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Form 8 (DD) - CME GROUP INC - Amendment

9th May 2018 11:04

FORM 8 (DD) - AMENDMENT TO SALES

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: 03 May 2018
(f) In addition to the company in 1(c) above, is the discloser making NO
disclosures in respect of any other party to the offer?

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: 81,337 0.02% 30,257 0.01%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 201,900 0.06% 278,900 0.08%
TOTAL: 283,237 0.08% 309,157 0.09%

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 37 154.2221 USD
USD 0.01 CLASS A COMMON STOCK Purchase 48 156.9899 USD
USD 0.01 CLASS A COMMON STOCK Purchase 66 157.3201 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 157.0300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 156.8300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 225 155.8600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 332 155.7000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 156.5060 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 156.9266 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 155.6316 USD
USD 0.01 CLASS A COMMON STOCK Purchase 684 156.8524 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,000 155.6937 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,506 156.2010 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,102 157.8699 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,675 157.0044 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,300 156.3141 USD
USD 0.01 CLASS A COMMON STOCK Purchase 9,897 157.0503 USD
USD 0.01 CLASS A COMMON STOCK Purchase 10,300 156.0840 USD
USD 0.01 CLASS A COMMON STOCK Purchase 12,326 156.5189 USD
USD 0.01 CLASS A COMMON STOCK Purchase 13,800 156.0708 USD
USD 0.01 CLASS A COMMON STOCK Purchase 19,444 155.8838 USD
USD 0.01 CLASS A COMMON STOCK Purchase 25,316 157.0200 USD
USD 0.01 CLASS A COMMON STOCK Sale 25 154.7400 USD
USD 0.01 CLASS A COMMON STOCK Sale 48 156.9899 USD
USD 0.01 CLASS A COMMON STOCK Sale 50 154.4900 USD
USD 0.01 CLASS A COMMON STOCK Sale 66 157.3201 USD
USD 0.01 CLASS A COMMON STOCK Sale 85 158.0058 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 154.8700 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 157.9700 USD
USD 0.01 CLASS A COMMON STOCK Sale 295 156.6690 USD
USD 0.01 CLASS A COMMON STOCK Sale 332 155.7000 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 157.8662 USD
USD 0.01 CLASS A COMMON STOCK Sale 410 154.7817 USD
USD 0.01 CLASS A COMMON STOCK Sale 456 157.7783 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 157.2840 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 157.4150 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 157.1150 USD
USD 0.01 CLASS A COMMON STOCK Sale 625 154.7628 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 155.9435 USD
USD 0.01 CLASS A COMMON STOCK Sale 800 157.8987 USD
USD 0.01 CLASS A COMMON STOCK Sale 900 156.4338 USD
USD 0.01 CLASS A COMMON STOCK Sale 924 156.3096 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,000 155.5215 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,286 157.8568 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,697 157.0111 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,783 156.0649 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,961 156.0263 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,100 156.5751 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,172 155.7094 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,300 156.3141 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,300 155.3846 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,600 156.6764 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,200 157.0215 USD
USD 0.01 CLASS A COMMON STOCK Sale 9,225 156.0650 USD
USD 0.01 CLASS A COMMON STOCK Sale 9,400 155.8305 USD
USD 0.01 CLASS A COMMON STOCK Sale 13,810 156.4802 USD
USD 0.01 CLASS A COMMON STOCK Sale 28,708 157.0200 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 Selling 100 180 USD American 15 Jun 2018 0.1400 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 1,600 158 USD American 18 May 2018 2.7500 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: 9 May 2018
Contact name: Jay Supaya
Telephone number: 020 7773 0635

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 8,400 160.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,100 145.0000 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 Written 600 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 240.0000 American 17 Jan 2020
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 -200 135.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 125.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -700 155.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,000 190.0000 American 18 May 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 Purchased 2,500 160.0000 American 18 Jan 2019
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 1,300 190.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 600 155.0000 American 15 Jun 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 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 Written -1,000 200.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,800 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,400 160.0000 American 11 May 2018
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 -7,000 170.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 5,800 170.0000 American 21 Sep 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 100 150.0000 American 17 Jan 2020
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 Call Options Purchased 100 160.0000 American 18 May 2018
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 -1,000 180.0000 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 Put Options Purchased -1,400 145.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 13,000 175.0000 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 1,400 140.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,000 163.0000 American 4 May 2018
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 Written 200 149.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 160.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 160.0000 American 4 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -200 180.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -500 175.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -600 75.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -800 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,400 170.0000 American 18 May 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 -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 -8,400 160.0000 American 15 Jun 2018
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 1,000 155.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 700 200.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Put Options Written 400 130.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 140.0000 American 15 Jun 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 Put Options Written 100 175.0000 American 18 Jan 2019
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 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -400 180.0000 American 18 Jan 2019
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 -1,000 210.0000 American 18 May 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 Put Options Written 4,300 115.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,600 158.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,000 165.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 900 185.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 600 165.0000 American 4 May 2018
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 Written -200 158.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 173.0000 American 11 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,200 185.0000 American 18 May 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 Call Options Purchased 2,200 170.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 400 145.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 145.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 165.0000 American 21 Sep 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 -500 135.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -203,000 150.0000 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 -2,100 140.0000 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 Put Options Written 136,000 160.0000 American 15 Jun 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 Call Options Written -100 158.0000 American 4 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 70.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 70.0000 American 18 Jan 2019
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
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,000 173.0000 American 18 May 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/20180509005558/en/

Copyright Business Wire 2018

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