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Barclays PLC M&A Activity 2020
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M&A Activity
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Form 8.3 - Abbvie Plc
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 | 07 January 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 | ||||
| 3,001,378 | 0.20% | 4,193,789 | 0.28% | ||
| (2) | Derivatives (other than options): | ||||
| 1,990,317 | 0.13% | 474,700 | 0.03% | ||
| (3) | Options and agreements to | ||||
| purchase/sell: | 2,635,600 | 0.18% | 1,291,200 | 0.09% | |
| TOTAL: | |||||
| 7,627,295 | 0.52% | 5,959,689 | 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 | 14 | 88.9000 USD |
| Purchase | 25 | 88.4300 USD |
| Purchase | 25 | 88.5400 USD |
| Purchase | 52 | 88.5600 USD |
| Purchase | 55 | 88.4800 USD |
| Purchase | 100 | 89.1600 USD |
| Purchase | 100 | 88.9900 USD |
| Purchase | 100 | 88.6000 USD |
| Purchase | 100 | 88.6500 USD |
| Purchase | 100 | 88.5700 USD |
| Purchase | 145 | 88.8700 USD |
| Purchase | 186 | 88.9093 USD |
| Purchase | 200 | 88.8100 USD |
| Purchase | 200 | 88.6225 USD |
| Purchase | 200 | 88.8950 USD |
| Purchase | 200 | 88.6250 USD |
| Purchase | 200 | 88.4200 USD |
| Purchase | 200 | 88.7650 USD |
| Purchase | 227 | 88.6926 USD |
| Purchase | 254 | 88.6278 USD |
| Purchase | 282 | 88.3974 USD |
| Purchase | 300 | 88.3383 USD |
| Purchase | 300 | 88.7666 USD |
| Purchase | 318 | 88.6322 USD |
| Purchase | 319 | 88.6200 USD |
| Purchase | 400 | 88.6375 USD |
| Purchase | 400 | 88.6400 USD |
| Purchase | 404 | 88.9775 USD |
| Purchase | 498 | 88.9250 USD |
| Purchase | 500 | 88.3690 USD |
| Purchase | 576 | 88.6483 USD |
| Purchase | 600 | 88.3891 USD |
| Purchase | 609 | 88.6268 USD |
| Purchase | 700 | 89.1800 USD |
| Purchase | 745 | 88.6854 USD |
| Purchase | 1,093 | 88.5941 USD |
| Purchase | 1,100 | 88.6709 USD |
| Purchase | 1,369 | 88.9113 USD |
| Purchase | 1,800 | 88.5438 USD |
| Purchase | 1,838 | 88.8053 USD |
| Purchase | 1,900 | 88.6476 USD |
| Purchase | 2,100 | 88.7095 USD |
| Purchase | 2,308 | 88.7057 USD |
| Purchase | 2,435 | 88.9521 USD |
| Purchase | 2,700 | 88.9525 USD |
| Purchase | 2,900 | 88.8300 USD |
| Purchase | 3,346 | 88.7382 USD |
| Purchase | 3,733 | 88.8419 USD |
| Purchase | 4,000 | 88.8367 USD |
| Purchase | 4,200 | 88.6756 USD |
| Purchase | 4,564 | 88.8157 USD |
| Purchase | 4,600 | 88.7256 USD |
| Purchase | 4,717 | 88.8060 USD |
| Purchase | 5,600 | 88.9500 USD |
| Purchase | 6,063 | 88.8016 USD |
| Purchase | 7,701 | 89.0499 USD |
| Purchase | 11,243 | 88.7447 USD |
| Purchase | 11,381 | 88.6942 USD |
| Purchase | 11,600 | 88.8182 USD |
| Purchase | 13,075 | 88.6979 USD |
| Purchase | 17,889 | 88.7520 USD |
| Purchase | 19,100 | 88.6538 USD |
| Purchase | 20,115 | 88.6554 USD |
| Purchase | 20,409 | 88.8900 USD |
| Purchase | 25,414 | 88.9603 USD |
| Purchase | 27,089 | 88.9690 USD |
| Purchase | 29,500 | 88.7080 USD |
| Purchase | 33,774 | 88.7122 USD |
| Purchase | 38,509 | 88.6911 USD |
| Purchase | 92,153 | 88.7444 USD |
| Purchase | 132,272 | 88.8405 USD |
| Sale | 39 | 89.1900 USD |
| Sale | 52 | 88.5600 USD |
| Sale | 90 | 89.0500 USD |
| Sale | 100 | 88.5500 USD |
| Sale | 100 | 88.7300 USD |
| Sale | 100 | 88.7500 USD |
| Sale | 100 | 88.9000 USD |
| Sale | 100 | 88.9800 USD |
| Sale | 100 | 89.0700 USD |
| Sale | 100 | 89.1700 USD |
| Sale | 100 | 89.5000 USD |
| Sale | 128 | 88.8620 USD |
| Sale | 134 | 88.8749 USD |
| Sale | 145 | 88.8700 USD |
| Sale | 170 | 89.1147 USD |
| Sale | 200 | 89.0550 USD |
| Sale | 200 | 89.1100 USD |
| Sale | 200 | 89.0400 USD |
| Sale | 200 | 89.0150 USD |
| Sale | 200 | 88.9250 USD |
| Sale | 200 | 88.8250 USD |
| Sale | 204 | 88.9750 USD |
| Sale | 205 | 88.5946 USD |
| Sale | 300 | 89.0433 USD |
| Sale | 300 | 88.9400 USD |
| Sale | 300 | 89.0200 USD |
| Sale | 330 | 88.8504 USD |
| Sale | 400 | 88.6287 USD |
| Sale | 400 | 88.9500 USD |
| Sale | 413 | 88.7100 USD |
| Sale | 460 | 88.5000 USD |
| Sale | 472 | 88.9377 USD |
| Sale | 577 | 89.3244 USD |
| Sale | 600 | 88.9933 USD |
| Sale | 645 | 88.9039 USD |
| Sale | 731 | 88.8270 USD |
| Sale | 735 | 89.0396 USD |
| Sale | 800 | 89.0437 USD |
| Sale | 864 | 88.9825 USD |
| Sale | 1,000 | 88.9990 USD |
| Sale | 1,000 | 89.0390 USD |
| Sale | 1,305 | 88.7618 USD |
| Sale | 1,320 | 88.4029 USD |
| Sale | 1,382 | 88.8871 USD |
| Sale | 1,400 | 88.9307 USD |
| Sale | 1,400 | 89.0367 USD |
| Sale | 1,472 | 88.6278 USD |
| Sale | 1,649 | 88.8967 USD |
| Sale | 1,685 | 88.7401 USD |
| Sale | 1,800 | 88.6763 USD |
| Sale | 1,800 | 88.5438 USD |
| Sale | 1,887 | 88.7992 USD |
| Sale | 1,900 | 88.7400 USD |
| Sale | 2,000 | 88.6268 USD |
| Sale | 2,000 | 88.3832 USD |
| Sale | 2,080 | 88.8153 USD |
| Sale | 2,100 | 88.7442 USD |
| Sale | 2,325 | 88.6296 USD |
| Sale | 2,429 | 88.6648 USD |
| Sale | 2,537 | 88.6849 USD |
| Sale | 2,800 | 88.9539 USD |
| Sale | 2,806 | 89.0691 USD |
| Sale | 2,900 | 88.8300 USD |
| Sale | 2,971 | 88.5860 USD |
| Sale | 3,000 | 88.7371 USD |
| Sale | 3,057 | 88.6198 USD |
| Sale | 3,090 | 88.9416 USD |
| Sale | 3,355 | 89.0379 USD |
| Sale | 4,560 | 88.7322 USD |
| Sale | 5,015 | 88.8468 USD |
| Sale | 5,504 | 88.7396 USD |
| Sale | 5,700 | 88.9459 USD |
| Sale | 5,800 | 88.6593 USD |
| Sale | 6,149 | 88.7208 USD |
| Sale | 7,049 | 88.6748 USD |
| Sale | 7,132 | 88.6305 USD |
| Sale | 7,704 | 88.7427 USD |
| Sale | 7,770 | 88.8783 USD |
| Sale | 7,948 | 88.7376 USD |
| Sale | 9,323 | 88.6453 USD |
| Sale | 10,720 | 88.6510 USD |
| Sale | 12,800 | 88.7777 USD |
| Sale | 13,600 | 88.6119 USD |
| Sale | 14,270 | 89.0981 USD |
| Sale | 14,700 | 88.7030 USD |
| Sale | 19,673 | 88.6747 USD |
| Sale | 20,000 | 88.7366 USD |
| Sale | 20,853 | 88.8900 USD |
| Sale | 25,414 | 88.9603 USD |
| Sale | 27,089 | 88.9690 USD |
| Sale | 27,691 | 88.7716 USD |
| Sale | 37,325 | 88.8575 USD |
| Sale | 41,977 | 88.8466 USD |
| Sale | 56,522 | 88.7289 USD |
| Sale | 88,722 | 88.7257 USD |
(b) Derivatives transactions (other than options transactions)
| Product Name | Nature of transaction | Number of relevant securities | Price per |
| unit | |||
| SWAP | Long | 17,320 | 88.7157 USD |
| SWAP | Long | 17,320 | 88.6010 USD |
(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 | 80 USD | American | 15 May 2020 | 9.8200 USD |
| Call Option | Purchasing | 1,000 | 88 USD | American | 17 Jan 2020 | 1.7800 USD |
| Call Option | Purchasing | 1,000 | 88 USD | American | 17 Jan 2020 | 2.1000 USD |
| Call Option | Purchasing | 100 | 89 USD | American | 10 Jan 2020 | 0.7400 USD |
| Call Option | Purchasing | 100 | 90 USD | American | 10 Jan 2020 | 0.3800 USD |
| Call Option | Purchasing | 500 | 93 USD | American | 21 Feb 2020 | 1.3500 USD |
| Call Option | Purchasing | 100 | 95 USD | American | 21 Feb 2020 | 0.7200 USD |
| Call Option | Purchasing | 1,000 | 95 USD | American | 15 May 2020 | 2.0200 USD |
| Call Option | Purchasing | 100 | 100 USD | American | 19 Jun 2020 | 1.3900 USD |
| Call Option | Selling | 100 | 70 USD | American | 17 Jan 2020 | 18.7500 USD |
| Call Option | Selling | 400 | 88 USD | American | 24 Jan 2020 | 2.5100 USD |
| Call Option | Selling | 500 | 89 USD | American | 10 Jan 2020 | 1.3100 USD |
| Call Option | Selling | 100 | 89 USD | American | 17 Jan 2020 | 1.3100 USD |
| Call Option | Selling | 1,300 | 90 USD | American | 17 Jan 2020 | 0.5515 USD |
| Call Option | Selling | 100 | 91 USD | American | 31 Jan 2020 | 1.1400 USD |
| Call Option | Selling | 100 | 98 USD | American | 21 Feb 2020 | 0.3800 USD |
| Put Option | Purchasing | 600 | 83 USD | American | 17 Jan 2020 | 0.2800 USD |
| Put Option | Purchasing | 100 | 86 USD | American | 10 Jan 2020 | 0.1700 USD |
| Put Option | Purchasing | 100 | 86 USD | American | 17 Jan 2020 | 0.8300 USD |
| Put Option | Purchasing | 100 | 87 USD | American | 10 Jan 2020 | 0.3100 USD |
| Put Option | Purchasing | 2,100 | 88 USD | American | 17 Jan 2020 | 1.3357 USD |
| Put Option | Purchasing | 500 | 89 USD | American | 10 Jan 2020 | 0.6200 USD |
| Put Option | Purchasing | 1,500 | 89 USD | American | 10 Jan 2020 | 0.6300 USD |
| Put Option | Selling | 100 | 78 USD | American | 15 May 2020 | 1.8200 USD |
| Put Option | Selling | 100 | 85 USD | American | 17 Jan 2020 | 0.5800 USD |
| Put Option | Selling | 500 | 88 USD | American | 15 Jan 2021 | 10.7000 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: | 8 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 |
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 | 101,800 | 60.0000 | American | Jun 19, 2020 |
| Put Options | Written | 13,300 | 75.0000 | American | Feb 21, 2020 |
| Put Options | Written | 363,000 | 65.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 400 | 94.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 100 | 72.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 3,300 | 87.5000 | American | May 15, 2020 |
| Put Options | Written | 1,100 | 85.0000 | American | Jun 19, 2020 |
| Put Options | Written | 11,300 | 87.5000 | American | Feb 21, 2020 |
| Put Options | Written | 9,500 | 88.0000 | American | Jan 31, 2020 |
| Put Options | Written | 1,900 | 70.0000 | American | May 15, 2020 |
| Call Options | Purchased | 1,000 | 72.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 700 | 50.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 200 | 50.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 600 | 75.0000 | American | May 15, 2020 |
| Call Options | Purchased | 200 | 55.0000 | American | Sep 18, 2020 |
| Put Options | Written | 9,200 | 85.5000 | American | Jan 31, 2020 |
| Put Options | Written | 1,000 | 82.5000 | American | Jan 15, 2021 |
| Put Options | Written | 2,900 | 75.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 100 | 67.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 4,000 | 72.5000 | American | Feb 21, 2020 |
| Put Options | Written | 4,000 | 37.5000 | American | Jan 21, 2022 |
| Put Options | Written | 4,500 | 77.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 2,900 | 89.5000 | American | Jan 10, 2020 |
| Put Options | Written | 11,400 | 82.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100 | 50.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -2,500 | 89.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100 | 95.0000 | American | May 15, 2020 |
| Put Options | Purchased | -1,000 | 130.0000 | American | Jan 15, 2021 |
| Call Options | Written | -17,700 | 90.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -48,100 | 85.0000 | American | May 15, 2020 |
| Call Options | Written | -900 | 135.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -3,000 | 135.0000 | American | Jan 15, 2021 |
| Call Options | Written | -8,300 | 70.0000 | American | Feb 21, 2020 |
| Call Options | Written | -11,700 | 97.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -2,800 | 50.0000 | American | Jan 15, 2021 |
| Call Options | Written | -4,500 | 115.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -5,000 | 47.5000 | American | Jun 19, 2020 |
| Call Options | Written | -2,200 | 93.0000 | American | Jan 31, 2020 |
| Call Options | Written | -2,300 | 120.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -3,900 | 57.5000 | American | Jan 17, 2020 |
| Call Options | Written | -800 | 91.5000 | American | Jan 10, 2020 |
| Put Options | Purchased | -600 | 105.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -2,300 | 90.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -2,000 | 86.5000 | American | Jan 17, 2020 |
| Call Options | Written | -200 | 105.0000 | American | Feb 21, 2020 |
| Call Options | Written | -1,700 | 130.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -600 | 55.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 283,900 | 80.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,000 | 92.5000 | American | Feb 21, 2020 |
| Put Options | Written | 73,000 | 70.0000 | American | Jan 17, 2020 |
| Put Options | Written | 600 | 62.5000 | American | Sep 18, 2020 |
| Put Options | Written | 3,500 | 47.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,100 | 72.5000 | American | May 15, 2020 |
| Put Options | Written | 50,000 | 57.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 300 | 90.5000 | American | Jan 10, 2020 |
| Call Options | Purchased | 8,200 | 95.0000 | American | May 15, 2020 |
| Put Options | Written | 4,200 | 45.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,300 | 55.0000 | American | Jun 19, 2020 |
| Put Options | Written | 15,400 | 42.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 4,200 | 85.0000 | American | Feb 21, 2020 |
| Put Options | Written | 2,000 | 57.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,000 | 88.0000 | American | Jan 17, 2020 |
| Put Options | Written | 302,100 | 60.0000 | American | Jan 15, 2021 |
| Put Options | Written | 1,400 | 88.0000 | American | Jan 17, 2020 |
| Put Options | Written | 1,100 | 82.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 9,100 | 95.0000 | American | Sep 18, 2020 |
| Put Options | Written | 3,900 | 50.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 6,700 | 92.5000 | American | May 15, 2020 |
| Call Options | Purchased | 800 | 67.5000 | American | Feb 21, 2020 |
| Put Options | Written | 49,000 | 95.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,000 | 145.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 1,300 | 72.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 400 | 120.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -100 | 95.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -2,400 | 55.0000 | American | Jan 15, 2021 |
| Call Options | Written | -11,600 | 130.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -600 | 87.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,500 | 75.0000 | American | Sep 18, 2020 |
| Call Options | Written | -10,000 | 110.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -400 | 95.0000 | American | Sep 18, 2020 |
| Call Options | Written | -300 | 95.0000 | American | Jan 31, 2020 |
| Put Options | Purchased | -400 | 86.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -200 | 83.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,000 | 47.5000 | American | Jan 15, 2021 |
| Call Options | Written | -400 | 88.0000 | American | Jan 24, 2020 |
| Put Options | Purchased | -12,100 | 55.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,600 | 89.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -100 | 82.0000 | American | Jan 17, 2020 |
| Call Options | Written | -200 | 91.5000 | American | Jan 31, 2020 |
| Call Options | Written | -5,500 | 90.0000 | American | Jan 10, 2020 |
| Call Options | Written | -18,200 | 110.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -100 | 85.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -100 | 120.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,200 | 95.0000 | American | Feb 7, 2020 |
| Call Options | Written | -300 | 97.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 16,000 | 72.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 500 | 97.5000 | American | May 15, 2020 |
| Call Options | Purchased | 100 | 77.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 2,300 | 60.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 800 | 91.0000 | American | Jan 17, 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 | 1,800 | 57.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 500 | 70.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 2,500 | 60.0000 | American | Feb 21, 2020 |
| Put Options | Written | 2,300 | 80.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 3,000 | 105.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 500 | 62.5000 | American | May 15, 2020 |
| Put Options | Written | 16,500 | 62.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,000 | 60.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,600 | 110.0000 | American | Jan 15, 2021 |
| Call Options | Written | -400 | 110.0000 | American | Jun 19, 2020 |
| Call Options | Written | -4,200 | 85.0000 | American | May 15, 2020 |
| Call Options | Written | -1,900 | 115.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -2,000 | 45.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -7,600 | 72.5000 | American | Feb 21, 2020 |
| Call Options | Written | -200 | 40.0000 | American | Jan 21, 2022 |
| Call Options | Written | -3,900 | 85.0000 | American | Jun 19, 2020 |
| Call Options | Written | -900 | 85.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -3,500 | 50.0000 | American | Jun 19, 2020 |
| Call Options | Written | -1,900 | 97.5000 | American | Jan 15, 2021 |
| Call Options | Written | -13,400 | 95.0000 | American | Jan 17, 2020 |
| Call Options | Written | -800 | 125.0000 | American | Jan 17, 2020 |
| Call Options | Written | -900 | 110.0000 | American | Feb 21, 2020 |
| Call Options | Written | -1,000 | 90.5000 | American | Jan 31, 2020 |
| Call Options | Written | -100 | 100.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -1,300 | 75.0000 | American | May 15, 2020 |
| Put Options | Purchased | -6,300 | 85.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,700 | 90.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -120,000 | 85.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -600 | 42.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -700 | 80.0000 | American | May 15, 2020 |
| Put Options | Purchased | -3,600 | 97.5000 | American | Feb 21, 2020 |
| Call Options | Written | -100 | 95.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -200 | 85.5000 | American | Jan 10, 2020 |
| Put Options | Purchased | -23,300 | 60.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,300 | 50.0000 | American | Sep 18, 2020 |
| Call Options | Written | -3,000 | 75.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -4,400 | 40.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 1,900 | 82.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 1,300 | 92.5000 | American | Sep 18, 2020 |
| Put Options | Written | 175,000 | 80.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 5,700 | 90.0000 | American | Sep 18, 2020 |
| Put Options | Written | 156,100 | 65.0000 | American | Jun 19, 2020 |
| Put Options | Written | 1,000 | 42.5000 | American | Jan 21, 2022 |
| Call Options | Purchased | 1,000 | 65.0000 | American | Sep 18, 2020 |
| Put Options | Written | 400 | 32.5000 | American | Sep 18, 2020 |
| Put Options | Written | 2,500 | 47.5000 | American | Jan 21, 2022 |
| Call Options | Purchased | 100 | 92.0000 | American | Jan 10, 2020 |
| Call Options | Purchased | 7,800 | 80.0000 | American | May 15, 2020 |
| Call Options | Purchased | 1,300 | 67.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 800 | 155.0000 | American | Jan 17, 2020 |
| Put Options | Written | 200 | 37.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 90.0000 | American | Aug 21, 2020 |
| Put Options | Written | 4,000 | 62.5000 | American | Feb 21, 2020 |
| Put Options | Written | 400 | 90.0000 | American | Jun 19, 2020 |
| Put Options | Written | 400 | 84.0000 | American | Jan 10, 2020 |
| Put Options | Written | 37,300 | 57.5000 | American | Jun 19, 2020 |
| Put Options | Written | 5,100 | 77.5000 | American | Jan 15, 2021 |
| Put Options | Written | 300 | 85.0000 | American | May 15, 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 | 2,500 | 87.5000 | American | Feb 21, 2020 |
| Put Options | Written | 600 | 80.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -1,500 | 105.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -1,600 | 88.5000 | American | Jan 10, 2020 |
| Put Options | Purchased | -2,000 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Written | -10,900 | 92.5000 | American | Feb 21, 2020 |
| Call Options | Written | -79,900 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Written | -100 | 45.0000 | American | Jan 21, 2022 |
| Call Options | Written | -1,200 | 77.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -100 | 85.5000 | American | Jan 17, 2020 |
| Call Options | Written | -200 | 110.0000 | American | Sep 18, 2020 |
| Call Options | Written | -400 | 67.5000 | American | Jun 19, 2020 |
| Call Options | Written | -51,100 | 92.5000 | American | Jan 15, 2021 |
| Call Options | Written | -5,200 | 85.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -100 | 67.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -200 | 87.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,300 | 87.0000 | American | Jan 10, 2020 |
| Call Options | Written | -600 | 89.5000 | American | Jan 24, 2020 |
| Call Options | Written | -8,200 | 75.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -2,200 | 40.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -2,800 | 87.5000 | American | Jan 10, 2020 |
| Put Options | Purchased | -9,100 | 87.5000 | American | May 15, 2020 |
| Put Options | Purchased | -1,200 | 72.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -2,800 | 42.5000 | American | Jan 17, 2020 |
| Call Options | Written | -8,000 | 100.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -200 | 92.5000 | American | Sep 18, 2020 |
| Call Options | Written | -2,100 | 97.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -3,000 | 90.0000 | American | Feb 21, 2020 |
| Call Options | Written | -11,800 | 90.0000 | American | Jan 31, 2020 |
| Put Options | Purchased | -100 | 100.0000 | American | Jan 21, 2022 |
| Call Options | Written | -6,800 | 105.0000 | American | Jan 17, 2020 |
| Call Options | Written | -1,200 | 92.5000 | American | Jan 31, 2020 |
| Call Options | Written | -4,200 | 93.5000 | American | Jan 31, 2020 |
| Call Options | Written | -4,600 | 115.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -5,000 | 42.5000 | American | Jun 19, 2020 |
| Call Options | Written | -200 | 70.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 7,400 | 87.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 13,800 | 75.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,100 | 60.0000 | American | Jan 15, 2021 |
| Put Options | Written | 100 | 83.5000 | American | Jan 31, 2020 |
| Put Options | Written | 17,100 | 85.0000 | American | Jan 24, 2020 |
| Put Options | Written | 100 | 77.5000 | American | Sep 18, 2020 |
| Put Options | Written | 100 | 82.5000 | American | Feb 21, 2020 |
| Put Options | Written | 12,100 | 70.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 30,600 | 90.0000 | American | Feb 21, 2020 |
| Put Options | Written | 28,300 | 62.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 200 | 65.0000 | American | May 15, 2020 |
| Put Options | Written | 100 | 67.5000 | American | May 15, 2020 |
| Call Options | Purchased | 11,300 | 70.0000 | American | Jan 17, 2020 |
| Put Options | Written | 8,300 | 86.5000 | American | Jan 24, 2020 |
| Call Options | Purchased | 500 | 82.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 8,400 | 90.0000 | American | May 15, 2020 |
| Put Options | Written | 100 | 77.5000 | American | May 15, 2020 |
| Put Options | Written | 4,800 | 86.0000 | American | Jan 24, 2020 |
| Call Options | Purchased | 100 | 62.5000 | American | Sep 18, 2020 |
| Put Options | Written | 3,400 | 67.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 3,100 | 91.0000 | American | Jan 10, 2020 |
| Put Options | Written | 1,900 | 55.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 1,400 | 65.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 200 | 110.0000 | American | Jan 21, 2022 |
| Put Options | Written | 100 | 65.0000 | American | May 15, 2020 |
| Call Options | Purchased | 600 | 77.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -700 | 95.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -700 | 42.5000 | American | Jan 15, 2021 |
| Call Options | Written | -2,700 | 125.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -400 | 130.0000 | American | Jan 17, 2020 |
| Call Options | Written | -2,200 | 130.0000 | American | Jun 19, 2020 |
| Call Options | Written | -3,300 | 145.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -400 | 100.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,500 | 185.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -4,700 | 35.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -400 | 92.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -26,000 | 92.5000 | American | Jan 17, 2020 |
| Call Options | Written | -6,400 | 91.0000 | American | Jan 31, 2020 |
| Put Options | Purchased | -400 | 94.5000 | American | Feb 7, 2020 |
| Put Options | Purchased | -700 | 80.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,300 | 115.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -4,800 | 55.0000 | American | May 15, 2020 |
| Call Options | Written | -1,200 | 92.5000 | American | Jun 19, 2020 |
| Call Options | Written | -100,300 | 120.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -2,600 | 72.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -70,000 | 67.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -300 | 60.0000 | American | Feb 21, 2020 |
| Call Options | Written | -2,500 | 115.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -900 | 60.0000 | American | Sep 18, 2020 |
| Call Options | Written | -100 | 37.5000 | American | Jan 21, 2022 |
| Put Options | Purchased | -3,700 | 75.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -300 | 97.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,500 | 82.5000 | American | May 15, 2020 |
| Put Options | Purchased | -1,800 | 100.0000 | American | Feb 21, 2020 |
| Put Options | Written | 1,500 | 62.5000 | American | May 15, 2020 |
| Put Options | Written | 30,000 | 70.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 100 | 90.0000 | American | Jan 15, 2021 |
| Put Options | Written | 90,000 | 50.0000 | American | Jun 19, 2020 |
| Put Options | Written | 1,100 | 75.0000 | American | Jan 15, 2021 |
| Put Options | Written | 500 | 87.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 70.0000 | American | May 15, 2020 |
| Call Options | Purchased | 25,200 | 80.0000 | American | Feb 21, 2020 |
| Put Options | Written | 100 | 57.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 4,900 | 75.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 100 | 125.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 23,000 | 67.5000 | American | Jan 17, 2020 |
| Put Options | Written | 1,400 | 55.0000 | American | Jun 19, 2020 |
| Put Options | Written | 300 | 35.0000 | American | Sep 18, 2020 |
| Put Options | Written | 8,900 | 80.0000 | American | Jan 17, 2020 |
| Put Options | Written | 400 | 50.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -300 | 60.0000 | American | Jan 21, 2022 |
| Call Options | Written | -2,000 | 150.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -600 | 86.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -6,200 | 87.5000 | American | Jan 17, 2020 |
| Call Options | Written | -53,800 | 82.5000 | American | Jan 17, 2020 |
| Call Options | Written | -100 | 180.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -700 | 92.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -4,400 | 70.0000 | American | Jan 17, 2020 |
| Call Options | Written | -200 | 62.5000 | American | Jun 19, 2020 |
| Call Options | Written | -2,100 | 115.0000 | American | Jan 15, 2021 |
| Call Options | Written | -4,700 | 120.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -1,900 | 40.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,200 | 62.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -400 | 92.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -9,400 | 72.5000 | American | Jan 15, 2021 |
| Call Options | Written | -18,000 | 95.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -500 | 88.0000 | American | Jan 10, 2020 |
| Call Options | Written | -1,000 | 88.5000 | American | Jan 10, 2020 |
| Put Options | Written | 3,500 | 87.5000 | American | Jun 19, 2020 |
| Put Options | Written | 1,000 | 77.5000 | American | Jun 19, 2020 |
| Put Options | Written | 300 | 65.0000 | American | Jan 15, 2021 |
| Put Options | Written | 275,000 | 70.0000 | American | Jan 15, 2021 |
| Put Options | Written | 5,000 | 67.5000 | American | Feb 21, 2020 |
| Put Options | Written | 100 | 65.0000 | American | Sep 18, 2020 |
| Put Options | Written | 19,000 | 85.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 1,300 | 105.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 11,700 | 90.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 200 | 55.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 2,200 | 105.0000 | American | May 15, 2020 |
| Call Options | Purchased | 15,300 | 89.0000 | American | Jan 17, 2020 |
| Put Options | Written | 500 | 45.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 4,200 | 80.0000 | American | Jun 19, 2020 |
| Put Options | Written | 14,500 | 67.5000 | American | Jun 19, 2020 |
| Put Options | Written | 500 | 45.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 8,600 | 100.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 100 | 94.0000 | American | Jan 17, 2020 |
| Put Options | Written | 5,800 | 105.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 400 | 57.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 2,300 | 47.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,200 | 57.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -100 | 75.0000 | American | Jan 21, 2022 |
| Put Options | Purchased | -400 | 87.0000 | American | Feb 14, 2020 |
| Put Options | Purchased | -1,000 | 115.0000 | American | Jan 21, 2022 |
| Call Options | Written | -67,400 | 100.0000 | American | Jan 17, 2020 |
| Call Options | Written | -800 | 65.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -15,400 | 95.0000 | American | Feb 21, 2020 |
| Call Options | Written | -7,600 | 87.5000 | American | Jan 17, 2020 |
| Call Options | Written | -100 | 87.0000 | American | Jan 10, 2020 |
| Call Options | Written | -400 | 82.5000 | American | May 15, 2020 |
| Call Options | Written | -1,100 | 62.5000 | American | Jan 17, 2020 |
| Call Options | Written | -400 | 88.0000 | American | Jan 10, 2020 |
| Put Options | Purchased | -300 | 83.0000 | American | Jan 31, 2020 |
| Call Options | Written | -6,800 | 105.0000 | American | Jan 15, 2021 |
| Call Options | Written | -10,800 | 85.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -900 | 40.0000 | American | Jun 19, 2020 |
| Call Options | Written | -3,900 | 100.0000 | American | Jun 19, 2020 |
| Put Options | Written | 1,100 | 67.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 3,200 | 89.0000 | American | Jan 10, 2020 |
| Put Options | Written | 600 | 72.5000 | American | May 15, 2020 |
| Put Options | Written | 17,000 | 65.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 4,700 | 100.0000 | American | May 15, 2020 |
| Call Options | Purchased | 100 | 85.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 400 | 82.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 1,700 | 57.5000 | American | Jan 15, 2021 |
| Put Options | Written | 15,700 | 80.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 8,000 | 77.5000 | American | Jan 17, 2020 |
| Put Options | Written | 400 | 85.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,500 | 80.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,300 | 65.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 500 | 90.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 100 | 92.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 7,300 | 77.5000 | American | Jan 15, 2021 |
| Put Options | Written | 1,100 | 45.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -9,700 | 100.0000 | American | Jan 17, 2020 |
| Call Options | Written | -4,700 | 100.0000 | American | Sep 18, 2020 |
| Call Options | Written | -6,300 | 92.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -7,900 | 77.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -500 | 47.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -100 | 90.5000 | American | Jan 10, 2020 |
| Call Options | Written | -1,000 | 87.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -100 | 87.5000 | American | Jan 31, 2020 |
| Call Options | Written | -1,700 | 80.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -13,300 | 86.5000 | American | Jan 10, 2020 |
| Call Options | Written | -400 | 86.0000 | American | Jan 24, 2020 |
| Put Options | Purchased | -700 | 96.0000 | American | Jan 17, 2020 |
| Call Options | Written | -500 | 87.5000 | American | Jan 21, 2022 |
| Put Options | Purchased | -24,800 | 90.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100,000 | 85.0000 | American | Jan 15, 2021 |
| Call Options | Written | -1,500 | 140.0000 | American | Jan 15, 2021 |
| Call Options | Written | -5,700 | 95.0000 | American | Jan 15, 2021 |
| Call Options | Written | -1,500 | 110.0000 | American | May 15, 2020 |
| Call Options | Written | -2,200 | 82.5000 | American | Jan 15, 2021 |
| Call Options | Written | -3,100 | 135.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -4,500 | 72.5000 | American | Jan 17, 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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