BARCLAYS PLC Form 8.5 (EPT/NON-RI) - HONG KONG EXCHANGES & CLEARING LTD

Date : 09/19/2019 @ 10:32AM
Source : UK Regulatory (RNS & others)
Stock : Barclays Plc (BARC)
Quote : 170.88  -1.88 (-1.09%) @ 4:29PM
Barclays share price Chart

BARCLAYS PLC Form 8.5 (EPT/NON-RI) - HONG KONG EXCHANGES & CLEARING LTD

Barclays (LSE:BARC)
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2 Months : From Sep 2019 to Nov 2019

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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                   BARCLAYS CAPITAL SECURITIES LTD 
principal trader: 
(b) Name of offeror/offeree          HONG KONG EXCHANGES & CLEARING LTD 
in relation to whose 
relevant securities 
this form relates: 
Use a separate form for 
each offeror/offeree 
(c) Name of the party to             LONDON STOCK EXCHANGE GROUP PLC 
the offer with which 
exempt principal trader 
is connected: 
(d) Date position held/dealing       18 Sept 2019 
undertaken: 
For an opening position disclosure, 
state the latest 
practicable date prior 
to the disclosure 
(e) In addition to the               YES LONDON STOCK EXCHANGE GROUP PLC 
company in 1(b) 
above, is the exempt 
principal trader 
making disclosures in respect of 
any other party to the offer? 
If it is a cash offer or possible 
cash offer, state "N/A" 
 
 

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:                            1,188,156    0.09% 1,057,604 0.08% 
(2)                Cash-settled derivatives: 
                                                                 540,380      0.04% 549,000   0.04% 
(3)                Stock-settled derivatives (including options) 
                   and agreements to purchase/sell:              0            0.00% 11,000    0.00% 
                   TOTAL:                                        1,728,536    0.14% 1,617,604 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      45,300            234.4000 HKD  232.8 HKD 
ordinary NPV  Sale          219,700           234.0000 HKD  233.1229 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              6,100         233.6721 HKD 
ordinary NPV  SWAP          Long              30,900        233.6252 HKD 
ordinary NPV  CFD           Long              182,700       233.1229 HKD 
ordinary NPV  SWAP          Short             300           233.2000 HKD 
ordinary NPV  SWAP          Short             2,600         232.8000 HKD 
ordinary NPV  SWAP          Short             7,400         234.0756 HKD 
ordinary NPV  CFD           Short             35,000        234.0210 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 Positions) attached?  YES 
 
 
Date of disclosure:  19 Sept 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

 
Full name of person making disclosure:  BARCLAYS CAPITAL SECURITIES LTD 
Name of offeror/offeree                 HONG KONG EXCHANGES & CLEARING LTD 
in relation to whose 
relevant securities the 
disclosure 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/20190919005366/en/

 
This information is provided by Business Wire 
 
 

(END) Dow Jones Newswires

September 19, 2019 06:32 ET (10:32 GMT)

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