18th May 2018 11:27
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 interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. | ||
| (c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | CME GROUP INC | |
| (d) Status of person making the disclosure: e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree) | CONNECTED TO THE OFFEROR | |
| (e) Date dealing undertaken: | 17 May 2018 | |
| (f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A” | 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: | 88,789 | 0.03% | 22,274 | 0.01% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 0 | 0.00% | 0 | 0.00% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 205,200 | 0.06% | 380,800 | 0.11% | |||||||
| (4) | |||||||||||
| TOTAL: | 293,989 | 0.09% | 403,074 | 0.12% | |||||||
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 | 25 | 160.5000 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 87 | 160.7400 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 96 | 159.9500 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 100 | 159.6950 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 100 | 160.6400 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 100 | 160.6000 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 100 | 160.5300 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 179 | 160.6327 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 200 | 160.4200 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 400 | 160.3575 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 500 | 160.0640 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 529 | 160.5870 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 575 | 160.3300 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 1,082 | 160.6210 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 1,300 | 160.5134 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 1,396 | 160.4020 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 1,405 | 160.6343 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 1,525 | 160.7100 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 1,700 | 160.4276 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 2,232 | 160.5223 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 2,297 | 160.6564 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 3,700 | 160.5828 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 8,300 | 160.6200 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 9,444 | 160.7000 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Purchase | 12,200 | 160.8300 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 25 | 160.5000 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 87 | 160.7400 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 100 | 160.4200 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 100 | 160.5200 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 100 | 159.6950 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 100 | 160.5564 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 100 | 160.5400 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 100 | 160.6400 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 129 | 160.6941 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 200 | 160.6237 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 224 | 160.2046 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 276 | 159.9500 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 400 | 160.5525 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 500 | 160.6480 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 575 | 160.3300 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 600 | 160.4804 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 830 | 160.5301 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 900 | 160.3488 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 1,200 | 160.4054 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 1,492 | 160.5870 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 1,525 | 160.7100 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 1,528 | 160.4169 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 1,900 | 160.5178 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 2,297 | 160.6564 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 3,745 | 160.4775 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 3,796 | 160.5668 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 6,100 | 160.8300 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 8,300 | 160.6200 USD | ||||
| USD 0.01 CLASS A COMMON STOCK | Sale | 9,334 | 160.7000 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 | 155 USD | American | 25 May 2018 | 6.0000 USD | ||||||||
| USD 0.01 CLASS A COMMON STOCK | Call Options | Purchasing | 200 | 160 USD | American | 18 May 2018 | 0.8900 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: | 18 May 2018 | |
| Contact name: | Femi Badmos | |
| Telephone number: | 020 3555 1125 |
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
| Full name of person making disclosure: | Barclays PLC. | |
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | CME GROUP INC |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
| Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date |
3. AGREEMENTS TO PURCHASE OR SELL ETC.
| Product | Writing, | Number | Exercise | Type | Expiry | ||||||
| description | purchasing, | of | price | date | |||||||
| selling, | securities | per unit | |||||||||
| varying etc | to which | ||||||||||
| option | |||||||||||
| relates | |||||||||||
| Put Options | Purchased | -5,000 | 60.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 700 | 200.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Purchased | -100,000 | 145.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Written | -300 | 160.0000 | American | 17 Jan 2020 | ||||||
| Call Options | Purchased | 2,200 | 170.0000 | American | 15 Jun 2018 | ||||||
| Put Options | Purchased | -500 | 140.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Purchased | -1,000 | 110.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 2,800 | 130.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -500 | 135.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -1,000 | 180.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -5,600 | 150.0000 | American | 15 Jun 2018 | ||||||
