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

21st Mar 2017 11:14

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:		20 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
		and/or controlled:		2,042,426		1.06%		2,334,621		1.21%
(2)		Cash-settled derivatives:
				1,087,383		0.59%		903,027		0.46%
(3)		Stock-settled derivatives (including options)
		and agreements to purchase/sell:		0		0.00%		0		0.00%
(4)
		TOTAL:		3,129,809		1.65%		3,237,648		1.67%

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		8,244		81.5418 EUR		80.92 EUR
ORD		Sale		5,720		81.5400 EUR		80.92 EUR
TENDERED ORD		Purchase		33,621		81.8750 EUR		80.9591 EUR
TENDERED ORD		Sale		27,759		81.8750 EUR		81.02 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		100		81.5639 EUR
ORD		SWAP		Long		189		81.2908 EUR
ORD		SWAP		Long		424		81.3300 EUR
ORD		SWAP		Long		673		81.3426 EUR
ORD		SWAP		Long		1,293		81.4782 EUR
ORD		CFD		Long		2,470		81.1676 EUR
ORD		CFD		Short		7		81.7028 EUR
ORD		CFD		Short		10		81.4620 EUR
ORD		CFD		Short		11		81.7018 EUR
ORD		CFD		Short		36		81.8922 EUR
ORD		CFD		Short		38		81.0921 EUR
ORD		CFD		Short		39		81.4623 EUR
ORD		CFD		Short		45		81.4222 EUR
ORD		CFD		Short		50		81.3122 EUR
ORD		CFD		Short		55		81.3021 EUR
ORD		CFD		Short		55		81.5321 EUR
ORD		CFD		Short		55		81.7421 EUR
ORD		CFD		Short		56		81.8823 EUR
ORD		CFD		Short		59		81.3922 EUR
ORD		CFD		Short		66		81.4922 EUR
ORD		CFD		Short		76		81.8822 EUR
ORD		CFD		Short		89		81.7522 EUR
ORD		CFD		Short		89		81.8622 EUR
ORD		CFD		Short		100		81.5722 EUR
ORD		CFD		Short		100		81.5822 EUR
ORD		CFD		Short		100		81.6622 EUR
ORD		CFD		Short		100		81.7123 EUR
ORD		CFD		Short		100		81.8123 EUR
ORD		CFD		Short		100		81.8623 EUR
ORD		CFD		Short		101		81.4521 EUR
ORD		CFD		Short		123		81.8722 EUR
ORD		CFD		Short		130		81.0953 EUR
ORD		CFD		Short		142		80.9221 EUR
ORD		CFD		Short		144		81.5622 EUR
ORD		CFD		Short		175		81.5471 EUR
ORD		SWAP		Short		206		81.3153 EUR
ORD		CFD		Short		269		81.5248 EUR
ORD		CFD		Short		293		81.5021 EUR
ORD		CFD		Short		300		81.4122 EUR
ORD		CFD		Short		300		81.6822 EUR
ORD		CFD		Short		332		81.4339 EUR
ORD		CFD		Short		341		81.3221 EUR
ORD		CFD		Short		420		81.1121 EUR
ORD		CFD		Short		600		81.5122 EUR
ORD		SWAP		Short		732		81.1930 EUR
ORD		CFD		Short		849		81.5483 EUR
ORD		SWAP		Short		911		81.1697 EUR
TENDERED ORD		SWAP		Long		545		81.2913 EUR
TENDERED ORD		SWAP		Long		10,409		81.8700 EUR
TENDERED ORD		SWAP		Short		251		81.7430 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:		21 Mar 2017
Contact name:		Jay Supaya
Telephone number:		0207 773 0635

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/20170321005804/en/

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