LONDON--(BUSINESS WIRE)--
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 | DEUTSCHE BOERSE AG | ||
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: | 06 December 2016 | ||
(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 security: | ORD | ||||||||||
Interests | Short Positions | ||||||||||
Number | (%) | Number | (%) | ||||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 1,480,684 | 0.77% | 1,936,893 | 1.00% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
714,403 | 0.37% | 606,546 | 0.31% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
TOTAL: | 2,195,087 | 1.14% | 2,543,439 | 1.32% |
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 relevant | Purchase/sale | Total number of | Highest price per unit | Lowest price per unit | |||||
security | securities | paid/received | paid/received | ||||||
ORD | Purchase | 5,983 | 71.3000 EUR | 70.01 EUR | |||||
ORD | Sale | 9,833 | 71.0433 EUR | 70.01 EUR | |||||
TENDERED ORD | Purchase | 9,679 | 73.6300 EUR | 73.5676 EUR | |||||
TENDERED ORD | Sale | 30,293 | 73.6521 EUR | 73.3799 EUR |
(b) Cash-settled derivative transactions
Class of | Product | Nature of dealing | Number of | Price per | |||||
relevant | description | reference | unit | ||||||
security | securities | ||||||||
ORD | CFD | Long | 10 | 69.8800 EUR | |||||
ORD | CFD | Long | 10 | 69.8900 EUR | |||||
ORD | CFD | Long | 14 | 71.1392 EUR | |||||
ORD | SWAP | Long | 34 | 70.9100 EUR | |||||
ORD | CFD | Long | 37 | 69.9894 EUR | |||||
ORD | CFD | Long | 39 | 69.8500 EUR | |||||
ORD | CFD | Long | 53 | 70.0228 EUR | |||||
ORD | CFD | Long | 54 | 70.0194 EUR | |||||
ORD | CFD | Long | 54 | 70.8494 EUR | |||||
ORD | CFD | Long | 57 | 69.8400 EUR | |||||
ORD | CFD | Long | 75 | 70.0094 EUR | |||||
ORD | CFD | Long | 93 | 70.1594 EUR | |||||
ORD | CFD | Long | 121 | 70.2395 EUR | |||||
ORD | CFD | Long | 126 | 70.8393 EUR | |||||
ORD | CFD | Long | 143 | 70.4894 EUR | |||||
ORD | CFD | Long | 145 | 71.1093 EUR | |||||
ORD | CFD | Long | 209 | 70.3694 EUR | |||||
ORD | CFD | Long | 215 | 70.1294 EUR | |||||
ORD | CFD | Long | 230 | 69.8395 EUR | |||||
ORD | CFD | Long | 247 | 69.9994 EUR | |||||
ORD | CFD | Long | 296 | 70.1394 EUR | |||||
ORD | CFD | Long | 299 | 70.4194 EUR | |||||
ORD | CFD | Long | 300 | 70.0595 EUR | |||||
ORD | CFD | Long | 307 | 69.9995 EUR | |||||
ORD | CFD | Long | 310 | 70.7993 EUR | |||||
ORD | CFD | Long | 316 | 70.6593 EUR | |||||
ORD | CFD | Long | 411 | 69.8495 EUR | |||||
ORD | CFD | Long | 716 | 70.3213 EUR | |||||
ORD | CFD | Long | 900 | 69.9895 EUR | |||||
ORD | SWAP | Short | 26 | 70.8600 EUR | |||||
ORD | CFD | Short | 770 | 70.3259 EUR | |||||
ORD | SWAP | Short | 1,175 | 70.6168 EUR | |||||
TENDERED ORD | CFD | Long | 244 | 73.4500 EUR | |||||
TENDERED ORD | SWAP | Long | 5,447 | 73.3835 EUR | |||||
TENDERED ORD | CFD | Long | 14,840 | 73.6300 EUR |
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit |
Type
e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(ii) Exercise
Class of relevant security |
Product description
e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
(d) Other dealings (including subscribing for new securities)
Class of relevant security |
Nature of dealing
e.g. subscription, conversion | Details | Price per unit (if applicable) |
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: | 7 Dec 2016 | ||
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 atwww.thetakeoverpanel.org.uk.
View source version on businesswire.com:http://www.businesswire.com/news/home/20161207005539/en/
BARCLAYS PLC
Source: BARCLAYS PLC
Barclays plc published this content on 07 December 2016 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 07 December 2016 14:31:10 UTC.
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