9 Oct 2019 15:54
FORM 8.5 (EPT/NON-RI) - Amendment to Sales
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 | 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: | 2,588,597 | 0.74% | 1,617,321 | 0.46% | |
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(2) | Cash-settled derivatives: |
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280,118 | 0.08% | 1,629,018 | 0.47% | ||
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(3) | Stock-settled derivatives (including options) |
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| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
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| TOTAL: | 2,868,715 | 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: |
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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 | 106,618 | 74.7925 GBP | 73.72 GBP |
6 79/86 p ordinary | Sale | 71,148 | 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 |
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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: | 9 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.
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