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: 24 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:

2,383,122

0.68%

1,789,669

0.51%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

450,381

0.13%

1,574,257

0.45%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

2,833,503

0.81%

3,363,926

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

103,293

73.9400 GBP

73.1 GBP

6 79/86 p ordinary

Sale

116,204

73.9400 GBP

73.1 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

34

73.5800 GBP

6 79/86 p ordinary

SWAP

Long

38

73.7592 GBP

6 79/86 p ordinary

CFD

Long

40

73.5820 GBP

6 79/86 p ordinary

CFD

Long

57

73.5819 GBP

6 79/86 p ordinary

SWAP

Long

274

73.4891 GBP

6 79/86 p ordinary

CFD

Long

375

73.7377 GBP

6 79/86 p ordinary

CFD

Long

415

73.3479 GBP

6 79/86 p ordinary

SWAP

Long

949

73.4821 GBP

6 79/86 p ordinary

CFD

Long

1,000

73.6696 GBP

6 79/86 p ordinary

CFD

Long

1,440

73.3225 GBP

6 79/86 p ordinary

CFD

Long

1,699

73.3860 GBP

6 79/86 p ordinary

SWAP

Long

3,642

73.6690 GBP

6 79/86 p ordinary

SWAP

Long

9,286

73.6906 GBP

6 79/86 p ordinary

SWAP

Long

14,981

73.6799 GBP

6 79/86 p ordinary

CFD

Short

7

73.5771 GBP

6 79/86 p ordinary

CFD

Short

32

73.3684 GBP

6 79/86 p ordinary

SWAP

Short

201

73.4246 GBP

6 79/86 p ordinary

CFD

Short

223

73.6480 GBP

6 79/86 p ordinary

SWAP

Short

600

73.2356 GBP

6 79/86 p ordinary

SWAP

Short

775

73.4470 GBP

6 79/86 p ordinary

CFD

Short

951

73.7533 GBP

6 79/86 p ordinary

CFD

Short

1,359

73.5773 GBP

6 79/86 p ordinary

SWAP

Short

1,966

73.5247 GBP

6 79/86 p ordinary

SWAP

Short

2,560

73.3051 GBP

6 79/86 p ordinary

SWAP

Short

12,521

73.5494 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:

25 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: 676758
Time of Receipt (offset from UTC): 20190925T111828+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC