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

20 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:

2,410,051

0.69%

1,743,711

0.50%

 

(2)

Cash-settled derivatives:

404,875

0.12%

1,574,391

0.45%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

2,814,926

0.80%

3,318,102

0.95%

 

Class of relevant security:

 

 

 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

 

 

 

 

(2) Cash-settled derivatives:

 

 

 

 

 

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

 

 

 

 

 

TOTAL:

 

 

 

 

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

123,176

72.5000 GBP 71.88 GBP
6 79/86 p ordinary Sale

115,309

72.5000 GBP 71.8 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

4

72.0725 GBP
6 79/86 p ordinary SWAP Long

58

71.8593 GBP
6 79/86 p ordinary CFD Long

250

72.1535 GBP
6 79/86 p ordinary CFD Long

359

72.1880 GBP
6 79/86 p ordinary CFD Long

416

72.2102 GBP
6 79/86 p ordinary SWAP Long

517

71.9091 GBP
6 79/86 p ordinary SWAP Long

1,558

72.0432 GBP
6 79/86 p ordinary SWAP Long

12,470

72.2408 GBP
6 79/86 p ordinary CFD Long

17,176

72.4942 GBP
6 79/86 p ordinary SWAP Long

40,383

72.0937 GBP
6 79/86 p ordinary SWAP Short

1

72.1072 GBP
6 79/86 p ordinary SWAP Short

13

72.3672 GBP
6 79/86 p ordinary CFD Short

23

72.2673 GBP
6 79/86 p ordinary CFD Short

70

72.1817 GBP
6 79/86 p ordinary SWAP Short

71

71.9722 GBP
6 79/86 p ordinary SWAP Short

91

72.0058 GBP
6 79/86 p ordinary SWAP Short

112

72.3454 GBP
6 79/86 p ordinary SWAP Short

164

72.5000 GBP
6 79/86 p ordinary SWAP Short

190

72.2461 GBP
6 79/86 p ordinary CFD Short

412

72.3665 GBP
6 79/86 p ordinary CFD Short

522

72.1816 GBP
6 79/86 p ordinary SWAP Short

698

72.2564 GBP
6 79/86 p ordinary SWAP Short

1,006

71.9709 GBP
6 79/86 p ordinary CFD Short

1,360

72.2292 GBP
6 79/86 p ordinary SWAP Short

1,751

71.9755 GBP
6 79/86 p ordinary SWAP Short

2,000

72.4283 GBP
6 79/86 p ordinary SWAP Short

6,062

71.6800 GBP
6 79/86 p ordinary SWAP Short

6,125

72.1184 GBP
6 79/86 p ordinary CFD Short

11,504

71.6857 GBP
6 79/86 p ordinary SWAP Short

23,858

72.1346 GBP
6 79/86 p ordinary SWAP Short

26,114

71.8394 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:

23 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: 676565
Time of Receipt (offset from UTC): 20190923T110432+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC