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: 16 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:

2,331,172

0.67%

1,869,334

0.53%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

543,317

0.16%

1,556,090

0.44%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

2,874,489

0.82%

3,425,424

0.98%

 

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

93,799

74.0400 GBP

72.88 GBP

6 79/86 p ordinary

Sale

189,050

74.3400 GBP

72.88 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

35

73.2200 GBP

6 79/86 p ordinary

SWAP

Long

122

73.5515 GBP

6 79/86 p ordinary

SWAP

Long

146

73.4715 GBP

6 79/86 p ordinary

SWAP

Long

244

73.7852 GBP

6 79/86 p ordinary

SWAP

Long

382

73.7692 GBP

6 79/86 p ordinary

SWAP

Long

468

73.6944 GBP

6 79/86 p ordinary

SWAP

Long

637

73.2833 GBP

6 79/86 p ordinary

SWAP

Long

1,088

73.6379 GBP

6 79/86 p ordinary

SWAP

Long

1,603

73.5518 GBP

6 79/86 p ordinary

CFD

Long

1,800

73.1730 GBP

6 79/86 p ordinary

CFD

Long

2,033

74.3400 GBP

6 79/86 p ordinary

CFD

Long

2,039

73.5669 GBP

6 79/86 p ordinary

SWAP

Long

2,578

73.2551 GBP

6 79/86 p ordinary

CFD

Long

2,771

74.0340 GBP

6 79/86 p ordinary

CFD

Long

3,846

73.3923 GBP

6 79/86 p ordinary

SWAP

Long

6,103

73.3452 GBP

6 79/86 p ordinary

SWAP

Long

10,373

74.0224 GBP

6 79/86 p ordinary

CFD

Long

12,043

73.3165 GBP

6 79/86 p ordinary

CFD

Long

13,374

74.0400 GBP

6 79/86 p ordinary

SWAP

Long

27,686

73.8031 GBP

6 79/86 p ordinary

SWAP

Long

81,140

73.9537 GBP

6 79/86 p ordinary

SWAP

Short

3

73.6355 GBP

6 79/86 p ordinary

SWAP

Short

7

73.6273 GBP

6 79/86 p ordinary

SWAP

Short

7

73.7655 GBP

6 79/86 p ordinary

CFD

Short

10

73.6370 GBP

6 79/86 p ordinary

SWAP

Short

11

73.4727 GBP

6 79/86 p ordinary

CFD

Short

11

73.6363 GBP

6 79/86 p ordinary

SWAP

Short

12

73.6423 GBP

6 79/86 p ordinary

SWAP

Short

15

73.8273 GBP

6 79/86 p ordinary

CFD

Short

17

73.6364 GBP

6 79/86 p ordinary

SWAP

Short

21

73.5841 GBP

6 79/86 p ordinary

SWAP

Short

23

73.6000 GBP

6 79/86 p ordinary

SWAP

Short

35

73.6236 GBP

6 79/86 p ordinary

SWAP

Short

45

73.4422 GBP

6 79/86 p ordinary

SWAP

Short

45

73.5788 GBP

6 79/86 p ordinary

CFD

Short

57

73.6366 GBP

6 79/86 p ordinary

SWAP

Short

139

73.6490 GBP

6 79/86 p ordinary

SWAP

Short

154

73.5999 GBP

6 79/86 p ordinary

SWAP

Short

164

73.5975 GBP

6 79/86 p ordinary

SWAP

Short

252

73.6300 GBP

6 79/86 p ordinary

SWAP

Short

305

73.5675 GBP

6 79/86 p ordinary

SWAP

Short

387

73.4130 GBP

6 79/86 p ordinary

SWAP

Short

525

73.6304 GBP

6 79/86 p ordinary

SWAP

Short

573

73.6528 GBP

6 79/86 p ordinary

SWAP

Short

701

73.6416 GBP

6 79/86 p ordinary

SWAP

Short

723

73.1805 GBP

6 79/86 p ordinary

CFD

Short

750

73.1115 GBP

6 79/86 p ordinary

SWAP

Short

1,092

73.4634 GBP

6 79/86 p ordinary

SWAP

Short

1,298

73.6217 GBP

6 79/86 p ordinary

SWAP

Short

1,535

73.5540 GBP

6 79/86 p ordinary

CFD

Short

1,535

74.3459 GBP

6 79/86 p ordinary

SWAP

Short

3,174

73.7118 GBP

6 79/86 p ordinary

SWAP

Short

5,944

73.4822 GBP

6 79/86 p ordinary

SWAP

Short

6,235

74.0400 GBP

6 79/86 p ordinary

SWAP

Short

6,396

73.3781 GBP

6 79/86 p ordinary

CFD

Short

6,981

73.6367 GBP

6 79/86 p ordinary

SWAP

Short

12,461

73.8146 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: 676279
Time of Receipt (offset from UTC): 20190918T140725+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC