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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