

Short

3,862

72.3272 GBP

6 79/86 p ordinary

SWAP

Short

4,774

72.1189 GBP

6 79/86 p ordinary

SWAP

Short

5,748

72.4245 GBP

6 79/86 p ordinary

SWAP

Short

10,885

71.9955 GBP

6 79/86 p ordinary

SWAP

Short

12,691

72.5200 GBP

6 79/86 p ordinary

SWAP

Short

18,263

72.2056 GBP

6 79/86 p ordinary

SWAP

Short

19,056

72.3198 GBP

6 79/86 p ordinary

SWAP

Short

20,544

72.4869 GBP

6 79/86 p ordinary

SWAP

Short

23,088

72.2627 GBP

6 79/86 p ordinary

SWAP

Short

25,348

72.3039 GBP

6 79/86 p ordinary

SWAP

Short

27,877

72.2055 GBP

6 79/86 p ordinary

SWAP

Short

31,427

72.5034 GBP

6 79/86 p ordinary

SWAP

Short

113,233

72.1840 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:

13 Sep 2019

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

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: 675809
Time of Receipt (offset from UTC): 20190913T112708+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC