FORM 8.5 (EPT/NON-RI) - LONDON STOCK EXCHANGE 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

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:

11 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:

1,819,782

0.52%

1,731,727

0.50%

 

(2)

Cash-settled derivatives:

385,907

0.11%

1,044,199

0.30%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

2,205,689

0.63%

2,775,926

0.79%

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

536,442

74.8600 GBP

67 GBP

6 79/86 p ordinary Sale

426,989

76.2884 GBP

67 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

45

67.5004 GBP
6 79/86 p ordinary SWAP Long

98

67.3743 GBP
6 79/86 p ordinary SWAP Long

189

72.1678 GBP
6 79/86 p ordinary CFD Long

225

73.7500 GBP
6 79/86 p ordinary SWAP Long

261

72.2000 GBP
6 79/86 p ordinary CFD Long

298

67.6084 GBP
6 79/86 p ordinary SWAP Long

300

72.5000 GBP
6 79/86 p ordinary SWAP Long

420

76.2884 GBP
6 79/86 p ordinary CFD Long

616

72.6080 GBP
6 79/86 p ordinary SWAP Long

648

73.8239 GBP
6 79/86 p ordinary CFD Long

780

74.8023 GBP
6 79/86 p ordinary SWAP Long

837

70.2890 GBP
6 79/86 p ordinary SWAP Long

866

71.3668 GBP
6 79/86 p ordinary SWAP Long

914

72.9492 GBP
6 79/86 p ordinary SWAP Long

972

71.2900 GBP
6 79/86 p ordinary CFD Long

1,040

67.1772 GBP
6 79/86 p ordinary SWAP Long

1,249

69.0586 GBP
6 79/86 p ordinary SWAP Long

2,467

71.2872 GBP
6 79/86 p ordinary CFD Long

2,591

71.8193 GBP
6 79/86 p ordinary CFD Long

3,891

71.5695 GBP
6 79/86 p ordinary CFD Long

7,956

74.5053 GBP
6 79/86 p ordinary SWAP Long

12,965

72.1007 GBP
6 79/86 p ordinary SWAP Long

24,701

71.6899 GBP
6 79/86 p ordinary CFD Long

27,062

68.1800 GBP
6 79/86 p ordinary SWAP Long

28,072

72.0600 GBP
6 79/86 p ordinary SWAP Long

43,332

74.7200 GBP
6 79/86 p ordinary CFD Short

27

71.4044 GBP
6 79/86 p ordinary SWAP Short

68

72.4317 GBP
6 79/86 p ordinary SWAP Short

75

71.9400 GBP
6 79/86 p ordinary SWAP Short

139

71.9589 GBP
6 79/86 p ordinary SWAP Short

200

67.2700 GBP
6 79/86 p ordinary SWAP Short

217

72.4044 GBP
6 79/86 p ordinary SWAP Short

276

72.2002 GBP
6 79/86 p ordinary SWAP Short

290

67.2724 GBP
6 79/86 p ordinary CFD Short

847

68.1854 GBP
6 79/86 p ordinary CFD Short

1,400

72.1653 GBP
6 79/86 p ordinary CFD Short

1,400

72.3454 GBP
6 79/86 p ordinary CFD Short

1,500

71.7133 GBP
6 79/86 p ordinary CFD Short

1,850

68.8800 GBP
6 79/86 p ordinary CFD Short

1,988

71.4045 GBP
6 79/86 p ordinary SWAP Short

2,077

71.9180 GBP
6 79/86 p ordinary SWAP Short

2,113

74.2440 GBP
6 79/86 p ordinary CFD Short

2,664

72.1520 GBP
6 79/86 p ordinary CFD Short

2,808

72.2637 GBP
6 79/86 p ordinary SWAP Short

3,572

71.7444 GBP
6 79/86 p ordinary CFD Short

4,525

72.3208 GBP
6 79/86 p ordinary SWAP Short

4,587

71.1311 GBP
6 79/86 p ordinary CFD Short

4,858

69.5870 GBP
6 79/86 p ordinary SWAP Short

5,923

71.9070 GBP
6 79/86 p ordinary SWAP Short

6,637

71.9923 GBP
6 79/86 p ordinary SWAP Short

7,560

71.8336 GBP
6 79/86 p ordinary CFD Short

11,298

72.2629 GBP
6 79/86 p ordinary SWAP Short

11,623

72.7954 GBP
6 79/86 p ordinary CFD Short

12,094

72.1272 GBP
6 79/86 p ordinary SWAP Short

13,489

72.1298 GBP
6 79/86 p ordinary SWAP Short

16,220

70.5822 GBP
6 79/86 p ordinary SWAP Short

28,072

72.0600 GBP
6 79/86 p ordinary CFD Short

36,065

71.8594 GBP
6 79/86 p ordinary SWAP Short

43,332

74.7200 GBP
6 79/86 p ordinary SWAP Short

58,062

71.6837 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: 675823
Time of Receipt (offset from UTC): 20190913T144933+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC