4 Oct 2019 10:42
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | J.P. Morgan Securities Plc |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | London Stock Exchange Group plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Defence Advisor to London Stock Exchange Group plc |
(d) Date dealing undertaken: | 3 October 2019 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer? If it is a cash offer or possible cash offer, state "N/A" | Yes, Hong Kong Exchanges and Clearing Limited |
2. DEALINGS 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 2(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 security | Purchases/ sales
| Total number of securities | Highest price per unit paid/received (GBP) | Lowest price per unit paid/received (GBP) |
Ordinary Share | Purchase
Sale | 138,360
124,266 | 71.6832
71.6800 | 70.2200
70.0200 |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
Ordinary Share | Equity Swap | Long
Short
| 200 25 281 289 5,122 54 89 500 864 174 1,343 261 1,730 3,137 430 1,747 6,602 841 420 438 425 14,660 62 361 84 5,475 19,708
46 1 96 48 24 220 172 86 27 1,333 30 487 4,291 191 329 6,448 1 15 1,016 4,057 181 194 624 487 5,468 109 234 41,039 4,791 3,070 2,087 117 35 58 3,606 8,908 1,139 | 70.3562 GBP 70.8597 GBP 70.9036 GBP 70.9558 GBP 70.9661 GBP 70.9800 GBP 70.9846 GBP 70.9986 GBP 71.0155 GBP 71.0279 GBP 71.0608 GBP 71.0647 GBP 71.1023 GBP 71.1143 GBP 71.1637 GBP 71.1909 GBP 71.1960 GBP 71.2081 GBP 71.2197 GBP 71.2644 GBP 71.2822 GBP 71.3595 GBP 71.5775 GBP 71.6728 GBP 71.6743 GBP 71.6786 GBP 71.6796 GBP
70.2221 GBP 70.2700 GBP 70.3738 GBP 70.3752 GBP 70.3925 GBP 70.5709 GBP 70.7148 GBP 70.7183 GBP 70.7382 GBP 70.7754 GBP 70.7804 GBP 70.8602 GBP 70.8613 GBP 70.9082 GBP 70.9086 GBP 70.9268 GBP 70.9400 GBP 70.9420 GBP 70.9527 GBP 70.9600 GBP 71.0622 GBP 71.0628 GBP 71.0637 GBP 71.1059 GBP 71.1530 GBP 71.1606 GBP 71.2001 GBP 71.2098 GBP 71.2544 GBP 71.2747 GBP 71.2860 GBP 71.3045 GBP 71.3221 GBP 71.5856 GBP 71.6800 GBP 71.6804 GBP 71.6832 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 |
Ordinary Share |
(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) |
|
3. 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
|
| Date of disclosure: | 4 October 2019 |
| Contact name: | Alwyn Basch |
| Telephone number: | 020 7742 7407 |
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 dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.