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Form 8 (DD) - CME GROUP INC

10th Apr 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: 09 April 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: 96,032 0.03% 10,229 0.00%
(2) Cash-settled derivatives:
318 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 195,200 0.06% 309,700 0.09%
(4)
TOTAL: 291,550 0.09% 319,929 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 10 159.2800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 90 160.8999 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 161.7400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.6900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.2100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.1800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 159.6600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 159.3850 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 159.7050 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 159.7100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 441 159.9238 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 160.4350 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 160.5014 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 160.5017 USD
USD 0.01 CLASS A COMMON STOCK Purchase 800 159.6697 USD
USD 0.01 CLASS A COMMON STOCK Purchase 900 160.0044 USD
USD 0.01 CLASS A COMMON STOCK Purchase 902 160.3210 USD
USD 0.01 CLASS A COMMON STOCK Purchase 944 159.7747 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,005 160.7590 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,826 159.8641 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,000 159.9303 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,200 160.2415 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,463 160.6258 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,800 160.0100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,290 159.1911 USD
USD 0.01 CLASS A COMMON STOCK Purchase 7,426 160.2094 USD
USD 0.01 CLASS A COMMON STOCK Purchase 11,910 160.5293 USD
USD 0.01 CLASS A COMMON STOCK Purchase 16,721 159.1800 USD
USD 0.01 CLASS A COMMON STOCK Sale 5 162.3601 USD
USD 0.01 CLASS A COMMON STOCK Sale 93 159.7500 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 158.9200 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 161.6600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 161.5900 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.7300 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.6800 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.2100 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 161.3350 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 159.1483 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 160.9166 USD
USD 0.01 CLASS A COMMON STOCK Sale 450 161.2588 USD
USD 0.01 CLASS A COMMON STOCK Sale 900 160.0180 USD
USD 0.01 CLASS A COMMON STOCK Sale 900 159.9582 USD
USD 0.01 CLASS A COMMON STOCK Sale 990 160.5050 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 160.5069 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 160.6692 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 160.3963 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,415 160.4903 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,870 161.0215 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,923 160.7212 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,400 160.1266 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,486 160.5411 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,095 159.1800 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,726 159.8593 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,800 160.0100 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,300 159.1913 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,451 160.3135 USD
USD 0.01 CLASS A COMMON STOCK Sale 8,798 160.0920 USD
USD 0.01 CLASS A COMMON STOCK Sale 13,770 159.1829 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 1,500 170 USD American 20 Apr 2018 0.4300 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 500 170 USD American 21 Sep 2018 6.5000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 15,400 175 USD American 15 Jun 2018 2.3815 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 15,400 180 USD American 20 Apr 2018 0.0800 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: 10 Apr 2018
Contact name: ELISE TANG
Telephone number: 0207 1163001

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 7,100 160.0000 American 21 Sep 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 Call Options Purchased 300 165.0000 American 20 Apr 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 -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 Written -700 155.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -900 165.0000 American 27 Apr 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 Call Options Written -2,000 178.0000 American 27 Apr 2018
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 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 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 -1,000 180.0000 American 27 Apr 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 5,500 170.0000 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 2,300 160.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,000 125.0000 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 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 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 Written -3,200 178.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 13,500 175.0000 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 800 105.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 160.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 153.0000 American 27 Apr 2018
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 100 163.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 135.0000 American 13 Apr 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 -200 158.0000 American 27 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 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 Call Options Written -1,000 170.0000 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 -1,800 160.0000 American 20 Apr 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 -8,600 160.0000 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 Call Options Purchased 600 170.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 500 158.0000 American 13 Apr 2018
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 -200 165.0000 American 13 Apr 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 Put Options Purchased -400 165.0000 American 20 Apr 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 Written -2,000 175.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -23,000 180.0000 American 20 Apr 2018
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 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 Put Options Purchased -100 155.0000 American 15 Jun 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 Written -2,000 155.0000 American 15 Jun 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 400 145.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 300 173.0000 American 27 Apr 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 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 Put Options Purchased -500 135.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 160.0000 American 13 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -900 135.0000 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 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 Put Options Purchased -202,500 150.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 135,000 160.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 700 163.0000 American 27 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 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

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/20180410005813/en/

Copyright Business Wire 2018

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