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: 17 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:

2,335,225

0.67%

1,833,454

0.52%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

504,088

0.14%

1,561,316

0.45%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

2,839,313

0.81%

3,394,770

0.97%

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

93,951

74.1800 GBP

73.4654 GBP

6 79/86 p ordinary

Sale

54,351

74.1800 GBP

73.5 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

CFD

Long

39

73.5000 GBP

6 79/86 p ordinary

SWAP

Long

75

73.3312 GBP

6 79/86 p ordinary

SWAP

Long

110

73.7600 GBP

6 79/86 p ordinary

SWAP

Long

206

73.6854 GBP

6 79/86 p ordinary

CFD

Long

3,729

73.8912 GBP

6 79/86 p ordinary

CFD

Long

4,114

73.8082 GBP

6 79/86 p ordinary

SWAP

Long

6,235

74.1285 GBP

6 79/86 p ordinary

SWAP

Long

6,754

73.8463 GBP

6 79/86 p ordinary

SWAP

Long

10,090

73.5757 GBP

6 79/86 p ordinary

CFD

Short

5

73.6920 GBP

6 79/86 p ordinary

CFD

Short

9

73.6922 GBP

6 79/86 p ordinary

SWAP

Short

16

73.9636 GBP

6 79/86 p ordinary

CFD

Short

35

73.6928 GBP

6 79/86 p ordinary

CFD

Short

39

73.9692 GBP

6 79/86 p ordinary

SWAP

Short

40

73.8400 GBP

6 79/86 p ordinary

SWAP

Short

97

73.4655 GBP

6 79/86 p ordinary

SWAP

Short

173

74.0299 GBP

6 79/86 p ordinary

SWAP

Short

215

73.7851 GBP

6 79/86 p ordinary

SWAP

Short

315

74.0770 GBP

6 79/86 p ordinary

SWAP

Short

365

73.6069 GBP

6 79/86 p ordinary

SWAP

Short

401

74.1126 GBP

6 79/86 p ordinary

SWAP

Short

572

73.7252 GBP

6 79/86 p ordinary

SWAP

Short

1,045

73.7484 GBP

6 79/86 p ordinary

CFD

Short

1,374

73.6926 GBP

6 79/86 p ordinary

SWAP

Short

1,472

73.6478 GBP

6 79/86 p ordinary

CFD

Short

1,676

73.5706 GBP

6 79/86 p ordinary

SWAP

Short

1,750

73.8399 GBP

6 79/86 p ordinary

SWAP

Short

2,125

73.6410 GBP

6 79/86 p ordinary

CFD

Short

2,127

73.6382 GBP

6 79/86 p ordinary

SWAP

Short

2,391

73.8091 GBP

6 79/86 p ordinary

SWAP

Short

6,551

73.7494 GBP

6 79/86 p ordinary

SWAP

Short

14,530

73.5948 GBP

6 79/86 p ordinary

SWAP

Short

15,497

73.9653 GBP

6 79/86 p ordinary

SWAP

Short

22,987

73.7941 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:

18 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: 676256
Time of Receipt (offset from UTC): 20190918T110215+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC