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: 03 October 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:

2,537,524

0.73%

1,601,889

0.46%

 

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

 

266,780

0.08%

1,577,700

0.45%

 

 

 

 

 

(3)

Stock-settled derivatives (including options) 

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

 

 

TOTAL:

2,804,304

0.80%

3,179,589

0.91%

 

 

 

 

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

262,963

71.6800   GBP

70.2   GBP

6 79/86 p ordinary

Sale

109,313

71.6832   GBP

70.2   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

10

70.5988   GBP

6 79/86 p ordinary

  SWAP  

Long

13

71.1083   GBP

6 79/86 p ordinary

  SWAP  

Long

14

70.8600   GBP

6 79/86 p ordinary

  SWAP  

Long

36

71.1644   GBP

6 79/86 p ordinary

  SWAP  

Long

38

71.2133   GBP

6 79/86 p ordinary

  SWAP  

Long

39

71.0723   GBP

6 79/86 p ordinary

  SWAP  

Long

58

70.9562   GBP

6 79/86 p ordinary

  SWAP  

Long

110

71.0486   GBP

6 79/86 p ordinary

  SWAP  

Long

112

70.8647   GBP

6 79/86 p ordinary

  SWAP  

Long

542

71.1992   GBP

6 79/86 p ordinary

  SWAP  

Long

761

71.0256   GBP

6 79/86 p ordinary

  CFD  

Long

854

70.9775   GBP

6 79/86 p ordinary

  SWAP  

Long

2,182

71.4286   GBP

6 79/86 p ordinary

  SWAP  

Long

2,250

71.1244   GBP

6 79/86 p ordinary

  SWAP  

Long

2,492

71.6800   GBP

6 79/86 p ordinary

  SWAP  

Long

24,879

71.4150   GBP

6 79/86 p ordinary

  SWAP  

Long

39,734

71.3455   GBP

6 79/86 p ordinary

  CFD  

Short

5

70.9880   GBP

6 79/86 p ordinary

  CFD  

Short

11

70.7472   GBP

6 79/86 p ordinary

  CFD  

Short

21

71.1542   GBP

6 79/86 p ordinary

  CFD  

Short

59

71.2666   GBP

6 79/86 p ordinary

  SWAP  

Short

124

71.1206   GBP

6 79/86 p ordinary

  CFD  

Short

641

71.2665   GBP

6 79/86 p ordinary

  CFD  

Short

725

70.9754   GBP

6 79/86 p ordinary

  SWAP  

Short

1,214

72.6241   GBP

6 79/86 p ordinary

  SWAP  

Short

1,754

71.1363   GBP

6 79/86 p ordinary

  SWAP  

Short

2,336

73.1176   GBP

6 79/86 p ordinary

  CFD  

Short

2,581

71.1328   GBP

6 79/86 p ordinary

  CFD  

Short

4,753

71.2669   GBP

6 79/86 p ordinary

  SWAP  

Short

6,141

70.9126   GBP

6 79/86 p ordinary

  SWAP  

Short

16,943

71.0742   GBP

6 79/86 p ordinary

  CFD  

Short

19,637

71.2426   GBP

6 79/86 p ordinary

  SWAP  

Short

24,851

71.1205   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:

4 Oct 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: 677551
Time of Receipt (offset from UTC): 20191004T123318+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC