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: 23 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:

2,408,951

0.69%

1,802,499

0.52%

 

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

 

437,725

0.13%

1,574,636

0.45%

 

 

 

 

 

(3)

Stock-settled derivatives (including options) 

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

 

 

TOTAL:

2,846,676

0.81%

3,377,135

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

23,799

73.2600   GBP

72.26   GBP

6 79/86 p ordinary

Sale

83,361

73.1400   GBP

72.26   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

136

72.6639   GBP

6 79/86 p ordinary

  SWAP  

Long

1,946

72.8336   GBP

6 79/86 p ordinary

  SWAP  

Long

6,865

72.7781   GBP

6 79/86 p ordinary

  SWAP  

Long

13,610

72.6719   GBP

6 79/86 p ordinary

  CFD  

Long

30,146

73.0600   GBP

6 79/86 p ordinary

  CFD  

Short

9

72.8344   GBP

6 79/86 p ordinary

  SWAP  

Short

36

72.4600   GBP

6 79/86 p ordinary

  CFD  

Short

102

72.8060   GBP

6 79/86 p ordinary

  SWAP  

Short

148

73.0600   GBP

6 79/86 p ordinary

  SWAP  

Short

280

72.6676   GBP

6 79/86 p ordinary

  CFD  

Short

291

72.7842   GBP

6 79/86 p ordinary

  SWAP  

Short

379

72.5810   GBP

6 79/86 p ordinary

  CFD  

Short

524

73.0724   GBP

6 79/86 p ordinary

  CFD  

Short

613

72.8341   GBP

6 79/86 p ordinary

  SWAP  

Short

1,146

72.7997   GBP

6 79/86 p ordinary

  SWAP  

Short

1,753

72.7214   GBP

6 79/86 p ordinary

  CFD  

Short

2,114

72.8487   GBP

6 79/86 p ordinary

  CFD  

Short

2,590

72.7760   GBP

6 79/86 p ordinary

  SWAP  

Short

10,113

72.8154   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:

24 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: 676649
Time of Receipt (offset from UTC): 20190924T112143+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC