Our latest Investing Matters Podcast episode with QuotedData's Edward Marten has just been released. Listen here.

Less Ads, More Data, More Tools Register for FREE

Pin to quick picksLSE.L Regulatory News (LSE)

  • There is currently no data for LSE

Watchlists are a member only feature

Login to your account

Alerts are a premium feature

Login to your account

Form 8.5 (EPT/NON-RI) - LONDON STOCK EXCHANGE GROUP PLC

9 Feb 2017 13:03

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: 08 February 2017
(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? DEUTSCHE BOERSE AG

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: ORD
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,426,478 0.41% 402,695 0.11%
(2) Cash-settled derivatives:
83,476 0.02% 747,400 0.21%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
(4)
TOTAL: 1,509,954 0.43% 1,150,095 0.33%

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
ORD Purchase 606,291 31.4050 GBP 30.695 GBP
ORD Sale 489,689 31.4050 GBP 30.695 GBP

(b) Cash-settled derivative transactions

Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD SWAP Long 100 30.8597 GBP
ORD CFD Long 193 30.8156 GBP
ORD CFD Long 223 30.8565 GBP
ORD CFD Long 593 30.8564 GBP
ORD SWAP Long 1,309 31.0758 GBP
ORD CFD Long 1,483 30.9915 GBP
ORD CFD Long 2,412 30.9333 GBP
ORD SWAP Long 2,430 30.8612 GBP
ORD SWAP Long 6,006 30.8379 GBP
ORD CFD Short 332 30.8424 GBP
ORD SWAP Short 715 30.8883 GBP
ORD SWAP Short 2,471 30.8801 GBP
ORD SWAP Short 4,039 30.8407 GBP
ORD CFD Short 4,165 31.0483 GBP
ORD SWAP Short 8,713 30.9016 GBP
ORD SWAP Short 9,287 30.8897 GBP
ORD CFD Short 10,908 31.0225 GBP
ORD CFD Short 15,305 30.8315 GBP
ORD SWAP Short 16,478 30.8997 GBP
ORD SWAP Short 18,699 31.0775 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: 9 Feb 2017
Contact name: Hemika Mistry
Telephone number: 020 7116 3891

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.

View source version on businesswire.com: http://www.businesswire.com/news/home/20170209005681/en/

Copyright Business Wire 2017

Date   Source Headline
28th Jan 20213:42 pmRNSLSEG All Share Acquisition of Refinitiv - Update
19th Jan 20214:37 pmRNSExpected Completion Date
13th Jan 20211:22 pmRNSLSEG: European Commission Approval
4th Jan 20211:11 pmRNSTotal Voting Rights
14th Dec 20204:47 pmRNSDirector/PDMR Shareholding
11th Dec 20209:54 amRNSDirector/PDMR Shareholding
9th Dec 20201:03 pmRNSPublication of Prospectus and Board Appointments
1st Dec 202010:46 amRNSTotal Voting Rights
25th Nov 202010:38 amRNSDirector/PDMR Shareholding
20th Nov 202010:46 amRNSDirectorate Change
3rd Nov 20203:53 pmRNSDirector/PDMR Shareholding
3rd Nov 202011:25 amRNSResult of Meeting
30th Oct 20203:15 pmRNSUpdate re Circular and General Meeting
23rd Oct 20207:00 amRNSTrading Statement
14th Oct 20201:02 pmRNSNotice of GM
9th Oct 20207:00 amRNSProposed Divestment of Borsa Italiana Group
1st Oct 20209:51 amRNSBlock listing Interim Review
18th Sep 20207:11 amRNSLSEG – Borsa Italiana Group Update)
14th Sep 20201:37 pmRNSDirector/PDMR Shareholding
10th Sep 20209:40 amRNSDirectorate Change
27th Aug 20209:11 amRNSDirector/PDMR Shareholding
21st Aug 20202:14 pmRNSDirector/PDMR Shareholding
3rd Aug 202012:38 pmRNSDirector/PDMR Shareholding
31st Jul 20207:00 amRNSHalf-year Report
31st Jul 20207:00 amRNSLSEG All Share Acquisition of Refinitiv – Update
25th Jun 20207:00 amRNSDirectorate Change
22nd Jun 20204:54 pmRNSStatement Re EC Review of Refinitiv Transaction
22nd Jun 20204:41 pmRNSSecond Price Monitoring Extn
22nd Jun 20204:35 pmRNSPrice Monitoring Extension
3rd Jun 20204:08 pmRNSDirector/PDMR Shareholding
2nd Jun 20209:23 amRNSDirector/PDMR Shareholding
29th Apr 20209:43 amRNSDirector/PDMR Shareholding
22nd Apr 20203:49 pmRNSDirector/PDMR Shareholding
21st Apr 20201:05 pmRNSResult of AGM
21st Apr 202010:36 amRNSAGM Statement
21st Apr 20207:00 amRNSLSEG 2020 Q1 Trading Statement
17th Apr 20209:15 amRNSDirector/PDMR Shareholding
8th Apr 20202:16 pmRNSDirector/PDMR Shareholding
8th Apr 202010:21 amRNSLondon Stock Exchange Group plc AGM Update
1st Apr 20201:18 pmRNSBlock listing Interim Review
1st Apr 20201:13 pmRNSTotal Voting Rights
24th Mar 20204:42 pmRNSSecond Price Monitoring Extn
24th Mar 20204:39 pmRNSPrice Monitoring Extension
23rd Mar 202012:08 pmRNSSecond Price Monitoring Extn
23rd Mar 202012:03 pmRNSPrice Monitoring Extension
20th Mar 20204:47 pmRNSSecond Price Monitoring Extn
20th Mar 20204:38 pmRNSPrice Monitoring Extension
20th Mar 202011:09 amRNSDirector/PDMR Shareholding
18th Mar 20204:42 pmRNSSecond Price Monitoring Extn
18th Mar 20204:38 pmRNSPrice Monitoring Extension

Due to London Stock Exchange licensing terms, we stipulate that you must be a private investor. We apologise for the inconvenience.

To access our Live RNS you must confirm you are a private investor by using the button below.

Login to your account

Don't have an account? Click here to register.

Quickpicks are a member only feature

Login to your account

Don't have an account? Click here to register.