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Form 8 (DD) - CME GROUP INC

26th Mar 2018 11:07

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: 23 March 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: 114,305 0.03% 3,479 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 29,800 0.01% 83,100 0.02%
TOTAL: 144,105 0.04% 86,579 0.03%

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 7 160.4900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 63 160.5900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 80 158.8001 USD
USD 0.01 CLASS A COMMON STOCK Purchase 94 159.2400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.1300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 149 158.7524 USD
USD 0.01 CLASS A COMMON STOCK Purchase 190 159.2526 USD
USD 0.01 CLASS A COMMON STOCK Purchase 348 159.6376 USD
USD 0.01 CLASS A COMMON STOCK Purchase 499 159.6299 USD
USD 0.01 CLASS A COMMON STOCK Purchase 523 158.4001 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 159.7075 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 160.5400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 159.8371 USD
USD 0.01 CLASS A COMMON STOCK Purchase 846 160.1600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 900 161.1000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 972 158.3537 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,100 159.2200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,300 159.6375 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,716 159.4269 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,778 159.8191 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,345 159.3764 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,700 160.1882 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,900 160.1038 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,580 159.4573 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,426 159.4541 USD
USD 0.01 CLASS A COMMON STOCK Purchase 9,127 159.3868 USD
USD 0.01 CLASS A COMMON STOCK Purchase 21,632 158.1200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 24,107 159.5030 USD
USD 0.01 CLASS A COMMON STOCK Sale 7 160.4900 USD
USD 0.01 CLASS A COMMON STOCK Sale 40 161.2000 USD
USD 0.01 CLASS A COMMON STOCK Sale 80 158.8001 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 158.5300 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.3100 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.5000 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 158.4000 USD
USD 0.01 CLASS A COMMON STOCK Sale 149 158.7525 USD
USD 0.01 CLASS A COMMON STOCK Sale 149 158.7524 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 160.0900 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 160.1500 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.4800 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 159.5466 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 161.4300 USD
USD 0.01 CLASS A COMMON STOCK Sale 323 158.3600 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 161.0212 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 160.5020 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 159.4320 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 159.0397 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 159.3617 USD
USD 0.01 CLASS A COMMON STOCK Sale 800 159.8525 USD
USD 0.01 CLASS A COMMON STOCK Sale 846 160.1600 USD
USD 0.01 CLASS A COMMON STOCK Sale 900 161.1000 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 159.8498 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 159.3138 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 159.0184 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,480 159.4078 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,200 160.0871 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,600 160.1970 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,783 159.5754 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,326 159.5497 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,607 159.2721 USD
USD 0.01 CLASS A COMMON STOCK Sale 24,316 158.1200 USD
USD 0.01 CLASS A COMMON STOCK Sale 32,922 159.5320 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 1,600 175 USD American 20 Apr 2018 0.4937 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 3,200 178 USD American 20 Apr 2018 0.3140 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 3,800 180 USD American 20 Apr 2018 0.2478 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 2,000 190 USD American 18 May 2018 0.3375 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 1,000 160 USD American 29 Mar 2018 2.5000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 135 USD American 13 Apr 2018 0.2000 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: 26 Mar 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 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 200 165.0000 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 Put Options Purchased -1,100 165.0000 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 Put Options Purchased -2,000 140.0000 American 20 Apr 2018
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 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 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 Put Options Purchased -3,500 85.0000 American 18 Jan 2019
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 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 -200 165.0000 American 23 Mar 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 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 Call Options Purchased 100 165.0000 American 21 Sep 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 -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 Put Options Purchased -2,200 90.0000 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 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 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 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 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 Written -2,000 175.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -4,000 180.0000 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 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 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 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 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 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 -400 163.0000 American 29 Mar 2018
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 -1,000 160.0000 American 29 Mar 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 Written 1,100 163.0000 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 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/20180326005451/en/

Copyright Business Wire 2018

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