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Barclays PLC Director's Dealing 2020
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Director's Dealing
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Form 8.3 - ABBVIE INC
Ap19
FORM 8.3
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DEALINGS BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
1. KEY INFORMATION
| Name of person dealing (Note 1) | Barclays PLC. | |
| Company dealt in | ABBVIE INC | |
| Class of relevant security to which the | ORD | |
| dealings being disclosed relate (Note 2) | ||
| Date of dealing | 04 March 2020 |
2. INTERESTS AND SHORT POSITIONS
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3)
| Class of relevant security: | ORD | ||||
| Long | Short | ||||
| Number | (%) | Number | (%) | ||
| (1) | Relevant securities | ||||
| 2,853,122 | 0.19% | 4,142,503 | 0.28% | ||
| (2) | Derivatives (other than options): | ||||
| 2,185,696 | 0.15% | 560,929 | 0.04% | ||
| (3) | Options and agreements to | ||||
| purchase/sell: | 1,676,000 | 0.11% | 1,559,700 | 0.11% | |
| TOTAL: | |||||
| 6,714,818 | 0.45% | 6,263,132 | 0.42% | ||
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3)
| Class of relevant security: | Long | Short | ||||
| Number | (%) | Number | (%) | |||
| (1) Relevant securities | ||||||
| (2) Derivatives (other than options) | ||||||
| (3) Options and agreements to purchase/sell | ||||||
| Total | ||||||
Ap20
1. DEALINGS (Note 4)
(a) Purchases and sales
| Purchase/sale | Number of relevant securities | Price per unit |
| Purchase | 2 | 86.1200 USD |
| Purchase | 71 | 89.4800 USD |
| Purchase | 95 | 89.6852 USD |
| Purchase | 100 | 91.5900 USD |
| Purchase | 100 | 91.7100 USD |
| Purchase | 100 | 91.7550 USD |
| Purchase | 100 | 90.0800 USD |
| Purchase | 100 | 91.3750 USD |
| Purchase | 100 | 89.6200 USD |
| Purchase | 100 | 89.6500 USD |
| Purchase | 100 | 90.6700 USD |
| Purchase | 100 | 89.6950 USD |
| Purchase | 100 | 89.3300 USD |
| Purchase | 100 | 90.5500 USD |
| Purchase | 143 | 89.8873 USD |
| Purchase | 200 | 90.6725 USD |
| Purchase | 300 | 89.8666 USD |
| Purchase | 300 | 90.1933 USD |
| Purchase | 300 | 91.7633 USD |
| Purchase | 345 | 91.6700 USD |
| Purchase | 400 | 89.6600 USD |
| Purchase | 400 | 90.3375 USD |
| Purchase | 400 | 89.6525 USD |
| Purchase | 488 | 89.5363 USD |
| Purchase | 500 | 89.6110 USD |
| Purchase | 500 | 89.5040 USD |
| Purchase | 500 | 91.7700 USD |
| Purchase | 500 | 91.7630 USD |
| Purchase | 500 | 89.5900 USD |
| Purchase | 500 | 90.3120 USD |
| Purchase | 521 | 91.7563 USD |
| Purchase | 567 | 91.7600 USD |
| Purchase | 600 | 91.2616 USD |
| Purchase | 601 | 89.6747 USD |
| Purchase | 644 | 89.5257 USD |
| Purchase | 780 | 89.7097 USD |
| Purchase | 800 | 89.5075 USD |
| Purchase | 899 | 91.2475 USD |
| Purchase | 900 | 89.8344 USD |
| Purchase | 1,000 | 89.6955 USD |
| Purchase | 1,000 | 91.2300 USD |
| Purchase | 1,007 | 91.2166 USD |
| Purchase | 1,051 | 89.6062 USD |
| Purchase | 1,100 | 90.9881 USD |
| Purchase | 1,158 | 89.5599 USD |
| Purchase | 1,200 | 90.6433 USD |
| Purchase | 1,200 | 90.3241 USD |
| Purchase | 1,211 | 89.5609 USD |
| Purchase | 1,221 | 89.9292 USD |
| Purchase | 1,263 | 90.9614 USD |
| Purchase | 1,400 | 89.5545 USD |
| Purchase | 1,414 | 89.3812 USD |
| Purchase | 1,778 | 91.2252 USD |
| Purchase | 1,784 | 89.6686 USD |
| Purchase | 1,786 | 89.0000 USD |
| Purchase | 1,800 | 90.3605 USD |
| Purchase | 1,818 | 89.8042 USD |
| Purchase | 1,950 | 89.6328 USD |
| Purchase | 2,000 | 89.7725 USD |
| Purchase | 2,306 | 91.2337 USD |
| Purchase | 2,595 | 89.7934 USD |
| Purchase | 2,781 | 91.0505 USD |
| Purchase | 2,802 | 91.2231 USD |
| Purchase | 3,219 | 91.3818 USD |
| Purchase | 3,303 | 89.6233 USD |
| Purchase | 3,422 | 91.1316 USD |
| Purchase | 3,475 | 91.1242 USD |
| Purchase | 3,506 | 89.6549 USD |
| Purchase | 3,569 | 89.6524 USD |
| Purchase | 3,965 | 91.5752 USD |
| Purchase | 4,444 | 89.2377 USD |
| Purchase | 4,570 | 91.2483 USD |
| Purchase | 4,870 | 89.7527 USD |
| Purchase | 5,635 | 89.7768 USD |
| Purchase | 6,048 | 89.6157 USD |
| Purchase | 7,368 | 91.2990 USD |
| Purchase | 9,177 | 90.8217 USD |
| Purchase | 10,454 | 89.6905 USD |
| Purchase | 10,853 | 89.7479 USD |
| Purchase | 11,005 | 89.6754 USD |
| Purchase | 11,800 | 89.6521 USD |
| Purchase | 13,583 | 89.7249 USD |
| Purchase | 15,244 | 89.6410 USD |
| Purchase | 21,277 | 89.8002 USD |
| Purchase | 24,326 | 89.7892 USD |
| Purchase | 28,399 | 89.7568 USD |
| Purchase | 37,600 | 89.9054 USD |
| Purchase | 38,100 | 91.5300 USD |
| Purchase | 45,100 | 89.8589 USD |
