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4-Traders Homepage  >  Equities  >  London Stock Exchange  >  Barclays PLC    BARC   GB0031348658

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Barclays : Form 8.5 (EPT/NON-RI) - DEUTSCHE BOERSE AG - Amendment

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01/20/2017 | 06:29pm CET

LONDON--(BUSINESS WIRE)--

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 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: 18 January 2017
(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: 1,595,067 0.83% 2,004,852 1.04%
(2) Cash-settled derivatives:
782,641 0.41% 564,518 0.29%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 2,377,708 1.23% 2,569,370 1.33%

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 6,529 76.4600 EUR 76.2485 EUR
ORD Sale 1,019 76.4600 EUR 76.11 EUR
TENDERED ORD Purchase 129 78.1725 EUR 78.05 EUR
TENDERED ORD Sale 465 78.1733 EUR 78.05 EUR

(b) Cash-settled derivative transactions

Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD CFD Short 18 76.3916 EUR
ORD CFD Short 37 76.3413 EUR
ORD CFD Short 55 76.3914 EUR
ORD CFD Short 72 76.2913 EUR
ORD CFD Short 75 76.4614 EUR
ORD CFD Short 84 76.3714 EUR
ORD CFD Short 84 76.4414 EUR
ORD CFD Short 100 76.3815 EUR
ORD CFD Short 100 76.4215 EUR
ORD CFD Short 125 76.4714 EUR
ORD CFD Short 135 76.4681 EUR
ORD CFD Short 164 76.3314 EUR
ORD CFD Short 182 76.3879 EUR
ORD CFD Short 191 76.3888 EUR
ORD CFD Short 200 76.3681 EUR
ORD CFD Short 205 76.4114 EUR
ORD CFD Short 208 76.5714 EUR
ORD SWAP Short 209 76.3700 EUR
ORD CFD Short 246 76.4014 EUR
ORD CFD Short 260 76.3840 EUR
ORD CFD Short 414 76.3883 EUR
ORD CFD Short 417 76.3940 EUR
ORD SWAP Short 561 76.0134 EUR
ORD CFD Short 712 76.4214 EUR
ORD CFD Short 714 76.4514 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: 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/20170120005473/en/

BARCLAYS PLC

Source: BARCLAYS PLC

Barclays plc published this content on 20 January 2017 and is solely responsible for the information contained herein.
Distributed by Public, unedited and unaltered, on 20 January 2017 17:29:10 UTC.

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