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

LONDON--()-- 

FORM 8.5 (EPT/NON-RI) - Amendment to Purchase

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: 13 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:

2,325,033

0.66%

1,768,272

0.51%

 

(2)

Cash-settled derivatives:

423,687

0.12%

1,520,013

0.43%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

2,748,720

0.79%

3,288,285

0.94%

 

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

369,257

75.1377 GBP

72.5927 GBP

6 79/86 p ordinary

Sale

178,409

75.1550 GBP

72.76 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

18

74.5000 GBP

6 79/86 p ordinary SWAP Long

59

74.7537 GBP

6 79/86 p ordinary SWAP Long

200

74.6244 GBP

6 79/86 p ordinary CFD Long

361

74.6204 GBP

6 79/86 p ordinary CFD Long

442

73.9273 GBP

6 79/86 p ordinary SWAP Long

754

74.7377 GBP

6 79/86 p ordinary SWAP Long

1,458

74.0875 GBP

6 79/86 p ordinary SWAP Long

1,741

74.8420 GBP

6 79/86 p ordinary CFD Long

1,798

75.1339 GBP

6 79/86 p ordinary CFD Long

2,297

74.5898 GBP

6 79/86 p ordinary SWAP Long

3,310

74.1985 GBP

6 79/86 p ordinary SWAP Long

7,036

75.1392 GBP

6 79/86 p ordinary CFD Long

7,787

74.2901 GBP

6 79/86 p ordinary SWAP Long

55,049

73.9460 GBP

6 79/86 p ordinary SWAP Long

59,072

74.5149 GBP

6 79/86 p ordinary SWAP Short

1

73.0049 GBP

6 79/86 p ordinary SWAP Short

1

74.7149 GBP

6 79/86 p ordinary SWAP Short

2

73.9693 GBP

6 79/86 p ordinary SWAP Short

2

74.1729 GBP

6 79/86 p ordinary SWAP Short

4

74.2157 GBP

6 79/86 p ordinary CFD Short

4

74.2375 GBP

6 79/86 p ordinary SWAP Short

5

74.0099 GBP

6 79/86 p ordinary SWAP Short

5

75.0780 GBP

6 79/86 p ordinary SWAP Short

6

73.1400 GBP

6 79/86 p ordinary CFD Short

6

74.2350 GBP

6 79/86 p ordinary SWAP Short

8

73.6918 GBP

6 79/86 p ordinary CFD Short

8

74.2362 GBP

6 79/86 p ordinary SWAP Short

9

74.2579 GBP

6 79/86 p ordinary SWAP Short

11

73.8550 GBP

6 79/86 p ordinary SWAP Short

13

74.0995 GBP

6 79/86 p ordinary SWAP Short

14

73.7814 GBP

6 79/86 p ordinary SWAP Short

21

72.8114 GBP

6 79/86 p ordinary SWAP Short

25

73.5931 GBP

6 79/86 p ordinary SWAP Short

31

73.2831 GBP

6 79/86 p ordinary SWAP Short

32

73.8353 GBP

6 79/86 p ordinary SWAP Short

34

73.1567 GBP

6 79/86 p ordinary SWAP Short

38

74.3214 GBP

6 79/86 p ordinary SWAP Short

39

73.2772 GBP

6 79/86 p ordinary SWAP Short

45

73.3829 GBP

6 79/86 p ordinary SWAP Short

47

74.9608 GBP

6 79/86 p ordinary SWAP Short

64

73.7646 GBP

6 79/86 p ordinary SWAP Short

73

73.3224 GBP

6 79/86 p ordinary SWAP Short

80

74.0837 GBP

6 79/86 p ordinary SWAP Short

84

73.6020 GBP

6 79/86 p ordinary SWAP Short

90

73.5511 GBP

6 79/86 p ordinary SWAP Short

95

74.8378 GBP

6 79/86 p ordinary SWAP Short

102

73.6964 GBP

6 79/86 p ordinary SWAP Short

125

72.8133 GBP

6 79/86 p ordinary CFD Short

136

73.7558 GBP

6 79/86 p ordinary SWAP Short

163

73.1607 GBP

6 79/86 p ordinary SWAP Short

185

73.2876 GBP

6 79/86 p ordinary SWAP Short

226

73.2597 GBP

6 79/86 p ordinary SWAP Short

254

73.1577 GBP

6 79/86 p ordinary SWAP Short

317

73.5723 GBP

6 79/86 p ordinary SWAP Short

373

73.3347 GBP

6 79/86 p ordinary SWAP Short

420

74.3415 GBP

6 79/86 p ordinary SWAP Short

473

73.6952 GBP

6 79/86 p ordinary SWAP Short

482

73.5884 GBP

6 79/86 p ordinary SWAP Short

486

73.5635 GBP

6 79/86 p ordinary CFD Short

833

74.2368 GBP

6 79/86 p ordinary SWAP Short

894

73.6359 GBP

6 79/86 p ordinary SWAP Short

977

74.1354 GBP

6 79/86 p ordinary SWAP Short

1,067

74.6502 GBP

6 79/86 p ordinary CFD Short

1,195

74.5068 GBP

6 79/86 p ordinary SWAP Short

1,477

74.3501 GBP

6 79/86 p ordinary SWAP Short

1,484

74.3131 GBP

6 79/86 p ordinary CFD Short

2,228

72.6058 GBP

6 79/86 p ordinary SWAP Short

2,493

74.9748 GBP

6 79/86 p ordinary SWAP Short

2,867

73.5549 GBP

6 79/86 p ordinary SWAP Short

3,831

74.0820 GBP

6 79/86 p ordinary SWAP Short

3,925

73.4140 GBP

6 79/86 p ordinary SWAP Short

4,255

73.9875 GBP

6 79/86 p ordinary SWAP Short

4,415

73.4466 GBP

6 79/86 p ordinary SWAP Short

6,516

74.5333 GBP

6 79/86 p ordinary SWAP Short

20,278

74.0069 GBP

6 79/86 p ordinary SWAP Short

22,668

73.4133 GBP

6 79/86 p ordinary SWAP Short

31,680

74.0965 GBP

6 79/86 p ordinary SWAP Short

35,315

73.7195 GBP

6 79/86 p ordinary SWAP Short

38,238

74.2225 GBP

6 79/86 p ordinary SWAP Short

143,728

73.9130 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:

17 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: 676187
Time of Receipt (offset from UTC): 20190917T144007+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC