Last checked at 17 Sep 2019 15:30
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: | 13 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: | 2,325,033 | 0.66% | 1,768,272 | 0.51% | |
(2) | Cash-settled derivatives: | ||||
423,687 | 0.12% | 1,520,013 | 0.43% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
| TOTAL: | 2,748,720 | 0.79% | 3,288,285 | 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: |
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Details, including nature of the rights concerned and relevant percentages: |
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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 | 369,257 | 75.1377 GBP | 72.5927 GBP |
| 6 79/86 p ordinary | Sale | 178,409 | 75.1550 GBP | 72.76 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 | 74.5000 GBP |
| 6 79/86 p ordinary | SWAP | Long | 59 | 74.7537 GBP |
| 6 79/86 p ordinary | SWAP | Long | 200 | 74.6244 GBP |
| 6 79/86 p ordinary | CFD | Long | 361 | 74.6204 GBP |
| 6 79/86 p ordinary | CFD | Long | 442 | 73.9273 GBP |
| 6 79/86 p ordinary | SWAP | Long | 754 | 74.7377 GBP |
| 6 79/86 p ordinary | SWAP | Long | 1,458 | 74.0875 GBP |
| 6 79/86 p ordinary | SWAP | Long | 1,741 | 74.8420 GBP |
| 6 79/86 p ordinary | CFD | Long | 1,798 | 75.1339 GBP |
| 6 79/86 p ordinary | CFD | Long | 2,297 | 74.5898 GBP |
| 6 79/86 p ordinary | SWAP | Long | 3,310 | 74.1985 GBP |
| 6 79/86 p ordinary | SWAP | Long | 7,036 | 75.1392 GBP |
| 6 79/86 p ordinary | CFD | Long | 7,787 | 74.2901 GBP |
| 6 79/86 p ordinary | SWAP | Long | 55,049 | 73.9460 GBP |
| 6 79/86 p ordinary | SWAP | Long | 59,072 | 74.5149 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1 | 73.0049 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1 | 74.7149 GBP |
| 6 79/86 p ordinary | SWAP | Short | 2 | 73.9693 GBP |
| 6 79/86 p ordinary | SWAP | Short | 2 | 74.1729 GBP |
| 6 79/86 p ordinary | SWAP | Short | 4 | 74.2157 GBP |
| 6 79/86 p ordinary | CFD | Short | 4 | 74.2375 GBP |
| 6 79/86 p ordinary | SWAP | Short | 5 | 74.0099 GBP |
| 6 79/86 p ordinary | SWAP | Short | 5 | 75.0780 GBP |
| 6 79/86 p ordinary | SWAP | Short | 6 | 73.1400 GBP |
| 6 79/86 p ordinary | CFD | Short | 6 | 74.2350 GBP |
| 6 79/86 p ordinary | SWAP | Short | 8 | 73.6918 GBP |
| 6 79/86 p ordinary | CFD | Short | 8 | 74.2362 GBP |
| 6 79/86 p ordinary | SWAP | Short | 9 | 74.2579 GBP |
| 6 79/86 p ordinary | SWAP | Short | 11 | 73.8550 GBP |
| 6 79/86 p ordinary | SWAP | Short | 13 | 74.0995 GBP |
| 6 79/86 p ordinary | SWAP | Short | 14 | 73.7814 GBP |
| 6 79/86 p ordinary | SWAP | Short | 21 | 72.8114 GBP |
| 6 79/86 p ordinary | SWAP | Short | 25 | 73.5931 GBP |
| 6 79/86 p ordinary | SWAP | Short | 31 | 73.2831 GBP |
| 6 79/86 p ordinary | SWAP | Short | 32 | 73.8353 GBP |
| 6 79/86 p ordinary | SWAP | Short | 34 | 73.1567 GBP |
| 6 79/86 p ordinary | SWAP | Short | 38 | 74.3214 GBP |
| 6 79/86 p ordinary | SWAP | Short | 39 | 73.2772 GBP |
| 6 79/86 p ordinary | SWAP | Short | 45 | 73.3829 GBP |
| 6 79/86 p ordinary | SWAP | Short | 47 | 74.9608 GBP |
