Form 8.5 (EPT/NON-RI) - London Stock Exchange Group plc - Amendment

LONDON--()-- 

FORM 8.5 (EPT/NON-RI) - Amendment to Purchase

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:

01 October 2019

(e) In addition to the company in 1(b) above, is the exempt principal

NO:

trader making disclosures in respect of any other party to the offer?
 
 

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:

2,389,951

0.68%

1,692,255

0.48%

 

(2)

Cash-settled derivatives:

362,297

0.10%

1,581,524

0.45%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

2,752,248

0.79%

3,273,779

0.94%

 

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

74,633

73.4341 GBP

72.5 GBP

6 79/86 p ordinary Sale

76,156

73.3693 GBP

72.4721 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

18

73.1218 GBP

6 79/86 p ordinary CFD Long

20

72.8060 GBP

6 79/86 p ordinary SWAP Long

54

73.6600 GBP

6 79/86 p ordinary CFD Long

66

72.5334 GBP

6 79/86 p ordinary SWAP Long

173

72.8017 GBP

6 79/86 p ordinary CFD Long

181

73.0144 GBP

6 79/86 p ordinary SWAP Long

333

73.4192 GBP

6 79/86 p ordinary CFD Long

527

72.8061 GBP

6 79/86 p ordinary SWAP Long

697

72.7129 GBP

6 79/86 p ordinary SWAP Long

718

72.6482 GBP

6 79/86 p ordinary SWAP Long

832

72.7646 GBP

6 79/86 p ordinary CFD Long

2,579

73.0599 GBP

6 79/86 p ordinary CFD Long

2,933

73.0946 GBP

6 79/86 p ordinary SWAP Long

13,318

72.7385 GBP

6 79/86 p ordinary SWAP Long

39,115

73.0387 GBP

6 79/86 p ordinary CFD Short

12

73.4341 GBP

6 79/86 p ordinary CFD Short

18

72.7994 GBP

6 79/86 p ordinary CFD Short

19

73.0636 GBP

6 79/86 p ordinary SWAP Short

38

73.2884 GBP

6 79/86 p ordinary SWAP Short

53

73.2000 GBP

6 79/86 p ordinary CFD Short

56

72.5644 GBP

6 79/86 p ordinary SWAP Short

93

73.2882 GBP

6 79/86 p ordinary SWAP Short

139

73.2418 GBP

6 79/86 p ordinary SWAP Short

219

73.2883 GBP

6 79/86 p ordinary CFD Short

584

72.4735 GBP

6 79/86 p ordinary CFD Short

962

73.2448 GBP

6 79/86 p ordinary SWAP Short

966

72.8123 GBP

6 79/86 p ordinary SWAP Short

1,759

72.9158 GBP

6 79/86 p ordinary CFD Short

12,106

72.7995 GBP

6 79/86 p ordinary SWAP Short

18,185

72.5752 GBP

6 79/86 p ordinary SWAP Short

22,504

72.8416 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:

7 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: 677674
Time of Receipt (offset from UTC): 20191007T120829+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC