TIDMLSE
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 6 79/86 p ordinary
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 2,588,597 0.74% 1,617,321 0.46%
(2) Cash-settled derivatives:
280,118 0.08% 1,629,018 0.47%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
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:
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 Purchase/sale Total number of Highest price Lowest price
relevant per unit per unit
security securities paid/received paid/received
6 79/86 p Purchase 106,618 74.7925 GBP 73.72 GBP
ordinary
6 79/86 p Sale 71,148 74.7400 GBP 73.72 GBP
ordinary
(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 Product Writing, Number Exercise Type Expiry date Option
relevant description purchasing, of price e.g. money
security e.g. selling, securities per unit American, paid/
call varying to European received
option etc. which etc. per
option unit
relates
(ii) Exercise
Class of relevant Product Exercising/ Number Exercise price
security description exercised of securities per unit
e.g. call against
option
(d) Other dealings (including subscribing for new
securities)
Class of relevant security Nature of dealing Details Price per unit (if
e.g. subscription, applicable)
conversion
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 NO
Positions) attached?
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.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20191009005556/en/
This information is provided by Business Wire
(END) Dow Jones Newswires
October 09, 2019 10:54 ET (14:54 GMT)
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