| Put Options | Purchased | -400 | 120.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Purchased | 100 | 165.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -2,200 | 90.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 200 | 145.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -2,300 | 140.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,600 | 185.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 900 | 130.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -400 | 180.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 125.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 200 | 150.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 13,000 | 175.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Purchased | 700 | 185.0000 | American | 15 Jun 2018 | ||||||
| Put Options | Written | 4,300 | 115.0000 | American | 18 May 2018 | ||||||
| Put Options | Purchased | -200 | 135.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -5,000 | 65.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 200 | 135.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 1,700 | 150.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 100 | 150.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Written | 1,600 | 158.0000 | American | 18 May 2018 | ||||||
| Put Options | Purchased | -100 | 70.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 136,000 | 160.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Purchased | 100 | 130.0000 | American | 15 Jun 2018 | ||||||
| Put Options | Written | 100 | 175.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 2,100 | 145.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -8,700 | 160.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Purchased | 1,300 | 190.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 200 | 140.0000 | American | 15 Jun 2018 | ||||||
| Put Options | Purchased | -203,000 | 150.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Purchased | 100 | 115.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -2,300 | 165.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Purchased | -100 | 160.0000 | American | 18 May 2018 | ||||||
| Call Options | Written | -900 | 155.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 100 | 240.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Written | 1,500 | 140.0000 | American | 8 Jun 2018 | ||||||
| Put Options | Purchased | -200 | 120.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -400 | 145.0000 | American | 21 Dec 2018 | ||||||
| Put Options | Written | 1,000 | 155.0000 | American | 18 May 2018 | ||||||
| Put Options | Written | 5,400 | 140.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -200 | 180.0000 | American | 18 May 2018 | ||||||
| Call Options | Written | -1,200 | 185.0000 | American | 18 May 2018 | ||||||
| Call Options | Purchased | 8,600 | 160.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 100 | 155.0000 | American | 25 May 2018 | ||||||
| Call Options | Written | -1,100 | 200.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -3,500 | 85.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 300 | 160.0000 | American | 18 May 2018 | ||||||
| Put Options | Purchased | -1,400 | 115.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -800 | 145.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Purchased | 2,500 | 160.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,800 | 165.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -500 | 185.0000 | American | 25 May 2018 | ||||||
| Put Options | Written | 100 | 150.0000 | American | 18 May 2018 | ||||||
| Call Options | Purchased | 100 | 120.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -1,400 | 145.0000 | American | 8 Jun 2018 | ||||||
| Put Options | Written | 1,500 | 185.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -1,200 | 100.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 600 | 165.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Purchased | 100 | 175.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Written | -1,400 | 170.0000 | American | 18 May 2018 | ||||||
| Call Options | Written | -600 | 175.0000 | American | 18 May 2018 | ||||||
| Put Options | Written | 200 | 149.0000 | American | 18 May 2018 | ||||||
| Call Options | Purchased | 1,000 | 105.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -3,200 | 140.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -2,000 | 173.0000 | American | 18 May 2018 | ||||||
| Call Options | Purchased | 5,800 | 170.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 100 | 125.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 115.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 600 | 155.0000 | American | 21 Dec 2018 | ||||||
| Put Options | Purchased | -500 | 125.0000 | American | 21 Dec 2018 | ||||||
| Put Options | Written | 600 | 155.0000 | American | 15 Jun 2018 | ||||||
| Put Options | Written | 800 | 105.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,500 | 155.0000 | American | 15 Jun 2018 | ||||||
| Call Options | Written | -1,000 | 210.0000 | American | 18 May 2018 | ||||||
| Call Options | Written | -200 | 158.0000 | American | 18 May 2018 | ||||||
| Call Options | Purchased | 1,400 | 165.0000 | American | 18 May 2018 | ||||||
| Call Options | Written | -1,500 | 200.0000 | American | 15 Jun 2018 | ||||||
| Put Options | Written | 100 | 175.0000 | American | 17 Jan 2020 | ||||||
| Call Options | Written | -2,000 | 190.0000 | American | 18 May 2018 | ||||||
| Put Options | Written | 2,100 | 145.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 1,000 | 160.0000 | American | 29 Jun 2018 | ||||||
| Put Options | Purchased | -1,500 | 130.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Written | -1,400 | 163.0000 | American | 18 May 2018 | ||||||
| Put Options | Purchased | -600 | 75.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 165.0000 | American | 21 Dec 2018 | ||||||
| Call Options | Written | -100 | 165.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Written | -7,000 | 170.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -1,100 | 95.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 100 | 190.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 500 | 220.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 400 | 145.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Purchased | -100 | 70.0000 | American | 0 Jan 1900 |
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/20180518005220/en/
Copyright Business Wire 2018
Related Shares:
Barclays