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 relevant securities this form relates:

Use a separate form for each offeror/offeree

LONDON STOCK EXCHANGE GROUP PLC

(c) Name of the party to the offer with which exempt principal trader is connected:

LONDON STOCK EXCHANGE GROUP PLC

(d) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

18 Sept 2019

(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

YES 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:

2,355,205

0.67%

1,782,405

0.51%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

439,215

0.13%

1,568,771

0.45%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

2,794,420

0.80%

3,351,176

0.96%

 

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

102,581

73.2355 GBP 72.56 GBP
6 79/86 p ordinary Sale

46,908

73.3193 GBP 72.56 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

73

72.8112 GBP
6 79/86 p ordinary SWAP Long

119

73.1804 GBP
6 79/86 p ordinary SWAP Long

158

73.0837 GBP
6 79/86 p ordinary SWAP Long

339

73.4000 GBP
6 79/86 p ordinary SWAP Long

340

73.0509 GBP
6 79/86 p ordinary SWAP Long

383

73.1228 GBP
6 79/86 p ordinary SWAP Long

3,152

73.0828 GBP
6 79/86 p ordinary CFD Long

4,001

72.9772 GBP
6 79/86 p ordinary CFD Long

6,850

73.0373 GBP
6 79/86 p ordinary CFD Long

7,430

73.0918 GBP
6 79/86 p ordinary SWAP Long

12,484

72.9524 GBP
6 79/86 p ordinary CFD Short

8

72.8787 GBP
6 79/86 p ordinary SWAP Short

20

73.0282 GBP
6 79/86 p ordinary SWAP Short

22

73.2459 GBP
6 79/86 p ordinary SWAP Short

32

73.1036 GBP
6 79/86 p ordinary SWAP Short

73

73.0229 GBP
6 79/86 p ordinary SWAP Short

75

72.8908 GBP
6 79/86 p ordinary SWAP Short

78

72.9073 GBP
6 79/86 p ordinary SWAP Short

93

72.9172 GBP
6 79/86 p ordinary SWAP Short

114

73.2354 GBP
6 79/86 p ordinary SWAP Short

118

73.2127 GBP
6 79/86 p ordinary CFD Short

230

72.9335 GBP
6 79/86 p ordinary SWAP Short

293

72.9924 GBP
6 79/86 p ordinary CFD Short

1,045

72.8791 GBP
6 79/86 p ordinary SWAP Short

1,626

73.0406 GBP
6 79/86 p ordinary SWAP Short

1,920

73.0762 GBP
6 79/86 p ordinary SWAP Short

2,150

72.9908 GBP
6 79/86 p ordinary SWAP Short

2,810

72.8766 GBP
6 79/86 p ordinary SWAP Short

3,424

73.0442 GBP
6 79/86 p ordinary CFD Short

13,413

72.5600 GBP
6 79/86 p ordinary SWAP Short

24,750

72.9443 GBP
6 79/86 p ordinary SWAP Short

40,363

72.7649 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:

19 Sept 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: 676385
Time of Receipt (offset from UTC): 20190919T111114+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC