Form 8.5 (EPT/RI) -London Stock Exchange Group plc

FORM 8.5 (EPT/RI)

 

PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY

Rule 8.5 of the Takeover Code (the Code)

 

1.         KEY INFORMATION

 

(a) Name of exempt principal trader:	UBS Investment Bank, London
(b) Name of offeror/offeree in relation to whose relevant securities this form relates:      Use a separate form for each offeror/offeree	London Stock Exchange Group plc
(c) Name of the party to the offer with which exempt principal trader is connected:	Hong Kong Exchanges and Clearing Limited
(d) Date dealing undertaken:	07 October 2019
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer?      If it is a cash offer or possible cash offer, state "N/A"	No

 

2.         DEALINGS 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 2(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 security	Purchases/ sales	Total number of securities	Highest price per unit paid/received	Lowest price per unit paid/received
6 79/86 p ordinary	Buy	100638	74.90000        GBP	73.67000        GBP
6 79/86 p ordinary	Sell	103667	74.90000        GBP	73.67000        GBP

 

(b)        Cash-settled derivative transactions

 

Class of relevant security	Product description e.g. CFD	Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position	Number of reference securities	Price per unit
6 79/86 p ordinary	CFD	Long	22	74.2827        GBP
6 79/86 p ordinary	CFD	Long	1794	74.306151        GBP
6 79/86 p ordinary	CFD	Long	4810	74.375959        GBP
6 79/86 p ordinary	CFD	Long	200	74.49        GBP
6 79/86 p ordinary	CFD	Long	171	74.455146        GBP
6 79/86 p ordinary	CFD	Long	15970	74.52        GBP
6 79/86 p ordinary	CFD	Long	125	74.5856        GBP
6 79/86 p ordinary	CFD	Long	1674	74.736045        GBP
6 79/86 p ordinary	CFD	Long	47	74.0        GBP
6 79/86 p ordinary	CFD	Long	456	74.109474        GBP
6 79/86 p ordinary	CFD	Long	1510	73.946063        GBP
6 79/86 p ordinary	CFD	Short	286	74.52        GBP
6 79/86 p ordinary	CFD	Short	5426	74.026086        GBP
6 79/86 p ordinary	CFD	Short	2532	74.083668        GBP
6 79/86 p ordinary	CFD	Short	35	74.49        GBP
6 79/86 p ordinary	CFD	Short	268	74.453206        GBP
6 79/86 p ordinary	CFD	Short	7353	74.37801249 GBP
6 79/86 p ordinary	CFD	Short	125	74.0        GBP
6 79/86 p ordinary	CFD	Short	100	73.94        GBP
6 79/86 p ordinary	CFD	Short	3230	74.38252379 GBP
6 79/86 p ordinary	CFD	Short	132	74.52447        GBP

 

(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)

 

 

3.         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

 

 

Date of disclosure:	08 October 2019
Contact name:	Wendy Dent
Telephone number:	+44 (0)207 568 1245

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]

 

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.

 

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.