TIDMLSE
FORM 8.5 (EPT/NON-RI) AMENDMENT TO SECTION 2 (a) & 3(a)
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 LONDON STOCK EXCHANGE GROUP PLC
in relation to whose
relevant securities
this form relates:
(c) Name of the party to the LONDON STOCK EXCHANGE GROUP PLC
offer with which exempt
principal trader is connected
(d) Date position held/dealing 18 January 2017
undertaken:
(e) In addition to the YES:
company in 1(b)
above, is the exempt principal
trader making disclosures DEUTSCHE BOERSE AG
in respect
of any other party to the offer?
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 ORD
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,362,914 0.39% 492,963 0.14%
(2) Cash-settled derivatives:
101,731 0.03% 710,987 0.20%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 1,464,645 0.42% 1,203,950 0.34%
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
ORD Purchase 28,114 29.5300 GBP 29.4 GBP
ORD Sale 31,969 29.5878 GBP 29.4 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD SWAP Long 274 29.4837 GBP
ORD CFD Long 320 29.4460 GBP
ORD SWAP Long 334 29.5470 GBP
ORD CFD Long 391 29.5276 GBP
ORD CFD Long 487 29.5351 GBP
ORD SWAP Long 1,983 29.4830 GBP
ORD SWAP Long 2,246 29.4943 GBP
ORD SWAP Long 2,379 29.4869 GBP
ORD CFD Long 2,468 29.5878 GBP
ORD SWAP Short 202 29.5188 GBP
ORD SWAP Short 530 29.4778 GBP
ORD CFD Short 961 29.4968 GBP
ORD SWAP Short 1,184 29.5300 GBP
ORD SWAP Short 2,889 29.4947 GBP
ORD SWAP Short 4,942 29.5026 GBP
(c) Stock-settled derivative transactions (including
options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number Exercise price Type Expiry date Option money
relevant descriptione.g. purchasing, of securities per unit e.g. American, paid/
security call selling, to European etc. received
option varying etc. which option per 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 Nature of dealing Details Price per unit (if
security 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 Positions) attached? NO
Date of disclosure: 20 Jan 2017
Contact name: Hemika Mistry
Telephone number: 020 7116 3891
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:
http://www.businesswire.com/news/home/20170120005474/en/
This information is provided by Business Wire
(END) Dow Jones Newswires
January 20, 2017 12:24 ET (17:24 GMT)
London Stock Exchange (LSE:LSEG)
Historical Stock Chart
From Mar 2024 to Apr 2024
London Stock Exchange (LSE:LSEG)
Historical Stock Chart
From Apr 2023 to Apr 2024
