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Form 8 (DD) - CME GROUP INC

11th May 2018 10:52

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: 10 May 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 STOCK
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 80,801 0.02% 29,412 0.01%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 201,500 0.06% 284,400 0.08%
TOTAL: 282,301 0.08% 313,812 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 20 160.5000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 50 160.3800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.6100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.5300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 132 159.3500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 160.5200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 159.9800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 160.2400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 160.2775 USD
USD 0.01 CLASS A COMMON STOCK Purchase 268 160.3097 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 159.9933 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 159.9533 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 160.0300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 160.2115 USD
USD 0.01 CLASS A COMMON STOCK Purchase 803 159.7398 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,025 160.0341 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,602 160.1010 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,700 160.1812 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,000 160.1871 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,061 160.0482 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,389 160.0393 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,474 159.9573 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,264 159.9600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,278 159.9244 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,700 159.9873 USD
USD 0.01 CLASS A COMMON STOCK Purchase 20,756 160.0539 USD
USD 0.01 CLASS A COMMON STOCK Sale 23 160.2900 USD
USD 0.01 CLASS A COMMON STOCK Sale 32 159.3501 USD
USD 0.01 CLASS A COMMON STOCK Sale 39 160.3400 USD
USD 0.01 CLASS A COMMON STOCK Sale 47 160.3134 USD
USD 0.01 CLASS A COMMON STOCK Sale 50 160.3800 USD
USD 0.01 CLASS A COMMON STOCK Sale 51 160.3241 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.9500 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.3500 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.5300 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.6100 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.9700 USD
USD 0.01 CLASS A COMMON STOCK Sale 101 160.0597 USD
USD 0.01 CLASS A COMMON STOCK Sale 108 160.2946 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.9450 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.9800 USD
USD 0.01 CLASS A COMMON STOCK Sale 221 160.2197 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 160.0433 USD
USD 0.01 CLASS A COMMON STOCK Sale 468 159.9400 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 160.0375 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 160.1360 USD
USD 0.01 CLASS A COMMON STOCK Sale 800 160.1150 USD
USD 0.01 CLASS A COMMON STOCK Sale 803 159.7398 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,475 160.0306 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,600 160.2793 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,800 159.9886 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,600 160.1956 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,894 159.9637 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,114 159.8507 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,619 159.9600 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,800 159.9967 USD
USD 0.01 CLASS A COMMON STOCK Sale 32,833 160.0548 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 100 175 USD American 18 May 2018 0.0500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 300 145 USD American 21 Dec 2018 5.3300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 140 USD American 8 Jun 2018 0.2900 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: 11 May 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 8,600 160.0000 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 Call Options Purchased 100 165.0000 American 18 Jan 2019
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 -400 160.0000 American 11 May 2018
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 -900 155.0000 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 -1,500 200.0000 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 Put Options Purchased -2,300 165.0000 American 21 Sep 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 Call Options Written -500 185.0000 American 25 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 1,500 140.0000 American 8 Jun 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 Call Options Written -200 180.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -600 175.0000 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 Call Options Written -1,400 163.0000 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 -8,700 160.0000 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 Put Options Purchased -300 145.0000 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 1,400 165.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 700 185.0000 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 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 -1,500 155.0000 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 600 155.0000 American 21 Dec 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 -2,300 140.0000 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 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/20180511005200/en/

Copyright Business Wire 2018

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