| Purchase | 80,381 | 91.7500 USD |
| Purchase | 90,012 | 91.7460 USD |
| Purchase | 111,272 | 91.5037 USD |
| Purchase | 112,220 | 91.2604 USD |
| Purchase | 208,913 | 90.7647 USD |
| Sale | 1 | 90.2400 USD |
| Sale | 1 | 89.5200 USD |
| Sale | 2 | 90.0250 USD |
| Sale | 20 | 89.6100 USD |
| Sale | 21 | 89.6800 USD |
| Sale | 23 | 90.5526 USD |
| Sale | 30 | 89.7000 USD |
| Sale | 32 | 89.2750 USD |
| Sale | 45 | 91.6700 USD |
| Sale | 46 | 89.9900 USD |
| Sale | 49 | 90.8000 USD |
| Sale | 50 | 90.5900 USD |
| Sale | 51 | 91.7600 USD |
| Sale | 67 | 89.8217 USD |
| Sale | 95 | 89.6852 USD |
| Sale | 100 | 89.8050 USD |
| Sale | 100 | 89.7200 USD |
| Sale | 100 | 91.6400 USD |
| Sale | 100 | 89.4200 USD |
| Sale | 100 | 89.2000 USD |
| Sale | 100 | 91.4300 USD |
| Sale | 100 | 91.3750 USD |
| Sale | 103 | 90.0656 USD |
| Sale | 185 | 89.8137 USD |
| Sale | 196 | 90.2798 USD |
| Sale | 196 | 91.1034 USD |
| Sale | 200 | 91.5650 USD |
| Sale | 200 | 89.9800 USD |
| Sale | 200 | 89.2450 USD |
| Sale | 200 | 91.6325 USD |
| Sale | 200 | 90.9050 USD |
| Sale | 200 | 91.4650 USD |
| Sale | 200 | 91.2375 USD |
| Sale | 205 | 89.2629 USD |
| Sale | 208 | 89.4830 USD |
| Sale | 211 | 90.0102 USD |
| Sale | 213 | 89.6110 USD |
| Sale | 225 | 90.9533 USD |
| Sale | 232 | 91.7125 USD |
| Sale | 240 | 89.5158 USD |
| Sale | 248 | 91.7020 USD |
| Sale | 255 | 89.5300 USD |
| Sale | 257 | 89.5091 USD |
| Sale | 275 | 89.8079 USD |
| Sale | 278 | 89.8909 USD |
| Sale | 282 | 89.7900 USD |
| Sale | 300 | 90.3100 USD |
| Sale | 300 | 91.6233 USD |
| Sale | 300 | 89.6333 USD |
| Sale | 344 | 89.2102 USD |
| Sale | 356 | 89.6644 USD |
| Sale | 395 | 89.2359 USD |
| Sale | 400 | 89.6206 USD |
| Sale | 400 | 89.8225 USD |
| Sale | 400 | 89.7412 USD |
| Sale | 400 | 89.3912 USD |
| Sale | 400 | 90.0756 USD |
| Sale | 447 | 91.6146 USD |
| Sale | 488 | 90.1055 USD |
| Sale | 500 | 90.3640 USD |
| Sale | 501 | 91.7072 USD |
| Sale | 510 | 91.2531 USD |
| Sale | 600 | 90.9475 USD |
| Sale | 600 | 91.6450 USD |
| Sale | 600 | 91.4750 USD |
| Sale | 600 | 89.9983 USD |
| Sale | 779 | 89.7483 USD |
| Sale | 789 | 91.6892 USD |
| Sale | 876 | 91.6857 USD |
| Sale | 900 | 89.2666 USD |
| Sale | 909 | 89.8042 USD |
| Sale | 937 | 91.7276 USD |
| Sale | 961 | 91.4172 USD |
| Sale | 1,000 | 89.6955 USD |
| Sale | 1,018 | 91.6743 USD |
| Sale | 1,040 | 91.2890 USD |
| Sale | 1,068 | 89.2440 USD |
| Sale | 1,075 | 91.6604 USD |
| Sale | 1,092 | 90.2334 USD |
| Sale | 1,102 | 90.7244 USD |
| Sale | 1,122 | 90.0025 USD |
| Sale | 1,150 | 91.6500 USD |
| Sale | 1,158 | 89.5599 USD |
| Sale | 1,200 | 89.2154 USD |
| Sale | 1,400 | 91.1921 USD |
| Sale | 1,588 | 90.3688 USD |
| Sale | 1,628 | 91.6106 USD |
| Sale | 1,907 | 91.7431 USD |
| Sale | 2,094 | 90.6193 USD |
| Sale | 2,181 | 91.7169 USD |
| Sale | 2,200 | 91.5043 USD |
| Sale | 2,312 | 90.1063 USD |
| Sale | 2,356 | 89.1716 USD |
| Sale | 2,400 | 90.0558 USD |
| Sale | 2,540 | 90.0178 USD |
| Sale | 2,592 | 91.6822 USD |
| Sale | 2,600 | 90.3151 USD |
| Sale | 2,673 | 89.0000 USD |
| Sale | 2,751 | 89.5713 USD |
| Sale | 3,170 | 91.3346 USD |
| Sale | 3,321 | 91.7607 USD |
| Sale | 5,120 | 90.0593 USD |
| Sale | 8,420 | 90.4241 USD |
| Sale | 9,351 | 89.6184 USD |
| Sale | 9,503 | 91.7031 USD |
| Sale | 9,558 | 89.5399 USD |
| Sale | 10,065 | 90.9036 USD |
| Sale | 12,017 | 90.8088 USD |
| Sale | 15,321 | 89.8754 USD |
| Sale | 18,200 | 89.7863 USD |
| Sale | 23,577 | 90.6445 USD |
| Sale | 25,800 | 91.3715 USD |
| Sale | 26,500 | 90.0183 USD |
| Sale | 30,200 | 89.8889 USD |
| Sale | 30,606 | 90.6183 USD |
| Sale | 38,100 | 91.5300 USD |
| Sale | 63,897 | 90.4487 USD |
| Sale | 71,211 | 91.2420 USD |
| Sale | 86,700 | 89.7307 USD |
| Sale | 90,283 | 91.7428 USD |
| Sale | 155,973 | 91.7500 USD |
| Sale | 177,136 | 90.6931 USD |
(b) Derivatives transactions (other than options transactions)
| Product name, e.g. CFD |
Nature of transaction (Note 6) |
Number of relevant securities (Note 7) |
Price per unit (Note 5) |
(c) Options transactions in respect of existing relevant securities
(i) Writing, selling, purchasing or varying
| Product Name | Writing, | Number | Exercise | Type | Expiry | Option |
| purchasing, | of | price | date | money | ||
| selling, | securities | paid/ | ||||
| varying etc | to which | received | ||||
| option | ||||||
| relates | ||||||
| Call Option | Purchasing | 1,000 | 80 USD | American | 17 Apr 2020 | 11.2000 USD |
| Call Option | Purchasing | 300 | 88 USD | American | 15 May 2020 | 6.0000 USD |
| Call Option | Purchasing | 200 | 89 USD | American | 6 Mar 2020 | 2.4300 USD |
| Call Option | Purchasing | 100 | 90 USD | American | 6 Mar 2020 | 1.6000 USD |
| Call Option | Purchasing | 300 | 90 USD | American | 15 May 2020 | 5.1000 USD |
| Call Option | Purchasing | 5,200 | 90 USD | American | 18 Sep 2020 | 6.6036 USD |
| Call Option | Purchasing | 1,500 | 91 USD | American | 6 Mar 2020 | 1.2500 USD |
| Call Option | Purchasing | 100 | 92 USD | American | 6 Mar 2020 | 0.7500 USD |
| Call Option | Purchasing | 100 | 92 USD | American | 6 Mar 2020 | 1.0800 USD |
| Call Option | Purchasing | 900 | 93 USD | American | 6 Mar 2020 | 0.8000 USD |
| Call Option | Purchasing | 400 | 95 USD | American | 20 Mar 2020 | 0.8050 USD |
| Call Option | Purchasing | 1,500 | 98 USD | American | 15 May 2020 | 1.9200 USD |
| Call Option | Purchasing | 1,000 | 100 USD | American | 15 May 2020 | 1.6900 USD |
| Call Option | Selling | 100 | 94 USD | American | 6 Mar 2020 | 0.1600 USD |
| Call Option | Selling | 1,500 | 98 USD | American | 13 Mar 2020 | 0.1600 USD |
| Call Option | Selling | 300 | 100 USD | American | 15 May 2020 | 1.4633 USD |
| Call Option | Selling | 1,000 | 110 USD | American | 15 May 2020 | 0.3400 USD |
| Put Option | Purchasing | 5,600 | 75 USD | American | 17 Apr 2020 | 0.7573 USD |
| Put Option | Purchasing | 100 | 80 USD | American | 17 Apr 2020 | 1.5500 USD |
| Put Option | Purchasing | 300 | 84 USD | American | 20 Mar 2020 | 0.9266 USD |
| Put Option | Purchasing | 100 | 87 USD | American | 13 Mar 2020 | 1.1200 USD |
| Put Option | Purchasing | 4,300 | 90 USD | American | 18 Sep 2020 | 8.1093 USD |
| Put Option | Purchasing | 100 | 95 USD | American | 9 Apr 2020 | 6.9200 USD |
(ii) Exercising
| Product name, e.g. call option |
Number of securities | Exercise price per unit (Note 5) |
(d) Other dealings (including transactions in respect of new securities) (Note 4)
| Nature of transaction (Note 8) |
Details | Price per unit (if applicable) (Note 5) |
Ap21
2. OTHER INFORMATION
Agreements, arrangements or understandings relating to options or derivatives
| Full details of any agreement, arrangement or understanding between the person disclosing |
| and any other person relating to the voting rights of any relevant securities under any option |
| referred to on this form or relating to the voting rights or future acquisition or disposal of any |
| relevant securities to which any derivative referred to on this form is referenced. If none, this |
| should be stated. |
| NONE |
| Is a Supplemental Form 8 (Open Positions) attached? | YES |
| Date of disclosure: | 5 Mar 2020 |
| Contact name: | Large Holdings Regulatory Operations |
| Telephone number: | 020 3134 7213 |
| If a connected EFM, name of offeree/offeror with which connected | |
| If a connected EFM, state nature of connection |
Ap23
SUPPLEMENTAL FORM 8
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 8.1 AND RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1(a) & (b)(i), Form 8.1(b)(ii) or Form 8.3, as appropriate)
OPEN POSITIONS (Note 1)
| Product name | Written or | Number of | Exercise | Type | Expiry |
| purchased | relevant securities | price | date | ||
| to which the option | |||||
| or derivative | |||||
| relates | |||||
| Put Options | Written | 10,300 | 80.0000 | American | May 15, 2020 |
| Put Options | Written | 101,800 | 60.0000 | American | Jun 19, 2020 |
| Put Options | Written | 500 | 90.0000 | American | Mar 6, 2020 |
| Put Options | Written | 1,200 | 85.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 100 | 72.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 5,300 | 87.5000 | American | May 15, 2020 |
| Call Options | Purchased | 2,000 | 100.0000 | American | Mar 20, 2020 |
| Call Options | Purchased | 3,100 | 115.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 300 | 50.0000 | American | Jan 15, 2021 |
| Put Options | Written | 3,100 | 75.0000 | American | Jun 19, 2020 |
| Put Options | Written | 2,100 | 70.0000 | American | May 15, 2020 |
| Call Options | Purchased | 100 | 93.0000 | American | Mar 6, 2020 |
| Put Options | Written | 2,600 | 37.5000 | American | Jan 21, 2022 |
| Call Options | Purchased | 300 | 67.5000 | American | Sep 18, 2020 |
| Put Options | Written | 5,300 | 80.0000 | American | Mar 6, 2020 |
| Put Options | Written | 700 | 82.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 500 | 97.5000 | American | Jan 21, 2022 |
| Call Options | Purchased | 1,200 | 90.0000 | American | Mar 6, 2020 |
| Call Options | Purchased | 1,000 | 72.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 500 | 75.0000 | American | May 15, 2020 |
| Put Options | Written | 100 | 100.0000 | American | Mar 13, 2020 |
| Call Options | Written | -19,200 | 110.0000 | American | Mar 20, 2020 |
| Put Options | Purchased | -1,000 | 130.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -600 | 55.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -100 | 87.0000 | American | Mar 13, 2020 |
| Call Options | Written | -4,500 | 115.0000 | American | Jan 21, 2022 |
| Call Options | Written | -1,100 | 82.5000 | American | Jan 21, 2022 |
| Call Options | Written | -16,000 | 90.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -5,000 | 47.5000 | American | Jun 19, 2020 |
| Call Options | Written | -200 | 100.0000 | American | Aug 21, 2020 |
| Call Options | Written | -5,000 | 80.0000 | American | Jan 21, 2022 |
| Call Options | Written | -100 | 110.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -600 | 105.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,100 | 50.0000 | American | Jan 21, 2022 |
| Call Options | Written | -2,400 | 120.0000 | American | Jan 15, 2021 |
| Call Options | Written | -3,700 | 130.0000 | American | Jan 15, 2021 |
| Call Options | Written | -100 | 85.0000 | American | Mar 20, 2020 |
| Call Options | Written | -800 | 105.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -48,100 | 85.0000 | American | May 15, 2020 |
| Put Options | Purchased | -100 | 89.5000 | American | Mar 6, 2020 |
| Put Options | Purchased | -3,000 | 135.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -3,300 | 50.0000 | American | Jan 15, 2021 |
| Call Options | Written | -8,800 | 105.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -100 | 86.5000 | American | Mar 6, 2020 |
| Call Options | Written | -1,400 | 135.0000 | American | Jan 15, 2021 |
| Call Options | Written | -200 | 95.0000 | American | Mar 27, 2020 |
| Put Options | Written | 302,100 | 60.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 87.0000 | American | Mar 6, 2020 |
| Call Options | Purchased | 8,900 | 95.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 3,500 | 90.0000 | American | Mar 20, 2020 |
| Put Options | Written | 1,200 | 94.0000 | American | Mar 13, 2020 |
| Call Options | Purchased | 900 | 85.0000 | American | Aug 21, 2020 |
| Call Options | Purchased | 400 | 72.5000 | American | May 15, 2020 |
| Put Options | Written | 4,000 | 57.5000 | American | Jan 15, 2021 |
| Put Options | Written | 900 | 82.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 300 | 84.5000 | American | Mar 6, 2020 |
| Call Options | Purchased | 5,500 | 87.5000 | American | Mar 20, 2020 |
| Call Options | Purchased | 1,300 | 72.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 400 | 88.0000 | American | Mar 13, 2020 |
| Call Options | Purchased | 300 | 120.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 100 | 91.0000 | American | Mar 6, 2020 |
| Call Options | Purchased | 3,000 | 92.5000 | American | May 15, 2020 |
| Put Options | Written | 100 | 94.5000 | American | Apr 3, 2020 |
| Put Options | Written | 700 | 62.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 13,500 | 95.0000 | American | May 15, 2020 |
| Call Options | Purchased | 1,000 | 145.0000 | American | Jun 19, 2020 |
| Put Options | Written | 4,100 | 87.5000 | American | Aug 21, 2020 |
| Put Options | Written | 500 | 65.0000 | American | Mar 20, 2020 |
| Put Options | Written | 100 | 92.5000 | American | May 15, 2020 |
| Call Options | Written | -1,500 | 100.0000 | American | Mar 27, 2020 |
| Call Options | Written | -3,700 | 94.0000 | American | Mar 13, 2020 |
| Call Options | Written | -5,100 | 125.0000 | American | Aug 21, 2020 |
| Call Options | Written | -18,400 | 110.0000 | American | Jan 15, 2021 |
| Call Options | Written | -13,100 | 115.0000 | American | Mar 20, 2020 |
| Put Options | Purchased | -30,000 | 62.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -9,300 | 80.0000 | American | Mar 20, 2020 |
| Put Options | Purchased | -1,000 | 47.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -34,500 | 95.0000 | American | Jun 19, 2020 |
| Call Options | Written | -200 | 94.0000 | American | Apr 3, 2020 |
| Put Options | Purchased | -500 | 97.5000 | American | May 15, 2020 |
| Call Options | Written | -700 | 96.0000 | American | Mar 13, 2020 |
| Put Options | Purchased | -100 | 89.5000 | American | Apr 3, 2020 |
| Call Options | Written | -1,500 | 97.5000 | American | Mar 13, 2020 |
| Put Options | Purchased | -2,900 | 55.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,500 | 75.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -20,100 | 85.0000 | American | Sep 18, 2020 |
| Call Options | Written | -100 | 91.5000 | American | Apr 3, 2020 |
| Call Options | Written | -100 | 102.0000 | American | Mar 6, 2020 |
| Call Options | Written | -500 | 89.0000 | American | Mar 6, 2020 |
| Call Options | Written | -1,800 | 100.0000 | American | Mar 13, 2020 |
| Put Options | Purchased | -700 | 70.0000 | American | Apr 17, 2020 |
| Put Options | Written | 34,400 | 90.0000 | American | Aug 21, 2020 |
| Put Options | Written | 300 | 75.0000 | American | Mar 20, 2020 |
| Put Options | Written | 100 | 65.0000 | American | Aug 21, 2020 |
| Put Options | Written | 2,000 | 79.5000 | American | Mar 13, 2020 |
| Call Options | Purchased | 100 | 96.0000 | American | Apr 3, 2020 |
| Call Options | Purchased | 2,200 | 105.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 1,400 | 97.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 400 | 70.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 11,000 | 97.5000 | American | Mar 20, 2020 |
| Put Options | Written | 7,400 | 75.0000 | American | May 15, 2020 |
| Put Options | Written | 200 | 79.0000 | American | Mar 6, 2020 |
| Call Options | Purchased | 20,000 | 97.5000 | American | May 15, 2020 |
| Put Options | Written | 100 | 95.0000 | American | Mar 20, 2020 |
| Call Options | Written | -1,200 | 110.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -2,600 | 110.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,700 | 75.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -600 | 42.5000 | American | Sep 18, 2020 |
| Call Options | Written | -700 | 96.0000 | American | Mar 27, 2020 |
| Put Options | Purchased | -100 | 70.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -6,000 | 90.0000 | American | Sep 18, 2020 |
| Call Options | Written | -2,500 | 100.0000 | American | Apr 3, 2020 |
| Call Options | Written | -100 | 140.0000 | American | Jun 19, 2020 |
| Call Options | Written | -100 | 96.5000 | American | Mar 13, 2020 |
| Put Options | Purchased | -1,300 | 50.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -2,000 | 45.0000 | American | Sep 18, 2020 |
| Call Options | Written | -4,500 | 85.0000 | American | May 15, 2020 |
| Put Options | Purchased | -10,600 | 77.5000 | American | Mar 20, 2020 |
| Call Options | Written | -200 | 105.0000 | American | Mar 13, 2020 |
| Call Options | Written | -6,700 | 95.0000 | American | Mar 6, 2020 |
| Call Options | Written | -100 | 100.0000 | American | Jan 21, 2022 |
| Call Options | Written | -200 | 89.5000 | American | Mar 6, 2020 |
| Call Options | Written | -2,700 | 85.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -3,500 | 50.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -4,800 | 40.0000 | American | Jan 21, 2022 |
| Call Options | Written | -1,900 | 97.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 5,000 | 92.5000 | American | Mar 20, 2020 |
| Call Options | Purchased | 3,200 | 55.0000 | American | Jan 15, 2021 |
| Put Options | Written | 1,800 | 70.0000 | American | Aug 21, 2020 |
| Put Options | Written | 400 | 32.5000 | American | Sep 18, 2020 |
| Put Options | Written | 100 | 89.0000 | American | Mar 20, 2020 |
| Put Options | Written | 2,700 | 80.0000 | American | Jun 19, 2020 |
| Put Options | Written | 2,500 | 47.5000 | American | Jan 21, 2022 |
| Call Options | Purchased | 1,300 | 92.5000 | American | Sep 18, 2020 |
| Put Options | Written | 156,100 | 65.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 5,100 | 92.5000 | American | Mar 6, 2020 |
| Call Options | Purchased | 400 | 75.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 1,500 | 67.5000 | American | Jan 15, 2021 |
| Put Options | Written | 300 | 90.0000 | American | Jun 19, 2020 |
| Put Options | Written | 700 | 70.0000 | American | Mar 20, 2020 |
| Put Options | Written | 100 | 95.0000 | American | May 15, 2020 |
| Call Options | Purchased | 4,900 | 90.0000 | American | Aug 21, 2020 |
| Call Options | Purchased | 400 | 90.0000 | American | Mar 13, 2020 |
| Call Options | Purchased | 100 | 105.0000 | American | Aug 21, 2020 |
| Put Options | Written | 177,700 | 80.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 11,700 | 90.0000 | American | Sep 18, 2020 |
| Put Options | Written | 7,800 | 72.5000 | American | Jun 19, 2020 |
| Put Options | Written | 7,100 | 81.5000 | American | Mar 6, 2020 |
| Put Options | Written | 100 | 93.0000 | American | Mar 6, 2020 |
| Call Options | Purchased | 300 | 94.0000 | American | Mar 20, 2020 |
| Put Options | Written | 6,400 | 77.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 600 | 110.0000 | American | Aug 21, 2020 |
| Put Options | Written | 37,300 | 57.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 6,800 | 80.0000 | American | May 15, 2020 |
| Call Options | Purchased | 3,900 | 87.5000 | American | Jun 19, 2020 |
| Put Options | Written | 2,200 | 80.0000 | American | Aug 21, 2020 |
| Put Options | Written | 1,600 | 96.0000 | American | Mar 20, 2020 |
| Call Options | Purchased | 1,000 | 65.0000 | American | Sep 18, 2020 |
| Put Options | Written | 1,000 | 42.5000 | American | Jan 21, 2022 |
| Put Options | Written | 200 | 37.5000 | American | Jan 15, 2021 |
| Put Options | Written | 2,600 | 80.0000 | American | Mar 13, 2020 |
| Call Options | Purchased | 800 | 95.0000 | American | Apr 17, 2020 |
| Call Options | Written | -1,700 | 97.5000 | American | Mar 6, 2020 |
| Call Options | Written | -50,100 | 92.5000 | American | Jan 15, 2021 |
| Call Options | Written | -100 | 89.0000 | American | Mar 13, 2020 |
| Put Options | Purchased | -100 | 100.0000 | American | Jan 21, 2022 |
| Call Options | Written | -100 | 110.0000 | American | Sep 18, 2020 |
| Call Options | Written | -100 | 98.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -200 | 88.0000 | American | Mar 20, 2020 |
| Call Options | Written | -76,800 | 70.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,500 | 105.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -2,500 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Written | -600 | 125.0000 | American | Sep 18, 2020 |
| Call Options | Written | -2,500 | 95.0000 | American | Apr 3, 2020 |
| Call Options | Written | -2,100 | 97.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -5,000 | 42.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -100 | 95.0000 | American | Apr 9, 2020 |
| Call Options | Written | -300 | 70.0000 | American | Jan 21, 2022 |
| Call Options | Written | -1,400 | 95.0000 | American | Mar 20, 2020 |
| Put Options | Purchased | -300 | 80.0000 | American | Mar 27, 2020 |
| Put Options | Purchased | -1,100 | 67.5000 | American | Sep 18, 2020 |
| Call Options | Written | -7,300 | 100.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,200 | 72.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -2,200 | 40.0000 | American | Sep 18, 2020 |
| Call Options | Written | -5,400 | 97.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -350,000 | 87.5000 | American | Jan 15, 2021 |
| Call Options | Written | -400 | 88.0000 | American | Mar 6, 2020 |
| Call Options | Written | -400 | 97.0000 | American | Mar 13, 2020 |
| Put Options | Written | 1,800 | 77.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 15,300 | 90.0000 | American | May 15, 2020 |
| Put Options | Written | 1,100 | 82.5000 | American | Jun 19, 2020 |
| Put Options | Written | 300 | 65.0000 | American | May 15, 2020 |
| Put Options | Written | 100 | 93.0000 | American | Mar 13, 2020 |
| Put Options | Written | 28,300 | 62.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 900 | 80.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 600 | 77.5000 | American | Sep 18, 2020 |
| Put Options | Written | 100 | 88.5000 | American | Mar 6, 2020 |
| Call Options | Purchased | 7,400 | 87.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,100 | 60.0000 | American | Jan 15, 2021 |
| Put Options | Written | 800 | 67.5000 | American | May 15, 2020 |
| Put Options | Written | 100 | 77.5000 | American | May 15, 2020 |
| Put Options | Written | 2,400 | 92.0000 | American | Mar 13, 2020 |
| Call Options | Purchased | 13,900 | 75.0000 | American | Sep 18, 2020 |
| Put Options | Written | 22,000 | 90.0000 | American | Mar 20, 2020 |
| Call Options | Purchased | 500 | 82.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,000 | 80.0000 | American | Apr 17, 2020 |
| Put Options | Written | 100 | 85.0000 | American | Apr 17, 2020 |
| Call Options | Written | -800 | 92.5000 | American | Apr 17, 2020 |
| Put Options | Purchased | -700 | 42.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -4,800 | 55.0000 | American | May 15, 2020 |
| Put Options | Purchased | -900 | 80.0000 | American | Apr 17, 2020 |
| Call Options | Written | -1,300 | 92.5000 | American | Jun 19, 2020 |
| Call Options | Written | -2,700 | 125.0000 | American | Jan 15, 2021 |
| Call Options | Written | -5,200 | 130.0000 | American | Jun 19, 2020 |
| Call Options | Written | -100 | 85.0000 | American | Apr 17, 2020 |
| Call Options | Written | -900 | 105.0000 | American | Mar 27, 2020 |
| Call Options | Written | -2,800 | 115.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -2,100 | 100.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -70,000 | 67.5000 | American | Jan 15, 2021 |
| Call Options | Written | -1,000 | 85.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -4,700 | 35.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -600 | 77.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -700 | 82.5000 | American | May 15, 2020 |
| Put Options | Purchased | -21,100 | 95.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -900 | 60.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -2,000 | 84.0000 | American | Mar 20, 2020 |
| Put Options | Purchased | -3,600 | 82.5000 | American | Mar 20, 2020 |
| Put Options | Purchased | -100 | 77.5000 | American | Aug 21, 2020 |
| Put Options | Written | 300 | 35.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 100 | 125.0000 | American | Jan 21, 2022 |
| Put Options | Written | 90,000 | 50.0000 | American | Jun 19, 2020 |
| Put Options | Written | 600 | 83.0000 | American | Mar 6, 2020 |
| Put Options | Written | 100 | 95.0000 | American | Sep 18, 2020 |
| Put Options | Written | 800 | 87.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 86.0000 | American | Mar 6, 2020 |
| Call Options | Purchased | 1,000 | 100.0000 | American | Sep 18, 2020 |
| Put Options | Written | 100 | 88.0000 | American | Mar 6, 2020 |
| Put Options | Written | 9,100 | 87.5000 | American | May 15, 2020 |
| Put Options | Written | 2,300 | 90.0000 | American | May 15, 2020 |
| Put Options | Written | 2,000 | 57.5000 | American | Sep 18, 2020 |
| Put Options | Written | 1,700 | 75.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 400 | 84.5000 | American | Mar 13, 2020 |
| Put Options | Written | 1,500 | 62.5000 | American | May 15, 2020 |
| Put Options | Written | 30,100 | 70.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 500 | 96.0000 | American | Mar 20, 2020 |
| Put Options | Written | 5,400 | 55.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 800 | 100.0000 | American | Apr 17, 2020 |
| Call Options | Purchased | 200 | 88.5000 | American | Mar 6, 2020 |
| Put Options | Written | 100 | 92.5000 | American | Mar 6, 2020 |
| Put Options | Purchased | -700 | 92.5000 | American | Jun 19, 2020 |
| Call Options | Written | -1,400 | 90.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -300 | 96.0000 | American | Mar 13, 2020 |
| Call Options | Written | -400 | 82.5000 | American | Mar 6, 2020 |
| Call Options | Written | -600 | 96.5000 | American | Mar 6, 2020 |
| Put Options | Purchased | -100,000 | 92.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -300 | 60.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -100 | 92.0000 | American | Mar 20, 2020 |
| Call Options | Written | -4,700 | 120.0000 | American | Jan 21, 2022 |
| Call Options | Written | -4,700 | 100.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -2,300 | 87.5000 | American | Mar 20, 2020 |
| Call Options | Written | -100 | 105.0000 | American | Apr 17, 2020 |
| Put Options | Purchased | -400 | 75.0000 | American | Mar 27, 2020 |
| Put Options | Purchased | -1,900 | 40.0000 | American | Jan 15, 2021 |
| Call Options | Written | -33,400 | 95.0000 | American | Jun 19, 2020 |
| Call Options | Written | -2,100 | 115.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -9,600 | 72.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,600 | 88.0000 | American | Apr 3, 2020 |
| Put Options | Purchased | -7,900 | 75.0000 | American | Apr 17, 2020 |
| Put Options | Purchased | -100 | 94.0000 | American | Mar 6, 2020 |
| Put Options | Written | 14,500 | 67.5000 | American | Jun 19, 2020 |
| Put Options | Written | 100 | 90.0000 | American | Mar 27, 2020 |
| Put Options | Written | 275,000 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,400 | 105.0000 | American | Sep 18, 2020 |
| Put Options | Written | 1,000 | 87.5000 | American | Sep 18, 2020 |
| Put Options | Written | 100 | 92.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,600 | 85.0000 | American | Sep 18, 2020 |
| Put Options | Written | 1,500 | 77.5000 | American | Jun 19, 2020 |
| Put Options | Written | 500 | 45.0000 | American | Jan 15, 2021 |
| Put Options | Written | 100 | 97.5000 | American | Jan 21, 2022 |
| Put Options | Written | 8,400 | 87.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 2,900 | 105.0000 | American | May 15, 2020 |
| Put Options | Written | 800 | 90.0000 | American | Mar 13, 2020 |
| Call Options | Purchased | 4,200 | 80.0000 | American | Jun 19, 2020 |
| Put Options | Written | 2,600 | 65.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,100 | 90.0000 | American | Apr 17, 2020 |
| Put Options | Written | 100 | 91.0000 | American | Mar 6, 2020 |
| Put Options | Written | 100 | 130.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 300 | 55.0000 | American | Jan 21, 2022 |
| Put Options | Written | 20,400 | 90.0000 | American | Jan 15, 2021 |
| Put Options | Written | 500 | 45.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 200 | 82.5000 | American | Mar 20, 2020 |
| Call Options | Purchased | 200 | 72.5000 | American | Jan 21, 2022 |
| Call Options | Purchased | 1,500 | 90.5000 | American | Mar 6, 2020 |
| Put Options | Written | 1,100 | 65.0000 | American | Sep 18, 2020 |
| Call Options | Written | -100 | 93.5000 | American | Mar 27, 2020 |
| Put Options | Purchased | -200 | 100.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -300 | 76.0000 | American | Mar 6, 2020 |
| Call Options | Written | -2,200 | 95.0000 | American | Aug 21, 2020 |
| Put Options | Purchased | -4,100 | 75.0000 | American | Jan 21, 2022 |
| Call Options | Written | -7,300 | 100.0000 | American | Jun 19, 2020 |
| Call Options | Written | -6,700 | 105.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -300 | 84.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -900 | 40.0000 | American | Jun 19, 2020 |
| Call Options | Written | -19,400 | 105.0000 | American | Mar 20, 2020 |
| Put Options | Purchased | -100 | 80.0000 | American | Jan 21, 2022 |
| Call Options | Written | -500 | 94.0000 | American | Mar 27, 2020 |
| Put Options | Purchased | -700 | 95.0000 | American | Mar 13, 2020 |
| Put Options | Purchased | -1,000 | 115.0000 | American | Jan 21, 2022 |
| Call Options | Written | -13,600 | 82.5000 | American | May 15, 2020 |
| Put Options | Purchased | -300 | 67.5000 | American | Jan 21, 2022 |
| Call Options | Written | -2,600 | 94.0000 | American | Mar 6, 2020 |
| Put Options | Purchased | -100 | 87.0000 | American | Mar 27, 2020 |
| Put Options | Written | 2,900 | 92.5000 | American | Jan 15, 2021 |
| Put Options | Written | 1,100 | 45.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 700 | 97.5000 | American | Apr 17, 2020 |
| Call Options | Purchased | 7,300 | 77.5000 | American | Jan 15, 2021 |
| Put Options | Written | 7,500 | 92.5000 | American | Mar 20, 2020 |
| Call Options | Purchased | 1,500 | 80.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 500 | 90.0000 | American | Jan 21, 2022 |
| Put Options | Written | 3,300 | 72.5000 | American | May 15, 2020 |
| Put Options | Written | 6,500 | 85.0000 | American | Mar 6, 2020 |
| Put Options | Written | 1,100 | 67.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,300 | 82.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 200 | 91.5000 | American | Mar 6, 2020 |
| Call Options | Purchased | 11,700 | 85.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 10,700 | 100.0000 | American | May 15, 2020 |
| Call Options | Purchased | 1,700 | 57.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 400 | 85.0000 | American | Jan 21, 2022 |
| Put Options | Written | 1,500 | 81.0000 | American | Mar 6, 2020 |
| Put Options | Written | 600 | 85.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -200 | 92.5000 | American | Jan 21, 2022 |
| Call Options | Written | -700 | 95.0000 | American | Mar 13, 2020 |
| Put Options | Purchased | -1,500 | 90.0000 | American | Apr 3, 2020 |
| Call Options | Written | -4,700 | 140.0000 | American | Jan 15, 2021 |
| Call Options | Written | -600 | 92.5000 | American | Aug 21, 2020 |
| Call Options | Written | -4,400 | 95.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -500 | 47.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -21,500 | 85.0000 | American | Mar 20, 2020 |
| Call Options | Written | -500 | 87.5000 | American | Jan 21, 2022 |
| Call Options | Written | -6,200 | 110.0000 | American | May 15, 2020 |
| Call Options | Written | -2,600 | 82.5000 | American | Jan 15, 2021 |
| Call Options | Written | -700 | 96.0000 | American | Mar 6, 2020 |
| Call Options | Written | -1,000 | 97.5000 | American | Aug 21, 2020 |
| Call Options | Written | -1,100 | 120.0000 | American | Jun 19, 2020 |
| Call Options | Written | -60,600 | 87.5000 | American | Jan 15, 2021 |
| Call Options | Written | -100 | 98.5000 | American | Mar 6, 2020 |
| Call Options | Written | -400 | 93.5000 | American | Mar 6, 2020 |
| Put Options | Purchased | -250,000 | 85.0000 | American | Jan 15, 2021 |
Notes
1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given. Full details of any existing agreements to purchase or to sell must also be given on this form.
2. For all prices and other monetary amounts, the currency must be stated.
For full details of disclosure requirements, see Rule 8 of the Rules. If in doubt, consult the Panel.
BARCLAYS PLC
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