24th Mar 2017 10:20
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: | 23 March 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 | 1,761,786 | 0.91% | 2,207,882 | 1.14% | ||||||
| and/or controlled: | |||||||||||
| (2) | Cash-settled derivatives: | 1,019,509 | 0.53% | 783,326 | 0.41% | ||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | 2,781,295 | 1.44% | 2,991,208 | 1.55% | |||||||
| TOTAL: | |||||||||||
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 | 10,385 | 81.0847 EUR | 79.448 EUR | |||||
| ORD | Sale | 10,178 | 81.1689 EUR | 79.46 EUR | |||||
| TENDERED ORD | Purchase | 17,606 | 81.5400 EUR | 79.65 EUR | |||||
| TENDERED ORD | Sale | 61,104 | 81.3000 EUR | 79.65 EUR |
(b) Cash-settled derivative transactions
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 53 | 80.8800 EUR | |||||
| ORD | SWAP | Long | 124 | 80.7946 EUR | |||||
| ORD | SWAP | Long | 827 | 80.7831 EUR | |||||
| ORD | CFD | Short | 1 | 79.4700 EUR | |||||
| ORD | CFD | Short | 1 | 79.5200 EUR | |||||
| ORD | CFD | Short | 1 | 79.5700 EUR | |||||
| ORD | CFD | Short | 2 | 79.4600 EUR | |||||
| ORD | CFD | Short | 2 | 79.5000 EUR | |||||
| ORD | CFD | Short | 2 | 79.5400 EUR | |||||
| ORD | CFD | Short | 2 | 79.9800 EUR | |||||
| ORD | CFD | Short | 3 | 79.4733 EUR | |||||
| ORD | CFD | Short | 3 | 79.5133 EUR | |||||
| ORD | CFD | Short | 3 | 79.5233 EUR | |||||
| ORD | CFD | Short | 4 | 79.4500 EUR | |||||
| ORD | CFD | Short | 4 | 79.5625 EUR | |||||
| ORD | CFD | Short | 4 | 79.5725 EUR | |||||
| ORD | CFD | Short | 5 | 79.5020 EUR | |||||
| ORD | CFD | Short | 5 | 79.6220 EUR | |||||
| ORD | CFD | Short | 5 | 79.9920 EUR | |||||
| ORD | CFD | Short | 6 | 79.4516 EUR | |||||
| ORD | CFD | Short | 6 | 79.4816 EUR | |||||
| ORD | CFD | Short | 6 | 79.5100 EUR | |||||
| ORD | CFD | Short | 7 | 79.4714 EUR | |||||
| ORD | CFD | Short | 8 | 79.4725 EUR | |||||
| ORD | CFD | Short | 9 | 79.5122 EUR | |||||
| ORD | CFD | Short | 9 | 79.5622 EUR | |||||
| ORD | CFD | Short | 10 | 79.9520 EUR | |||||
| ORD | CFD | Short | 11 | 79.5118 EUR | |||||
| ORD | CFD | Short | 12 | 79.4716 EUR | |||||
| ORD | CFD | Short | 12 | 79.8616 EUR | |||||
| ORD | CFD | Short | 12 | 79.9816 EUR | |||||
| ORD | CFD | Short | 13 | 79.4715 EUR | |||||
| ORD | CFD | Short | 14 | 79.4821 EUR | |||||
| ORD | CFD | Short | 14 | 79.8721 EUR | |||||
| ORD | CFD | Short | 15 | 79.5120 EUR | |||||
| ORD | CFD | Short | 15 | 79.5520 EUR | |||||
| ORD | CFD | Short | 16 | 79.5718 EUR | |||||
| ORD | CFD | Short | 18 | 79.5116 EUR | |||||
| ORD | CFD | Short | 19 | 79.7521 EUR | |||||
| ORD | CFD | Short | 24 | 79.6216 EUR | |||||
| ORD | CFD | Short | 26 | 79.7019 EUR | |||||
| ORD | CFD | Short | 26 | 79.7319 EUR | |||||
| ORD | CFD | Short | 27 | 79.9818 EUR | |||||
| ORD | CFD | Short | 28 | 79.6117 EUR | |||||
| ORD | CFD | Short | 31 | 79.9719 EUR | |||||
| ORD | CFD | Short | 35 | 79.4520 EUR | |||||
| ORD | CFD | Short | 35 | 79.9820 EUR | |||||
| ORD | CFD | Short | 36 | 79.9519 EUR | |||||
| ORD | CFD | Short | 40 | 79.6320 EUR | |||||
| ORD | CFD | Short | 42 | 79.5119 EUR | |||||
| ORD | CFD | Short | 42 | 79.7419 EUR | |||||
| ORD | CFD | Short | 48 | 79.8318 EUR | |||||
| ORD | CFD | Short | 48 | 80.0420 EUR | |||||
| ORD | CFD | Short | 50 | 79.9720 EUR | |||||
| ORD | CFD | Short | 52 | 79.5619 EUR | |||||
| ORD | CFD | Short | 54 | 79.6318 EUR | |||||
| ORD | CFD | Short | 54 | 79.7320 EUR | |||||
| ORD | CFD | Short | 55 | 79.5220 EUR | |||||
| ORD | CFD | Short | 60 | 79.7020 EUR | |||||
| ORD | CFD | Short | 65 | 79.7420 EUR | |||||
| ORD | CFD | Short | 75 | 79.8220 EUR | |||||
| ORD | CFD | Short | 92 | 79.5019 EUR | |||||
| ORD | CFD | Short | 100 | 79.7520 EUR | |||||
| ORD | CFD | Short | 110 | 80.0797 EUR | |||||
| ORD | CFD | Short | 114 | 79.5218 EUR | |||||
| ORD | CFD | Short | 125 | 79.7119 EUR | |||||
| ORD | CFD | Short | 227 | 79.5219 EUR | |||||
| ORD | SWAP | Short | 760 | 79.6707 EUR | |||||
| ORD | SWAP | Short | 829 | 79.8682 EUR | |||||
| ORD | CFD | Short | 1,674 | 80.6938 EUR | |||||
| TENDERED ORD | SWAP | Short | 1,842 | 80.1514 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: | 24 Mar 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/20170324005226/en/
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