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Form 8 (DD) - CME GROUP INC

21st Mar 2018 12:20

FORM 8 (DD)

PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)

Rules 8.1, 8.2 and 8.4 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser: Barclays PLC.
(b) Owner or controller of interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose CME GROUP INC
relevant securities this form relates:
(d) Status of person making the disclosure: CONNECTED TO THE OFFEROR
(e) Date position held/dealing undertaken: 20 March 2018
(f)

In addition to the company in 1(c) above, is the discloser makingdisclosures in respect of any other party to the offer?

NO

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing

Class of relevant security: USD 0.01 CLASS A COMMON STOCK
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 116,323 0.03% 2,403 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 28,500 0.01% 69,500 0.02%
TOTAL: 144,823 0.04% 71,903 0.02%

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:

3. DEALINGS BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

(i) Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)

Class of relevant Purchase/sale Number of Price per unit
security securities
USD 0.01 CLASS A COMMON STOCK Purchase 15 165.0501 USD
USD 0.01 CLASS A COMMON STOCK Purchase 29 165.3800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 93 165.0400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 164.1500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 164.0800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 165.5100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 165.2500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 199 164.8775 USD
USD 0.01 CLASS A COMMON STOCK Purchase 199 164.7291 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 165.1750 USD
USD 0.01 CLASS A COMMON STOCK Purchase 291 164.1638 USD
USD 0.01 CLASS A COMMON STOCK Purchase 345 164.1613 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 164.6662 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 164.1183 USD
USD 0.01 CLASS A COMMON STOCK Purchase 618 164.7261 USD
USD 0.01 CLASS A COMMON STOCK Purchase 850 165.1941 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,207 164.9610 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,224 164.2993 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,300 164.8119 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,756 164.4153 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,703 164.7474 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,500 164.6361 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,612 164.8936 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,400 164.7368 USD
USD 0.01 CLASS A COMMON STOCK Purchase 7,700 164.8024 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,051 164.3315 USD
USD 0.01 CLASS A COMMON STOCK Purchase 10,793 164.6416 USD
USD 0.01 CLASS A COMMON STOCK Purchase 20,643 164.1800 USD
USD 0.01 CLASS A COMMON STOCK Sale 1 164.9500 USD
USD 0.01 CLASS A COMMON STOCK Sale 10 165.2800 USD
USD 0.01 CLASS A COMMON STOCK Sale 29 165.3800 USD
USD 0.01 CLASS A COMMON STOCK Sale 50 164.3700 USD
USD 0.01 CLASS A COMMON STOCK Sale 80 165.3975 USD
USD 0.01 CLASS A COMMON STOCK Sale 90 165.1700 USD
USD 0.01 CLASS A COMMON STOCK Sale 98 165.5500 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 164.0500 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 164.4100 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 164.7300 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 164.7350 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 164.5700 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 165.0200 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 165.1400 USD
USD 0.01 CLASS A COMMON STOCK Sale 120 164.4033 USD
USD 0.01 CLASS A COMMON STOCK Sale 130 165.2630 USD
USD 0.01 CLASS A COMMON STOCK Sale 140 164.8728 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 164.8400 USD
USD 0.01 CLASS A COMMON STOCK Sale 221 164.7206 USD
USD 0.01 CLASS A COMMON STOCK Sale 250 165.0240 USD
USD 0.01 CLASS A COMMON STOCK Sale 299 165.1452 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 164.7266 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 164.9833 USD
USD 0.01 CLASS A COMMON STOCK Sale 350 164.6042 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 164.7000 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 165.3850 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 165.2480 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 164.5780 USD
USD 0.01 CLASS A COMMON STOCK Sale 675 165.1635 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 164.6900 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 164.8335 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,100 164.4372 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,224 164.2993 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 164.5723 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,309 164.8405 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,600 164.4512 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,900 164.6475 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,789 164.1334 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,000 164.8199 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,500 164.7251 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,653 164.8722 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,528 164.9109 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,956 164.7520 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,100 164.6141 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,180 164.2834 USD
USD 0.01 CLASS A COMMON STOCK Sale 23,266 164.1800 USD

(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser

Class of relevant security Purchases/ sales Total number of securities Highest price per unit paid/received Lowest price per unit paid/received

(b) Cash-settled derivative transactions

Class of relevant security Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities Price per unit

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
relates
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 165 USD American 20 Apr 2018 4.7000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 175 USD American 21 Sep 2018 6.4300 USD

(ii) Exercise

Class of relevant security Product description

e.g. call option

Exercising/ exercised against Number of securities Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security Nature of dealing

e.g. subscription, conversion

Details Price per unit (if applicable)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the party to the offer or person acting in concert making the disclosure and any other person:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

None

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer or person acting in concert making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

None

(c) Attachments

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions) YES
Supplemental Form 8 (SBL) NO
Date of disclosure: 21 Mar 2018
Contact name: ELISE TANG
Telephone number: 02071163001

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

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

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

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings Barclays PLC.
are being disclosed:
Name of offeror/offeree in relation to whose CME GROUP INC
relevant securities this from relates:

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class Product Writing, Number Exercise Type Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
relates
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 165.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,600 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 900 130.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,000 140.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -5,000 65.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 155.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 115.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 155.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -200 135.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 115.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 175.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,700 150.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,500 160.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,300 190.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 135.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 150.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -3,500 85.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -5,000 60.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -7,100 170.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 183.0000 American 23 Mar 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 200.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 175.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 130.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 5,400 140.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,500 160.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 150.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 140.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -800 180.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,100 95.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 165.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 2,200 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,100 145.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,500 185.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 800 105.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,200 90.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -5,600 150.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -7,500 160.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 175.0000 American 13 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -300 75.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 150.0000 American 29 Mar 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -600 195.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -800 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,400 115.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,500 130.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,800 160.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 120.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 170.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 175.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,000 105.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 400 130.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 125.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 165.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -200 180.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -200 165.0000 American 13 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -400 175.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -400 120.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -500 180.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 178.0000 American 23 Mar 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,000 110.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 125.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 190.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,000 185.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,900 175.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,000 155.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 155.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -300 163.0000 American 29 Mar 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -300 150.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 145.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 165.0000 American 6 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 3,100 170.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 145.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,900 140.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -3,200 140.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 220.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -300 160.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 135.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,200 100.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,200 170.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 500 220.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 70.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -200 140.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -200 120.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,100 200.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,600 185.0000 American 18 Jan 2019

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

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

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

View source version on businesswire.com: https://www.businesswire.com/news/home/20180321005552/en/

Copyright Business Wire 2018

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