1 Oct 2019 11:21
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: | 30 September 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 | 127,397
128,992 | 73.9600
73.9200 | 73.0800
73.0800 |
(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
| 339 19,928 1,326 1,474 5,368 3,132 7,372 647 1,808 133 18 3,788 80 1,104 1,595 807 1,437 282 90 39 46 402 1,245
1,040 22,182 2,601 437 2,633 1,055 1 1,325 211 337 11,041 1,981 63 504 634 1,190 2 4,511 2,066 3,456 420 | 73.0796 GBP 73.0800 GBP 73.1887 GBP 73.2845 GBP 73.2853 GBP 73.2860 GBP 73.2875 GBP 73.2893 GBP 73.2897 GBP 73.5115 GBP 73.5396 GBP 73.5607 GBP 73.5944 GBP 73.6539 GBP 73.6668 GBP 73.6684 GBP 73.6748 GBP 73.7090 GBP 73.7298 GBP 73.8396 GBP 73.8578 GBP 73.8730 GBP 73.8766 GBP
73.0800 GBP 73.0804 GBP 73.0818 GBP 73.0822 GBP 73.0833 GBP 73.0942 GBP 73.2855 GBP 73.3320 GBP 73.3504 GBP 73.3741 GBP 73.4129 GBP 73.4531 GBP 73.4622 GBP 73.4670 GBP 73.5164 GBP 73.5274 GBP 73.5300 GBP 73.5412 GBP 73.5611 GBP 73.5815 GBP 73.6071 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: | 1 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.