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: 07 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:

2,589,006

0.74%

1,617,321

0.46%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

280,118

0.08%

1,629,018

0.47%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

2,869,124

0.82%

3,246,339

0.93%

 

 

 

 

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

106,618

74.7925 GBP

73.72 GBP

6 79/86 p ordinary

Sale

70,739

74.7400 GBP

73.72 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

35

74.8591 GBP

6 79/86 p ordinary

CFD

Long

57

74.5192 GBP

6 79/86 p ordinary

CFD

Long

180

74.3077 GBP

6 79/86 p ordinary

SWAP

Long

219

74.5712 GBP

6 79/86 p ordinary

SWAP

Long

973

74.3243 GBP

6 79/86 p ordinary

SWAP

Long

2,269

74.4302 GBP

6 79/86 p ordinary

CFD

Long

2,715

74.4850 GBP

6 79/86 p ordinary

SWAP

Long

3,762

74.4148 GBP

6 79/86 p ordinary

SWAP

Long

16,860

74.0650 GBP

6 79/86 p ordinary

SWAP

Long

21,697

74.3683 GBP

6 79/86 p ordinary

SWAP

Short

15

74.4273 GBP

6 79/86 p ordinary

SWAP

Short

40

74.3209 GBP

6 79/86 p ordinary

CFD

Short

47

73.9385 GBP

6 79/86 p ordinary

SWAP

Short

49

74.2348 GBP

6 79/86 p ordinary

SWAP

Short

85

74.4274 GBP

6 79/86 p ordinary

SWAP

Short

103

73.8062 GBP

6 79/86 p ordinary

CFD

Short

109

73.9963 GBP

6 79/86 p ordinary

SWAP

Short

156

74.7012 GBP

6 79/86 p ordinary

CFD

Short

158

74.5243 GBP

6 79/86 p ordinary

SWAP

Short

234

74.3289 GBP

6 79/86 p ordinary

SWAP

Short

263

74.5500 GBP

6 79/86 p ordinary

SWAP

Short

264

74.6486 GBP

6 79/86 p ordinary

CFD

Short

273

74.3498 GBP

6 79/86 p ordinary

SWAP

Short

283

74.2380 GBP

6 79/86 p ordinary

SWAP

Short

287

74.3916 GBP

6 79/86 p ordinary

SWAP

Short

414

74.3785 GBP

6 79/86 p ordinary

CFD

Short

416

73.9962 GBP

6 79/86 p ordinary

SWAP

Short

425

74.3455 GBP

6 79/86 p ordinary

SWAP

Short

581

74.3347 GBP

6 79/86 p ordinary

SWAP

Short

734

74.2876 GBP

6 79/86 p ordinary

SWAP

Short

1,060

74.2772 GBP

6 79/86 p ordinary

SWAP

Short

1,358

74.3173 GBP

6 79/86 p ordinary

SWAP

Short

1,437

74.4603 GBP

6 79/86 p ordinary

SWAP

Short

1,666

74.3920 GBP

6 79/86 p ordinary

SWAP

Short

2,400

74.3790 GBP

6 79/86 p ordinary

SWAP

Short

2,453

74.3458 GBP

6 79/86 p ordinary

SWAP

Short

2,526

74.1952 GBP

6 79/86 p ordinary

SWAP

Short

6,558

74.6509 GBP

6 79/86 p ordinary

SWAP

Short

8,388

74.4614 GBP

6 79/86 p ordinary

SWAP

Short

23,655

74.5657 GBP

6 79/86 p ordinary

SWAP

Short

33,158

74.4288 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: 8 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: 677736
Time of Receipt (offset from UTC): 20191008T092845+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC