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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 PLC - AMENDMENT
FORM 8.3
Amendment to Sales
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 | 30 December 2019 |
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 | ||||
| 3,191,817 | 0.22% | 4,189,785 | 0.28% | ||
| (2) | Derivatives (other than options): | ||||
| 5,207,507 | 0.35% | 474,700 | 0.03% | ||
| (3) | Options and agreements to | ||||
| purchase/sell: | 2,606,900 | 0.18% | 1,257,000 | 0.09% | |
| (4) | TOTAL: | ||||
| 11,006,224 | 0.74% | 5,921,485 | 0.40% | ||
(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 | 36 | 88.5850 USD |
| Purchase | 73 | 88.3190 USD |
| Purchase | 83 | 88.2500 USD |
| Purchase | 100 | 88.7400 USD |
| Purchase | 100 | 88.2250 USD |
| Purchase | 100 | 88.2050 USD |
| Purchase | 100 | 88.7650 USD |
| Purchase | 107 | 88.7749 USD |
| Purchase | 135 | 88.2795 USD |
| Purchase | 151 | 88.3159 USD |
| Purchase | 200 | 88.7350 USD |
| Purchase | 200 | 88.2825 USD |
| Purchase | 200 | 89.1900 USD |
| Purchase | 233 | 88.4945 USD |
| Purchase | 242 | 88.3322 USD |
| Purchase | 291 | 89.4006 USD |
| Purchase | 298 | 88.3466 USD |
| Purchase | 300 | 88.3083 USD |
| Purchase | 300 | 88.3800 USD |
| Purchase | 300 | 89.0400 USD |
| Purchase | 300 | 89.1733 USD |
| Purchase | 320 | 88.4488 USD |
| Purchase | 334 | 88.3200 USD |
| Purchase | 400 | 88.3375 USD |
| Purchase | 400 | 88.3500 USD |
| Purchase | 400 | 89.0362 USD |
| Purchase | 409 | 88.3835 USD |
| Purchase | 479 | 89.0242 USD |
| Purchase | 500 | 88.7410 USD |
| Purchase | 500 | 88.3550 USD |
| Purchase | 500 | 88.8260 USD |
| Purchase | 507 | 88.3784 USD |
| Purchase | 700 | 88.2885 USD |
| Purchase | 800 | 89.1450 USD |
| Purchase | 900 | 88.9050 USD |
| Purchase | 1,000 | 88.9260 USD |
| Purchase | 1,899 | 89.1087 USD |
| Purchase | 2,000 | 88.8890 USD |
| Purchase | 2,200 | 88.6059 USD |
| Purchase | 3,571 | 88.6900 USD |
| Purchase | 3,770 | 88.8197 USD |
| Purchase | 4,182 | 88.6878 USD |
| Purchase | 5,203 | 88.5864 USD |
| Purchase | 6,400 | 89.0738 USD |
| Purchase | 6,600 | 88.2200 USD |
| Purchase | 11,360 | 89.2892 USD |
| Purchase | 13,207 | 88.5217 USD |
| Purchase | 13,600 | 88.7738 USD |
| Purchase | 14,300 | 88.5898 USD |
| Purchase | 16,825 | 88.4999 USD |
| Purchase | 22,996 | 88.7517 USD |
| Purchase | 28,818 | 88.4416 USD |
| Purchase | 37,667 | 88.9801 USD |
| Purchase | 40,029 | 88.5200 USD |
| Purchase | 45,000 | 88.8100 USD |
| Purchase | 57,871 | 88.9618 USD |
| Purchase | 58,130 | 88.9613 USD |
| Purchase | 61,072 | 88.6455 USD |
| Purchase | 67,314 | 88.9756 USD |
| Purchase | 72,453 | 88.9874 USD |
| Purchase | 91,168 | 88.9601 USD |
| Purchase | 101,997 | 88.9647 USD |
| Purchase | 115,204 | 88.8177 USD |
| Purchase | 117,505 | 89.0229 USD |
| Purchase | 127,598 | 88.9881 USD |
| Purchase | 143,392 | 88.9677 USD |
| Purchase | 214,284 | 89.0154 USD |
| Sale | 3 | 88.3700 USD |
| Sale | 36 | 88.5850 USD |
| Sale | 100 | 89.3800 USD |
| Sale | 100 | 89.3000 USD |
| Sale | 100 | 88.3600 USD |
| Sale | 107 | 88.7749 USD |
| Sale | 200 | 89.6200 USD |
| Sale | 200 | 88.7650 USD |
| Sale | 202 | 88.4927 USD |
| Sale | 205 | 89.5500 USD |
| Sale | 291 | 89.2300 USD |
| Sale | 300 | 89.0366 USD |
| Sale | 400 | 88.4425 USD |
| Sale | 418 | 89.4596 USD |
| Sale | 495 | 89.5116 USD |
| Sale | 547 | 89.1587 USD |
| Sale | 586 | 88.8797 USD |
| Sale | 604 | 88.6687 USD |
| Sale | 722 | 88.4856 USD |
| Sale | 900 | 89.0277 USD |
| Sale | 925 | 89.2606 USD |
| Sale | 1,000 | 88.9600 USD |
| Sale | 1,000 | 88.7835 USD |
| Sale | 1,027 | 88.4756 USD |
| Sale | 1,241 | 88.4413 USD |
| Sale | 1,302 | 89.3336 USD |
| Sale | 1,315 | 89.1104 USD |
| Sale | 1,386 | 89.4426 USD |
| Sale | 1,414 | 88.5417 USD |
| Sale | 1,600 | 88.8365 USD |
| Sale | 1,864 | 88.3598 USD |
| Sale | 1,900 | 88.8568 USD |
| Sale | 1,925 | 88.3726 USD |
| Sale | 2,243 | 88.9402 USD |
| Sale | 2,282 | 89.0684 USD |
| Sale | 2,613 | 89.2947 USD |
| Sale | 2,800 | 88.3900 USD |
| Sale | 2,800 | 89.0153 USD |
| Sale | 2,808 | 88.5029 USD |
| Sale | 2,900 | 89.0394 USD |
| Sale | 3,381 | 88.3722 USD |
| Sale | 3,648 | 89.2299 USD |
| Sale | 4,105 | 88.3494 USD |
| Sale | 4,264 | 89.2504 USD |
| Sale | 4,376 | 89.3505 USD |
| Sale | 4,600 | 89.0270 USD |
| Sale | 5,800 | 88.5760 USD |
| Sale | 6,142 | 88.9003 USD |
| Sale | 6,600 | 88.2200 USD |
| Sale | 6,900 | 88.5443 USD |
| Sale | 9,600 | 88.8157 USD |
| Sale | 10,300 | 88.6641 USD |
| Sale | 12,545 | 88.4854 USD |
| Sale | 13,964 | 88.8425 USD |
| Sale | 31,796 | 88.8127 USD |
| Sale | 51,129 | 88.5200 USD |
| Sale | 58,430 | 88.6446 USD |
| Sale | 95,741 | 88.6417 USD |
| Sale | 1,096,370 | 88.9868 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 | 100 | 88 USD | American | 17 Jan 2020 | 2.4000 USD |
| Call Option | Purchasing | 500 | 89 USD | American | 3 Jan 2020 | 1.0720 USD |
| Call Option | Purchasing | 100 | 89 USD | American | 3 Jan 2020 | 1.4700 USD |
| Call Option | Purchasing | 200 | 89 USD | American | 10 Jan 2020 | 1.1900 USD |
| Call Option | Purchasing | 800 | 89 USD | American | 17 Jan 2020 | 1.3300 USD |
| Call Option | Purchasing | 500 | 90 USD | American | 3 Jan 2020 | 0.4760 USD |
| Call Option | Purchasing | 100 | 90 USD | American | 3 Jan 2020 | 0.7100 USD |
| Call Option | Purchasing | 5,100 | 90 USD | American | 17 Jan 2020 | 0.9321 USD |
| Call Option | Purchasing | 400 | 91 USD | American | 3 Jan 2020 | 0.2200 USD |
| Call Option | Purchasing | 300 | 93 USD | American | 17 Jan 2020 | 0.2500 USD |
| Call Option | Selling | 1,000 | 75 USD | American | 17 Jan 2020 | 13.7720 USD |
| Call Option | Selling | 300 | 80 USD | American | 17 Jan 2020 | 8.8000 USD |
| Call Option | Selling | 100 | 91 USD | American | 3 Jan 2020 | 0.0700 USD |
| Call Option | Selling | 700 | 93 USD | American | 17 Jan 2020 | 0.3400 USD |
| Put Option | Purchasing | 400 | 85 USD | American | 21 Feb 2020 | 2.1800 USD |
| Put Option | Purchasing | 100,000 | 85 USD | American | 15 Jan 2021 | 9.4500 USD |
| Put Option | Purchasing | 100 | 88 USD | American | 3 Jan 2020 | 0.3900 USD |
| Put Option | Purchasing | 2,400 | 88 USD | American | 3 Jan 2020 | 0.4020 USD |
| Put Option | Purchasing | 300 | 89 USD | American | 3 Jan 2020 | 0.7700 USD |
| Put Option | Purchasing | 100 | 89 USD | American | 3 Jan 2020 | 1.0600 USD |
| Put Option | Purchasing | 200 | 89 USD | American | 10 Jan 2020 | 1.0600 USD |
| Put Option | Purchasing | 200 | 90 USD | American | 3 Jan 2020 | 1.4300 USD |
| Put Option | Purchasing | 100 | 91 USD | American | 3 Jan 2020 | 2.6800 USD |
| Put Option | Selling | 600 | 38 USD | American | 21 Jan 2022 | 1.0900 USD |
| Put Option | Selling | 100 | 55 USD | American | 17 Jan 2020 | 0.0100 USD |
| Put Option | Selling | 100 | 60 USD | American | 17 Jan 2020 | 0.0100 USD |
| Put Option | Selling | 300 | 75 USD | American | 17 Jan 2020 | 0.0900 USD |
| Put Option | Selling | 200 | 88 USD | American | 10 Jan 2020 | 0.8800 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: | 3 Jan 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 |
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 | |||||
| Call Options | Purchased | 200 | 94.0000 | American | Jan 3, 2020 |
| Put Options | Written | 363,000 | 65.0000 | American | Jan 17, 2020 |
| Put Options | Written | 9,500 | 88.0000 | American | Jan 31, 2020 |
| Call Options | Purchased | 400 | 94.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 700 | 50.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 72.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 100 | 67.5000 | American | Sep 18, 2020 |
| Put Options | Written | 4,200 | 77.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 600 | 75.0000 | American | May 15, 2020 |
| Put Options | Written | 101,800 | 60.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 200 | 50.0000 | American | Jan 21, 2022 |
| Put Options | Written | 13,300 | 75.0000 | American | Feb 21, 2020 |
| Put Options | Written | 3,900 | 37.5000 | American | Jan 21, 2022 |
| Put Options | Written | 9,200 | 85.5000 | American | Jan 31, 2020 |
| Call Options | Purchased | 1,000 | 72.5000 | American | Jan 15, 2021 |
| Put Options | Written | 1,000 | 82.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 3,300 | 87.5000 | American | May 15, 2020 |
| Call Options | Purchased | 4,000 | 72.5000 | American | Feb 21, 2020 |
| Put Options | Written | 1,900 | 70.0000 | American | May 15, 2020 |
| Put Options | Written | 11,500 | 82.5000 | American | Jan 17, 2020 |
| Put Options | Written | 2,900 | 75.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 200 | 55.0000 | American | Sep 18, 2020 |
| Put Options | Written | 11,300 | 87.5000 | American | Feb 21, 2020 |
| Put Options | Written | 1,100 | 85.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -1,000 | 130.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -2,100 | 89.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -3,900 | 57.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100 | 50.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -2,300 | 90.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -200 | 88.5000 | American | Jan 3, 2020 |
| Call Options | Written | -8,300 | 70.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -600 | 55.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -2,400 | 83.0000 | American | Jan 3, 2020 |
| Put Options | Purchased | -2,800 | 50.0000 | American | Jan 15, 2021 |
| Call Options | Written | -4,500 | 115.0000 | American | Jan 21, 2022 |
| Call Options | Written | -1,000 | 91.5000 | American | Jan 10, 2020 |
| Call Options | Written | -2,300 | 120.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -48,300 | 85.0000 | American | May 15, 2020 |
| Call Options | Written | -900 | 135.0000 | American | Jan 15, 2021 |
| Call Options | Written | -1,700 | 130.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -5,000 | 47.5000 | American | Jun 19, 2020 |
| Call Options | Written | -17,700 | 90.0000 | American | Jun 19, 2020 |
| Call Options | Written | -200 | 105.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -2,200 | 88.0000 | American | Jan 3, 2020 |
| Put Options | Purchased | -100 | 95.0000 | American | May 15, 2020 |
| Put Options | Purchased | -600 | 105.0000 | American | Jan 15, 2021 |
| Call Options | Written | -200 | 100.0000 | American | Jan 3, 2020 |
| Put Options | Purchased | -3,000 | 135.0000 | American | Jan 15, 2021 |
| Call Options | Written | -11,700 | 97.5000 | American | Jan 17, 2020 |
| Put Options | Written | 500 | 87.0000 | American | Jan 17, 2020 |
| Put Options | Written | 73,000 | 70.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 9,100 | 95.0000 | American | Sep 18, 2020 |
| Put Options | Written | 302,100 | 60.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,100 | 72.5000 | American | May 15, 2020 |
| Call Options | Purchased | 1,000 | 145.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 284,100 | 80.0000 | American | Jan 17, 2020 |
| Put Options | Written | 50,000 | 57.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 6,700 | 92.5000 | American | May 15, 2020 |
| Put Options | Written | 1,500 | 88.0000 | American | Jan 17, 2020 |
| Put Options | Written | 3,500 | 47.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 7,200 | 95.0000 | American | May 15, 2020 |
| Put Options | Written | 4,200 | 45.0000 | American | Jan 17, 2020 |
| Put Options | Written | 500 | 83.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,200 | 72.5000 | American | Jun 19, 2020 |
| Put Options | Written | 2,000 | 57.5000 | American | Jan 15, 2021 |
| Put Options | Written | 3,900 | 50.0000 | American | Jan 17, 2020 |
| Put Options | Written | 1,100 | 82.5000 | American | Sep 18, 2020 |
| Put Options | Written | 600 | 62.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,000 | 92.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 400 | 120.0000 | American | Sep 18, 2020 |
| Put Options | Written | 49,000 | 95.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 4,000 | 85.0000 | American | Feb 21, 2020 |
| Put Options | Written | 15,400 | 42.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 1,300 | 55.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 1,000 | 91.0000 | American | Jan 3, 2020 |
| Call Options | Purchased | 800 | 67.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -1,200 | 95.0000 | American | Feb 7, 2020 |
| Put Options | Purchased | -200 | 85.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,500 | 75.0000 | American | Sep 18, 2020 |
| Call Options | Written | -200 | 97.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -1,000 | 47.5000 | American | Jan 15, 2021 |
| Call Options | Written | -5,900 | 90.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -100 | 95.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -100 | 120.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -800 | 90.5000 | American | Jan 3, 2020 |
| Call Options | Written | -10,000 | 110.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -300 | 86.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -400 | 95.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -12,100 | 55.0000 | American | Jan 17, 2020 |
| Call Options | Written | -18,200 | 110.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -2,400 | 55.0000 | American | Jan 15, 2021 |
| Call Options | Written | -11,600 | 130.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 15,800 | 72.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 2,500 | 60.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 500 | 62.5000 | American | May 15, 2020 |
| Put Options | Written | 22,600 | 91.0000 | American | Jan 17, 2020 |
| Put Options | Written | 1,000 | 88.5000 | American | Jan 31, 2020 |
| Put Options | Written | 2,300 | 80.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 1,000 | 92.0000 | American | Jan 3, 2020 |
| Call Options | Purchased | 500 | 70.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 2,300 | 60.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 1,000 | 60.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 100 | 77.5000 | American | Jun 19, 2020 |
| Put Options | Written | 1,800 | 57.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 500 | 97.5000 | American | May 15, 2020 |
| Call Options | Purchased | 3,000 | 105.0000 | American | Jun 19, 2020 |
| Put Options | Written | 16,500 | 62.5000 | American | Jan 17, 2020 |
| Call Options | Written | -900 | 85.0000 | American | Sep 18, 2020 |
| Call Options | Written | -400 | 110.0000 | American | Jun 19, 2020 |
| Call Options | Written | -1,000 | 90.5000 | American | Jan 31, 2020 |
| Put Options | Purchased | -4,400 | 40.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -6,400 | 85.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -600 | 89.0000 | American | Jan 3, 2020 |
| Put Options | Purchased | -2,000 | 45.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,300 | 50.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -7,600 | 72.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -23,300 | 60.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -700 | 80.0000 | American | May 15, 2020 |
| Call Options | Written | -900 | 110.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -1,700 | 90.0000 | American | Sep 18, 2020 |
| Call Options | Written | -200 | 40.0000 | American | Jan 21, 2022 |
| Call Options | Written | -800 | 87.5000 | American | Jan 3, 2020 |
| Put Options | Purchased | -1,600 | 110.0000 | American | Jan 15, 2021 |
| Call Options | Written | -1,900 | 97.5000 | American | Jan 15, 2021 |
| Call Options | Written | -1,900 | 115.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -3,500 | 50.0000 | American | Jun 19, 2020 |
| Call Options | Written | -4,200 | 85.0000 | American | May 15, 2020 |
| Put Options | Purchased | -200 | 86.5000 | American | Jan 3, 2020 |
| Put Options | Purchased | -600 | 42.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,300 | 75.0000 | American | May 15, 2020 |
| Put Options | Purchased | -3,600 | 97.5000 | American | Feb 21, 2020 |
| Call Options | Written | -8,300 | 95.0000 | American | Jan 17, 2020 |
| Call Options | Written | -100 | 100.0000 | American | Jan 21, 2022 |
| Call Options | Written | -600 | 95.0000 | American | Feb 21, 2020 |
| Call Options | Written | -3,900 | 85.0000 | American | Jun 19, 2020 |
| Call Options | Written | -3,000 | 75.0000 | American | Jan 15, 2021 |
| Call Options | Written | -800 | 125.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -120,000 | 85.0000 | American | Feb 21, 2020 |
| Put Options | Written | 200 | 37.5000 | American | Jan 15, 2021 |
| Put Options | Written | 175,000 | 80.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 2,100 | 87.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 200 | 87.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 300 | 93.5000 | American | Jan 3, 2020 |
| Call Options | Purchased | 800 | 155.0000 | American | Jan 17, 2020 |
| Put Options | Written | 37,300 | 57.5000 | American | Jun 19, 2020 |
| Put Options | Written | 155,900 | 65.0000 | American | Jun 19, 2020 |
| Put Options | Written | 4,000 | 62.5000 | American | Feb 21, 2020 |
| Put Options | Written | 400 | 32.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 100 | 92.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 1,300 | 92.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,000 | 65.0000 | American | Sep 18, 2020 |
| Put Options | Written | 100 | 85.0000 | American | Jan 31, 2020 |
| Call Options | Purchased | 3,200 | 55.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 5,200 | 90.0000 | American | Sep 18, 2020 |
| Put Options | Written | 2,500 | 47.5000 | American | Jan 21, 2022 |
| Put Options | Written | 600 | 80.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 7,700 | 80.0000 | American | May 15, 2020 |
| Call Options | Purchased | 1,300 | 67.5000 | American | Jan 15, 2021 |
| Put Options | Written | 5,100 | 77.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,900 | 82.5000 | American | Feb 21, 2020 |
| Put Options | Written | 1,000 | 42.5000 | American | Jan 21, 2022 |
| Put Options | Written | 800 | 90.0000 | American | Jan 3, 2020 |
| Put Options | Written | 400 | 90.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 300 | 88.5000 | American | Jan 3, 2020 |
| Put Options | Purchased | -2,800 | 42.5000 | American | Jan 17, 2020 |
| Call Options | Written | -79,900 | 70.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,100 | 87.0000 | American | Jan 10, 2020 |
| Call Options | Written | -1,200 | 92.5000 | American | Jan 31, 2020 |
| Put Options | Purchased | -2,100 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Written | -5,200 | 85.0000 | American | Jan 15, 2021 |
| Call Options | Written | -8,000 | 100.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -500 | 86.0000 | American | Jan 3, 2020 |
| Call Options | Written | -400 | 67.5000 | American | Jun 19, 2020 |
| Call Options | Written | -600 | 89.5000 | American | Jan 24, 2020 |
| Call Options | Written | -1,200 | 77.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -1,200 | 72.5000 | American | Sep 18, 2020 |
| Call Options | Written | -8,000 | 75.0000 | American | Jan 17, 2020 |
| Call Options | Written | -51,100 | 92.5000 | American | Jan 15, 2021 |
| Call Options | Written | -200 | 70.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -200 | 87.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,500 | 105.0000 | American | Jun 19, 2020 |
| Call Options | Written | -4,200 | 93.5000 | American | Jan 31, 2020 |
| Call Options | Written | -6,800 | 105.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -5,000 | 42.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -300 | 87.5000 | American | Jan 3, 2020 |
| Call Options | Written | -100 | 45.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -100 | 100.0000 | American | Jan 21, 2022 |
| Call Options | Written | -11,900 | 92.5000 | American | Feb 21, 2020 |
| Call Options | Written | -4,600 | 115.0000 | American | Jan 17, 2020 |
| Call Options | Written | -11,800 | 90.0000 | American | Jan 31, 2020 |
| Call Options | Written | -2,100 | 97.5000 | American | Jun 19, 2020 |
| Call Options | Written | -200 | 110.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -100 | 67.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -200 | 88.5000 | American | Jan 10, 2020 |
| Put Options | Purchased | -2,900 | 90.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -2,200 | 40.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 7,400 | 87.5000 | American | Sep 18, 2020 |
| Put Options | Written | 4,800 | 86.0000 | American | Jan 24, 2020 |
| Call Options | Purchased | 24,900 | 90.0000 | American | Feb 21, 2020 |
| Put Options | Written | 400 | 82.5000 | American | Feb 21, 2020 |
| Put Options | Written | 100 | 67.5000 | American | May 15, 2020 |
| Call Options | Purchased | 1,400 | 65.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 11,500 | 75.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 500 | 82.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 100 | 62.5000 | American | Sep 18, 2020 |
| Put Options | Written | 1,900 | 55.0000 | American | Feb 21, 2020 |
| Put Options | Written | 3,400 | 67.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 200 | 110.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 300 | 91.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 200 | 65.0000 | American | May 15, 2020 |
| Put Options | Written | 100 | 77.5000 | American | Sep 18, 2020 |
| Put Options | Written | 17,100 | 85.0000 | American | Jan 24, 2020 |
| Call Options | Purchased | 11,700 | 70.0000 | American | Jan 17, 2020 |
| Put Options | Written | 100 | 65.0000 | American | May 15, 2020 |
| Put Options | Written | 28,300 | 62.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 600 | 77.5000 | American | Sep 18, 2020 |
| Put Options | Written | 12,100 | 70.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 8,400 | 90.0000 | American | May 15, 2020 |
| Put Options | Written | 8,300 | 86.5000 | American | Jan 24, 2020 |
| Call Options | Purchased | 300 | 93.0000 | American | Jan 3, 2020 |
| Put Options | Written | 100 | 83.5000 | American | Jan 31, 2020 |
| Call Options | Purchased | 1,100 | 60.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -700 | 42.5000 | American | Jan 15, 2021 |
| Call Options | Written | -4,600 | 91.0000 | American | Jan 31, 2020 |
| Put Options | Purchased | -4,800 | 55.0000 | American | May 15, 2020 |
| Put Options | Purchased | -700 | 95.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,300 | 115.0000 | American | Jun 19, 2020 |
| Call Options | Written | -2,200 | 130.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -300 | 60.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -2,600 | 72.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -3,800 | 75.0000 | American | Jan 17, 2020 |
| Call Options | Written | -1,300 | 92.5000 | American | Jun 19, 2020 |
| Call Options | Written | -100 | 90.5000 | American | Jan 10, 2020 |
| Put Options | Purchased | -900 | 60.0000 | American | Sep 18, 2020 |
| Call Options | Written | -2,700 | 125.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,500 | 115.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -300 | 97.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -400 | 100.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -400 | 130.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,500 | 82.5000 | American | May 15, 2020 |
| Call Options | Written | -2,500 | 185.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -4,700 | 35.0000 | American | Jan 15, 2021 |
| Call Options | Written | -100,300 | 120.0000 | American | Jan 17, 2020 |
| Call Options | Written | -100 | 37.5000 | American | Jan 21, 2022 |
| Put Options | Purchased | -1,800 | 100.0000 | American | Feb 21, 2020 |
| Call Options | Written | -3,300 | 145.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -400 | 94.5000 | American | Feb 7, 2020 |
| Put Options | Purchased | -26,000 | 92.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -400 | 92.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -700 | 80.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -70,000 | 67.5000 | American | Jan 15, 2021 |
| Put Options | Written | 29,600 | 70.0000 | American | Jun 19, 2020 |
| Put Options | Written | 1,500 | 62.5000 | American | May 15, 2020 |
| Put Options | Written | 100 | 57.5000 | American | Sep 18, 2020 |
| Put Options | Written | 8,900 | 80.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 100 | 125.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 8,400 | 90.0000 | American | Jan 3, 2020 |
| Put Options | Written | 1,100 | 75.0000 | American | Jan 15, 2021 |
| Put Options | Written | 400 | 50.0000 | American | Feb 21, 2020 |
| Put Options | Written | 300 | 35.0000 | American | Sep 18, 2020 |
| Put Options | Written | 1,400 | 55.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 100 | 90.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 70.0000 | American | May 15, 2020 |
| Put Options | Written | 90,000 | 50.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 23,000 | 67.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 4,900 | 75.0000 | American | Feb 21, 2020 |
| Put Options | Written | 600 | 87.5000 | American | May 15, 2020 |
| Call Options | Purchased | 23,800 | 80.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -700 | 92.5000 | American | Jun 19, 2020 |
| Call Options | Written | -18,100 | 95.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -1,900 | 40.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,000 | 150.0000 | American | Jan 17, 2020 |
| Call Options | Written | -2,200 | 62.5000 | American | Feb 21, 2020 |
| Call Options | Written | -53,800 | 82.5000 | American | Jan 17, 2020 |
| Call Options | Written | -2,100 | 115.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -300 | 88.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -4,400 | 70.0000 | American | Jan 17, 2020 |
| Call Options | Written | -100 | 180.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -500 | 86.0000 | American | Jan 17, 2020 |
| Call Options | Written | -200 | 62.5000 | American | Jun 19, 2020 |
| Call Options | Written | -4,700 | 120.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -9,400 | 72.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -300 | 60.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -2,200 | 87.5000 | American | Jan 17, 2020 |
| Put Options | Written | 500 | 45.0000 | American | Jan 21, 2022 |
| Put Options | Written | 19,100 | 85.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 200 | 55.0000 | American | Jan 21, 2022 |
| Put Options | Written | 100 | 65.0000 | American | Sep 18, 2020 |
| Put Options | Written | 5,800 | 105.0000 | American | Jan 17, 2020 |
| Put Options | Written | 275,000 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 3,600 | 100.0000 | American | Feb 21, 2020 |
| Put Options | Written | 1,000 | 77.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 100 | 94.0000 | American | Jan 17, 2020 |
| Put Options | Written | 3,500 | 87.5000 | American | Jun 19, 2020 |
| Put Options | Written | 500 | 45.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 2,300 | 47.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 2,200 | 105.0000 | American | May 15, 2020 |
| Put Options | Written | 300 | 65.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 800 | 89.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 500 | 91.5000 | American | Jan 3, 2020 |
| Put Options | Written | 5,000 | 67.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 4,200 | 80.0000 | American | Jun 19, 2020 |
| Put Options | Written | 14,500 | 67.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 400 | 57.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 11,400 | 90.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,300 | 105.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,200 | 57.5000 | American | Jun 19, 2020 |
| Call Options | Written | -100 | 87.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -1,000 | 115.0000 | American | Jan 21, 2022 |
| Call Options | Written | -10,800 | 87.5000 | American | Jan 17, 2020 |
| Call Options | Written | -1,100 | 62.5000 | American | Jan 17, 2020 |
| Call Options | Written | -6,700 | 105.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -15,400 | 95.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -200 | 89.5000 | American | Jan 3, 2020 |
| Put Options | Purchased | -3,100 | 81.5000 | American | Jan 3, 2020 |
| Call Options | Written | -400 | 82.5000 | American | May 15, 2020 |
| Call Options | Written | -10,800 | 85.0000 | American | Jan 17, 2020 |
| Call Options | Written | -4,000 | 100.0000 | American | Jun 19, 2020 |
| Call Options | Written | -500 | 89.0000 | American | Jan 3, 2020 |
| Call Options | Written | -800 | 65.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100 | 75.0000 | American | Jan 21, 2022 |
| Call Options | Written | -300 | 88.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -900 | 40.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -1,900 | 91.0000 | American | Jan 3, 2020 |
| Call Options | Written | -67,400 | 100.0000 | American | Jan 17, 2020 |
| Put Options | Written | 1,100 | 67.5000 | American | Jan 15, 2021 |
| Put Options | Written | 400 | 85.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,700 | 57.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 8,000 | 77.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 100 | 85.0000 | American | Jan 21, 2022 |
| Put Options | Written | 600 | 72.5000 | American | May 15, 2020 |
| Call Options | Purchased | 300 | 89.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 1,300 | 80.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 400 | 82.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 500 | 90.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 1,300 | 65.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 7,300 | 77.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 4,700 | 100.0000 | American | May 15, 2020 |
| Put Options | Written | 1,100 | 45.0000 | American | Jun 19, 2020 |
| Put Options | Written | 17,000 | 65.0000 | American | Feb 21, 2020 |
| Put Options | Written | 16,200 | 80.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 100 | 92.0000 | American | Jan 17, 2020 |
| Call Options | Written | -500 | 87.5000 | American | Jan 21, 2022 |
| Put Options | Purchased | -9,700 | 100.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100,000 | 85.0000 | American | Jan 15, 2021 |
| Call Options | Written | -400 | 86.0000 | American | Jan 24, 2020 |
| Call Options | Written | -1,500 | 110.0000 | American | May 15, 2020 |
| Call Options | Written | -5,700 | 95.0000 | American | Jan 15, 2021 |
| Call Options | Written | -4,700 | 100.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -11,800 | 90.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -4,700 | 72.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -500 | 47.5000 | American | Sep 18, 2020 |
| Call Options | Written | -1,000 | 87.5000 | American | Jan 15, 2021 |
| Call Options | Written | -1,500 | 140.0000 | American | Jan 15, 2021 |
| Call Options | Written | -1,700 | 80.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,200 | 82.5000 | American | Jan 15, 2021 |
| Call Options | Written | -4,200 | 92.5000 | American | Jan 17, 2020 |
| Call Options | Written | -3,100 | 135.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100 | 90.5000 | American | Jan 10, 2020 |
| Put Options | Purchased | -5,200 | 77.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -13,300 | 86.5000 | American | Jan 10, 2020 |
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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