13 Sep 2019 11:48
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: | 12 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: | 2,071,354 | 0.59% | 1,705,441 | 0.49% | |
(2) | Cash-settled derivatives: | ||||
360,810 | 0.10% | 1,298,830 | 0.37% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
| TOTAL: | 2,432,164 | 0.70% | 3,004,271 | 0.86% | |
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 | 351,863 | 72.8000 GBP | 71.68 GBP |
| 6 79/86 p ordinary | Sale | 74,447 | 72.8000 GBP | 71.68 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 | 31 | 72.5083 GBP |
| 6 79/86 p ordinary | SWAP | Long | 306 | 72.0920 GBP |
| 6 79/86 p ordinary | SWAP | Long | 615 | 72.1950 GBP |
| 6 79/86 p ordinary | SWAP | Long | 820 | 71.8932 GBP |
| 6 79/86 p ordinary | CFD | Long | 1,032 | 72.2646 GBP |
| 6 79/86 p ordinary | CFD | Long | 1,292 | 72.2527 GBP |
| 6 79/86 p ordinary | CFD | Long | 4,145 | 72.3339 GBP |
| 6 79/86 p ordinary | SWAP | Long | 6,123 | 72.1242 GBP |
| 6 79/86 p ordinary | SWAP | Long | 10,311 | 72.5200 GBP |
| 6 79/86 p ordinary | SWAP | Long | 16,347 | 72.1737 GBP |
| 6 79/86 p ordinary | SWAP | Long | 19,518 | 72.3578 GBP |
| 6 79/86 p ordinary | SWAP | Short | 2 | 72.0563 GBP |
| 6 79/86 p ordinary | SWAP | Short | 4 | 71.8854 GBP |
| 6 79/86 p ordinary | SWAP | Short | 4 | 71.9007 GBP |
| 6 79/86 p ordinary | CFD | Short | 4 | 72.1875 GBP |
| 6 79/86 p ordinary | SWAP | Short | 10 | 71.6943 GBP |
| 6 79/86 p ordinary | SWAP | Short | 12 | 71.8216 GBP |
| 6 79/86 p ordinary | CFD | Short | 12 | 72.1866 GBP |
| 6 79/86 p ordinary | SWAP | Short | 20 | 72.0731 GBP |
| 6 79/86 p ordinary | SWAP | Short | 24 | 72.0038 GBP |
| 6 79/86 p ordinary | SWAP | Short | 28 | 72.4000 GBP |
| 6 79/86 p ordinary | SWAP | Short | 28 | 72.4146 GBP |
| 6 79/86 p ordinary | SWAP | Short | 36 | 72.0473 GBP |
| 6 79/86 p ordinary | SWAP | Short | 97 | 71.8483 GBP |
| 6 79/86 p ordinary | SWAP | Short | 97 | 72.4775 GBP |
| 6 79/86 p ordinary | SWAP | Short | 102 | 71.9376 GBP |
| 6 79/86 p ordinary | SWAP | Short | 107 | 72.0229 GBP |
| 6 79/86 p ordinary | SWAP | Short | 108 | 72.0142 GBP |
| 6 79/86 p ordinary | SWAP | Short | 125 | 72.3788 GBP |
| 6 79/86 p ordinary | SWAP | Short | 140 | 71.9973 GBP |
| 6 79/86 p ordinary | SWAP | Short | 184 | 72.4474 GBP |
| 6 79/86 p ordinary | SWAP | Short | 184 | 72.4721 GBP |
| 6 79/86 p ordinary | SWAP | Short | 186 | 72.4919 GBP |
| 6 79/86 p ordinary | SWAP | Short | 195 | 72.2958 GBP |
| 6 79/86 p ordinary | SWAP | Short | 223 | 72.4522 GBP |
| 6 79/86 p ordinary | SWAP | Short | 223 | 72.5448 GBP |
| 6 79/86 p ordinary | SWAP | Short | 267 | 71.8800 GBP |
| 6 79/86 p ordinary | SWAP | Short | 332 | 72.2516 GBP |
| 6 79/86 p ordinary | SWAP | Short | 375 | 72.3435 GBP |
| 6 79/86 p ordinary | SWAP | Short | 435 | 72.3934 GBP |
| 6 79/86 p ordinary | SWAP | Short | 516 | 72.4787 GBP |
| 6 79/86 p ordinary | SWAP | Short | 797 | 72.2119 GBP |
| 6 79/86 p ordinary | SWAP | Short | 958 | 72.0779 GBP |
| 6 79/86 p ordinary | SWAP | Short | 984 | 72.4233 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,162 | 72.2885 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,183 | 72.5506 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,266 | 72.4455 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,571 | 72.0825 GBP |
| 6 79/86 p ordinary | SWAP | Short | 1,816 | 72.2721 GBP |
| 6 79/86 p ordinary | SWAP | Short | 2,807 | 72.4875 GBP |
| 6 79/86 p ordinary | CFD | Short | 3,311 | 72.1872 GBP |
| 6 79/86 p ordinary | SWAP | Short | 3,537 | 72.4873 GBP |
| 6 79/86 p ordinary | SWAP | Short | 3,862 | 72.3272 GBP |
| 6 79/86 p ordinary | SWAP | Short | 4,774 | 72.1189 GBP |
| 6 79/86 p ordinary | SWAP | Short | 5,748 | 72.4245 GBP |
| 6 79/86 p ordinary | SWAP | Short | 10,885 | 71.9955 GBP |
| 6 79/86 p ordinary | SWAP | Short | 12,691 | 72.5200 GBP |
| 6 79/86 p ordinary | SWAP | Short | 18,263 | 72.2056 GBP |
| 6 79/86 p ordinary | SWAP | Short | 19,056 | 72.3198 GBP |
| 6 79/86 p ordinary | SWAP | Short | 20,544 | 72.4869 GBP |
| 6 79/86 p ordinary | SWAP | Short | 23,088 | 72.2627 GBP |
| 6 79/86 p ordinary | SWAP | Short | 25,348 | 72.3039 GBP |
| 6 79/86 p ordinary | SWAP | Short | 27,877 | 72.2055 GBP |
| 6 79/86 p ordinary | SWAP | Short | 31,427 | 72.5034 GBP |
| 6 79/86 p ordinary | SWAP | Short | 113,233 | 72.1840 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: | 13 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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