TIDMBARC
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 HONG KONG EXCHANGES & CLEARING LTD
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: 26 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? LONDON STOCK EXCHANGE GROUP PLC
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 ordinary NPV
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,127,876 0.09% 1,076,924 0.09%
(2) Cash-settled derivatives:
562,961 0.04% 489,501 0.04%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 11,000 0.00%
TOTAL: 1,690,837 0.13% 1,577,425 0.13%
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
ordinary NPV Purchase 13,200 225.2000 HKD 224.4 HKD
ordinary NPV Sale 305,100 225.4000 HKD 224.4 HKD
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ordinary NPV SWAP Long 900 224.8000 HKD
ordinary NPV SWAP Long 1,100 224.4000 HKD
ordinary NPV SWAP Long 8,100 224.8543 HKD
ordinary NPV SWAP Long 13,300 224.5297 HKD
ordinary NPV SWAP Long 16,600 224.7939 HKD
ordinary NPV SWAP Long 18,500 224.8212 HKD
ordinary NPV SWAP Long 85,500 225.0042 HKD
ordinary NPV CFD Long 149,200 224.4913 HKD
ordinary NPV SWAP Short 1,300 225.0000 HKD
(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 YES
Positions) attached?
Date of disclosure: 27 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.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION)
POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Identity of the person whose BARCLAYS CAPITAL SECURITIES LTD
positions/dealings
are being disclosed:
Name of offeror/offeree HONG KONG EXCHANGES & CLEARING LTD
in relation to whose
relevant securities this from relates:
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class Product Writing, Number Exercise Type Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
relates
ordinary Call Options Written -10,500 250.0000 American 27 Sep 2019
NPV
ordinary Call Options Written -500 245.0000 American 27 Sep 2019
NPV
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of
the interest or position can be fully understood:
It is not necessary to provide details on a Supplemental Form
(Open Positions) with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be
stated.
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/20190927005246/en/
This information is provided by Business Wire
(END) Dow Jones Newswires
September 27, 2019 08:55 ET (12:55 GMT)
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