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Form 8 (DD) - CME GROUP INC

25th Sep 2018 11:34

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: 24 September 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
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 81,272 0.02% 4,526 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 39,500 0.01% 55,600 0.02%
TOTAL: 120,772 0.04% 60,126 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 Purchase 2 175.4592 USD
USD 0.01 Class A common Purchase 5 175.5200 USD
USD 0.01 Class A common Purchase 7 175.0100 USD
USD 0.01 Class A common Purchase 15 174.9501 USD
USD 0.01 Class A common Purchase 38 175.4900 USD
USD 0.01 Class A common Purchase 50 174.8300 USD
USD 0.01 Class A common Purchase 100 174.2550 USD
USD 0.01 Class A common Purchase 100 174.3100 USD
USD 0.01 Class A common Purchase 100 174.9300 USD
USD 0.01 Class A common Purchase 100 174.8400 USD
USD 0.01 Class A common Purchase 150 174.9233 USD
USD 0.01 Class A common Purchase 176 175.6572 USD
USD 0.01 Class A common Purchase 200 175.0950 USD
USD 0.01 Class A common Purchase 300 174.8600 USD
USD 0.01 Class A common Purchase 420 174.9671 USD
USD 0.01 Class A common Purchase 723 175.2027 USD
USD 0.01 Class A common Purchase 800 174.6487 USD
USD 0.01 Class A common Purchase 852 174.7446 USD
USD 0.01 Class A common Purchase 1,000 174.6345 USD
USD 0.01 Class A common Purchase 1,500 174.7693 USD
USD 0.01 Class A common Purchase 1,800 174.7694 USD
USD 0.01 Class A common Purchase 2,436 174.9527 USD
USD 0.01 Class A common Purchase 3,166 175.1159 USD
USD 0.01 Class A common Purchase 5,690 175.1506 USD
USD 0.01 Class A common Purchase 48,360 174.7500 USD
USD 0.01 Class A common Purchase 54,185 174.8132 USD
USD 0.01 Class A common Sale 2 175.4592 USD
USD 0.01 Class A common Sale 7 175.0100 USD
USD 0.01 Class A common Sale 15 174.9501 USD
USD 0.01 Class A common Sale 25 174.7900 USD
USD 0.01 Class A common Sale 52 174.7200 USD
USD 0.01 Class A common Sale 80 174.9000 USD
USD 0.01 Class A common Sale 100 175.6250 USD
USD 0.01 Class A common Sale 100 175.6300 USD
USD 0.01 Class A common Sale 100 175.0600 USD
USD 0.01 Class A common Sale 105 175.6247 USD
USD 0.01 Class A common Sale 105 175.5957 USD
USD 0.01 Class A common Sale 120 174.9933 USD
USD 0.01 Class A common Sale 120 175.4633 USD
USD 0.01 Class A common Sale 130 175.4040 USD
USD 0.01 Class A common Sale 140 175.4692 USD
USD 0.01 Class A common Sale 200 175.5150 USD
USD 0.01 Class A common Sale 200 175.6150 USD
USD 0.01 Class A common Sale 291 175.4596 USD
USD 0.01 Class A common Sale 300 174.8333 USD
USD 0.01 Class A common Sale 300 174.7933 USD
USD 0.01 Class A common Sale 323 175.2000 USD
USD 0.01 Class A common Sale 400 175.2050 USD
USD 0.01 Class A common Sale 700 174.8757 USD
USD 0.01 Class A common Sale 783 174.7596 USD
USD 0.01 Class A common Sale 900 174.6294 USD
USD 0.01 Class A common Sale 1,095 175.4508 USD
USD 0.01 Class A common Sale 1,100 174.6736 USD
USD 0.01 Class A common Sale 1,200 174.7183 USD
USD 0.01 Class A common Sale 1,662 175.2637 USD
USD 0.01 Class A common Sale 1,838 174.7843 USD
USD 0.01 Class A common Sale 2,426 174.9440 USD
USD 0.01 Class A common Sale 4,399 174.9650 USD
USD 0.01 Class A common Sale 7,665 175.1862 USD
USD 0.01 Class A common Sale 47,600 174.7497 USD
USD 0.01 Class A common Sale 47,645 174.7500 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 Call Options Purchasing 400 65 USD American 16 Jun 2017 0.0700 USD
USD 0.01 Class A common Call Options Purchasing 6,700 70 USD American 16 Jun 2017 17.7000 USD
USD 0.01 Class A common Call Options Purchasing 800 80 USD American 16 Jun 2017 0.0100 USD
USD 0.01 Class A common Call Options Purchasing 200 150 USD American 17 Jan 2020 31.5000 USD
USD 0.01 Class A common Call Options Selling 400 75 USD American 16 Jun 2017 12.6000 USD
USD 0.01 Class A common Call Options Selling 5,900 85 USD American 16 Jun 2017 7.4000 USD
USD 0.01 Class A common Call Options Selling 3,400 90 USD American 16 Jun 2017 0.1000 USD
USD 0.01 Class A common Put Options Selling 1,400 165 USD American 19 Oct 2018 0.4500 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: 25 Sep 2018
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213

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 Call Options Purchased 100 185.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 100 115.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 100 240.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 100 160.0000 American 15 Mar 2019
USD 0.01 Class A common Call Options Purchased 100 165.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 100 175.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 100 135.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 100 120.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 100 125.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 200 140.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 200 165.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 200 135.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 400 145.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 500 155.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 500 195.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 500 220.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 500 160.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 600 155.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 700 150.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 700 145.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 700 200.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 900 130.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 1,000 90.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 1,000 210.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 1,000 105.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 2,000 150.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 2,500 160.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 3,200 200.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -6,900 170.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -3,200 140.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -3,100 180.0000 American 19 Oct 2018
USD 0.01 Class A common Call Options Written -1,600 185.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -1,400 175.0000 American 19 Oct 2018
USD 0.01 Class A common Call Options Written -1,300 160.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Written -1,100 200.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -1,000 210.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -600 180.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -500 195.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -400 180.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -200 170.0000 American 19 Oct 2018
USD 0.01 Class A common Call Options Written -100 170.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -100 170.0000 American 5 Oct 2018
USD 0.01 Class A common Call Options Written -100 178.0000 American 12 Oct 2018
USD 0.01 Class A common Put Options Purchased -5,000 60.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -4,000 160.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -3,500 85.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -3,400 65.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -2,500 140.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -2,200 90.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,400 145.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -1,200 100.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,100 95.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,100 180.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,100 130.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,000 170.0000 American 15 Mar 2019
USD 0.01 Class A common Put Options Purchased -800 140.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -800 110.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -700 120.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -700 165.0000 American 28 Sep 2018
USD 0.01 Class A common Put Options Purchased -600 75.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -500 125.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -500 175.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -500 160.0000 American 19 Oct 2018
USD 0.01 Class A common Put Options Purchased -300 160.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -300 90.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -200 135.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 115.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 70.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 85.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 150.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 210.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 165.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 100 190.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 100 175.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 100 175.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Written 100 90.0000 American 15 Mar 2019
USD 0.01 Class A common Put Options Written 200 150.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 200 70.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Written 400 170.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 500 155.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 600 163.0000 American 28 Sep 2018
USD 0.01 Class A common Put Options Written 800 175.0000 American 19 Oct 2018
USD 0.01 Class A common Put Options Written 800 105.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 800 160.0000 American 28 Sep 2018
USD 0.01 Class A common Put Options Written 800 150.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 900 125.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 1,000 168.0000 American 5 Oct 2018
USD 0.01 Class A common Put Options Written 1,500 185.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 2,100 145.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 2,600 115.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 7,700 165.0000 American 19 Oct 2018

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/20180925005546/en/

Copyright Business Wire 2018


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