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RNS Number : 3821G Barclays PLC 29 March 2022
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 PEARSON PLC
relevant securities this form relates:
(c) Name of the party to the offer with which exempt Apollo Global Management, Inc. and its subsidiaries
principal trader is connected
(d) Date position held/dealing undertaken: 28 March 2022
(e) In addition to the company in 1(b) above, is the exempt principal NO
trader making disclosures in respect of any other party to the offer?
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(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: 25p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 7,768,509 1.03% 4,692,321 0.62%
(2) Cash-settled derivatives:
4,490,080 0.59% 3,826,679 0.51%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 12,258,589 1.62% 8,519,000 1.12%
(b) Rights to subscribe for new securities (including directors and other
executive
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
(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
25p ordinary Purchase 150,517 7.9740 GBP 7.848 GBP
25p ordinary Sale 375,763 7.9547 GBP 7.848 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
25p ordinary SWAP Decreasing Short 11,002 7.9040 GBP
25p ordinary SWAP Decreasing Short 85,341 7.8962 GBP
25p ordinary SWAP Increasing Long 158 7.8870 GBP
25p ordinary SWAP Increasing Long 369 7.9740 GBP
25p ordinary SWAP Increasing Long 1,088 7.8712 GBP
25p ordinary SWAP Increasing Long 1,628 7.9266 GBP
25p ordinary SWAP Increasing Long 4,036 7.9064 GBP
25p ordinary SWAP Increasing Long 5,855 7.9358 GBP
25p ordinary SWAP Increasing Long 6,904 7.9259 GBP
25p ordinary SWAP Increasing Long 7,156 7.8907 GBP
25p ordinary SWAP Increasing Long 11,388 7.9050 GBP
25p ordinary SWAP Increasing Long 23,466 7.9126 GBP
25p ordinary SWAP Increasing Long 44,797 7.9060 GBP
25p ordinary SWAP Increasing Long 64,058 7.9095 GBP
25p ordinary CFD Increasing Short 563 7.9132 GBP
25p ordinary CFD Increasing Short 742 7.9007 GBP
25p ordinary SWAP Increasing Short 5,652 7.9547 GBP
25p ordinary SWAP Increasing Short 6,000 7.9112 GBP
25p ordinary CFD Increasing Short 12,217 7.9123 GBP
25p ordinary CFD Increasing Short 28,186 7.9000 GBP
25p ordinary CFD Increasing Short 56,688 7.9000 GBP
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
relates
(ii) Exercising
Class of relevant Product description Exercising/ exercised against Number of Exercise price per
security securities unit
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of Dealings Details Price per unit (if
security applicable)
4. OTHER INFORMATION
(a) Indemnity and other dealings 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:
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 of future acquisition or disposal of any relevant
securities to which
any derivative is referenced:
NONE
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: 29 Mar 2022
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
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