REG-BARCLAYS PLC Form 8.5 (EPT/NON-RI) - Hong Kong Exchanges and Clearing Limited

Hong Kong Exchanges and ClearingAnnouncement

03/10/2019 12:05

Form 8.5 (EPT/NON-RI) - Hong Kong Exchanges and Clearing Limited

 

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
HONG KONG EXCHANGES & CLEARING LTD


 
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:
02 October 2019


(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:
ordinary NPV
 
 


 
Interests
Short Positions


 
Number
(%)
Number
(%)



(1)


Relevant securities owned
 
 
 
 



and/or controlled:

883,476



0.07%



1,351,624



0.11%




 
 
 
 
 



(2)


Cash-settled derivatives:
 
 
 
 



 

835,088



0.07%



237,328



0.02%




 
 
 
 
 



(3)


Stock-settled derivatives (including options) 
 
 
 
 



and agreements to purchase/sell:

0



0.00%



0



0.00%




 
 
 
 
 



 
 
 
 
 



TOTAL:

1,718,564



0.14%



1,588,952



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 relevant
Purchase/sale

Total number of



Highest price per unit



Lowest price per unit




security
 

securities



paid/received



paid/received




ordinary NPV
Purchase

82,188



228.4000   HKD



225.8   HKD




ordinary NPV
Sale

198,164



228.6000   HKD



225   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

1,600



225.7281   HKD




ordinary NPV
  SWAP  
Long

6,000



225.7283   HKD




ordinary NPV
  SWAP  
Long

13,800



228.4000   HKD




ordinary NPV
  SWAP  
Long

14,000



227.2114   HKD




ordinary NPV
  SWAP  
Long

39,800



228.1934   HKD




ordinary NPV
  SWAP  
Long

107,600



228.3200   HKD




ordinary NPV
  SWAP  
Short

500



227.5600   HKD




ordinary NPV
  SWAP  
Short

65,700



227.0651   HKD




 

(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:

3 Oct 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.
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BARCLAYS PLC