| 6 79/86 p ordinary | SWAP | Short | 64 | 73.7646 GBP |
| 6 79/86 p ordinary | SWAP | Short | 73 | 73.3224 GBP |
| 6 79/86 p ordinary | SWAP | Short | 80 | 74.0837 GBP |
| 6 79/86 p ordinary | SWAP | Short | 84 | 73.6020 GBP |
| 6 79/86 p ordinary | SWAP | Short | 90 | 73.5511 GBP |
| 6 79/86 p ordinary | SWAP | Short | 95 | 74.8378 GBP |
| 6 79/86 p ordinary | SWAP | Short | 102 | 73.6964 GBP |
| 6 79/86 p ordinary | SWAP | Short | 125 | 72.8133 GBP |
| 6 79/86 p ordinary | CFD | Short | 136 | 73.7558 GBP |
| 6 79/86 p ordinary | SWAP | Short | 163 | 73.1607 GBP |
| 6 79/86 p ordinary | SWAP | Short | 185 | 73.2876 GBP |
| 6 79/86 p ordinary | SWAP | Short | 226 | 73.2597 GBP |
| 6 79/86 p ordinary | SWAP | Short | 254 | 73.1577 GBP |
| 6 79/86 p ordinary | SWAP | Short | 317 | 73.5723 GBP |
| 6 79/86 p ordinary | SWAP | Short | 373 | 73.3347 GBP |
| 6 79/86 p ordinary | SWAP | Short | 420 | 74.3415 GBP |
| 6 79/86 p ordinary | SWAP | Short | 473 | 73.6952 GBP |
| 6 79/86 p ordinary | SWAP | Short | 482 | 73.5884 GBP |
| 6 79/86 p ordinary | SWAP | Short | 486 | 73.5635 GBP |
| 6 79/86 p ordinary | CFD | Short | 833 | 74.2368 GBP |
| 6 79/86 p ordinary | SWAP | Short | 894 | 73.6359 GBP |
| 6 79/86 p ordinary | SWAP | Short | 977 | 74.1354 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,067 | 74.6502 GBP |
| 6 79/86 p ordinary | CFD | Short | 1,195 | 74.5068 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,477 | 74.3501 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,484 | 74.3131 GBP |
| 6 79/86 p ordinary | CFD | Short | 2,228 | 72.6058 GBP |
| 6 79/86 p ordinary | SWAP | Short | 2,493 | 74.9748 GBP |
| 6 79/86 p ordinary | SWAP | Short | 2,867 | 73.5549 GBP |
| 6 79/86 p ordinary | SWAP | Short | 3,831 | 74.0820 GBP |
| 6 79/86 p ordinary | SWAP | Short | 3,925 | 73.4140 GBP |
| 6 79/86 p ordinary | SWAP | Short | 4,255 | 73.9875 GBP |
| 6 79/86 p ordinary | SWAP | Short | 4,415 | 73.4466 GBP |
| 6 79/86 p ordinary | SWAP | Short | 6,516 | 74.5333 GBP |
| 6 79/86 p ordinary | SWAP | Short | 20,278 | 74.0069 GBP |
| 6 79/86 p ordinary | SWAP | Short | 22,668 | 73.4133 GBP |
| 6 79/86 p ordinary | SWAP | Short | 31,680 | 74.0965 GBP |
| 6 79/86 p ordinary | SWAP | Short | 35,315 | 73.7195 GBP |
| 6 79/86 p ordinary | SWAP | Short | 38,238 | 74.2225 GBP |
| 6 79/86 p ordinary | SWAP | Short | 143,728 | 73.9130 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 |
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
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(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) |
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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
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(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
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(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 17 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.
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