20th Mar 2018 11:32
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: | 19 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: | ADR | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 117,481 | 0.03% | 1,041 | 0.00% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 0 | 0.00% | 0 | 0.00% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 28,300 | 0.01% | 69,500 | 0.02% | |||||||
| (4) | |||||||||||
| TOTAL: | 145,781 | 0.04% | 70,541 | 0.02% | |||||||
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 | ||||||
| ADR | Purchase | 10 | 163.5000 USD | ||||
| ADR | Purchase | 100 | 162.2300 USD | ||||
| ADR | Purchase | 100 | 162.7050 USD | ||||
| ADR | Purchase | 200 | 162.5650 USD | ||||
| ADR | Purchase | 298 | 162.6157 USD | ||||
| ADR | Purchase | 300 | 164.4016 USD | ||||
| ADR | Purchase | 300 | 163.2725 USD | ||||
| ADR | Purchase | 400 | 162.5600 USD | ||||
| ADR | Purchase | 500 | 164.2635 USD | ||||
| ADR | Purchase | 500 | 164.0720 USD | ||||
| ADR | Purchase | 500 | 163.1000 USD | ||||
| ADR | Purchase | 506 | 163.2808 USD | ||||
| ADR | Purchase | 589 | 162.9037 USD | ||||
| ADR | Purchase | 700 | 163.1357 USD | ||||
| ADR | Purchase | 787 | 163.0235 USD | ||||
| ADR | Purchase | 900 | 164.2510 USD | ||||
| ADR | Purchase | 1,220 | 163.0652 USD | ||||
| ADR | Purchase | 1,710 | 162.9833 USD | ||||
| ADR | Purchase | 2,600 | 164.1533 USD | ||||
| ADR | Purchase | 2,601 | 164.5003 USD | ||||
| ADR | Purchase | 2,954 | 163.0127 USD | ||||
| ADR | Purchase | 3,010 | 165.0700 USD | ||||
| ADR | Purchase | 3,376 | 164.2294 USD | ||||
| ADR | Purchase | 4,400 | 164.0206 USD | ||||
| ADR | Purchase | 5,000 | 164.0940 USD | ||||
| ADR | Purchase | 5,158 | 164.5445 USD | ||||
| ADR | Purchase | 9,060 | 163.1156 USD | ||||
| ADR | Purchase | 9,281 | 162.8843 USD | ||||
| ADR | Purchase | 12,100 | 163.9554 USD | ||||
| ADR | Purchase | 13,907 | 163.5400 USD | ||||
| ADR | Sale | 20 | 162.8300 USD | ||||
| ADR | Sale | 49 | 163.5114 USD | ||||
| ADR | Sale | 80 | 164.9900 USD | ||||
| ADR | Sale | 94 | 164.1200 USD | ||||
| ADR | Sale | 100 | 162.9100 USD | ||||
| ADR | Sale | 100 | 162.9400 USD | ||||
| ADR | Sale | 100 | 163.5300 USD | ||||
| ADR | Sale | 100 | 163.6700 USD | ||||
| ADR | Sale | 100 | 164.3100 USD | ||||
| ADR | Sale | 100 | 164.8100 USD | ||||
| ADR | Sale | 123 | 163.6176 USD | ||||
| ADR | Sale | 136 | 162.8755 USD | ||||
| ADR | Sale | 182 | 164.2454 USD | ||||
| ADR | Sale | 270 | 163.2507 USD | ||||
| ADR | Sale | 315 | 163.4180 USD | ||||
| ADR | Sale | 383 | 163.7487 USD | ||||
| ADR | Sale | 500 | 163.3110 USD | ||||
| ADR | Sale | 600 | 164.7733 USD | ||||
| ADR | Sale | 810 | 163.1688 USD | ||||
| ADR | Sale | 906 | 164.2650 USD | ||||
| ADR | Sale | 1,000 | 163.9320 USD | ||||
| ADR | Sale | 1,000 | 163.9795 USD | ||||
| ADR | Sale | 1,200 | 164.1820 USD | ||||
| ADR | Sale | 1,400 | 163.4614 USD | ||||
| ADR | Sale | 1,400 | 164.8600 USD | ||||
| ADR | Sale | 1,800 | 163.4977 USD | ||||
| ADR | Sale | 2,000 | 164.0217 USD | ||||
| ADR | Sale | 2,400 | 164.2398 USD | ||||
| ADR | Sale | 2,400 | 164.4232 USD | ||||
| ADR | Sale | 2,800 | 164.1141 USD | ||||
| ADR | Sale | 3,010 | 165.0700 USD | ||||
| ADR | Sale | 4,336 | 164.7066 USD | ||||
| ADR | Sale | 5,442 | 164.0259 USD | ||||
| ADR | Sale | 8,918 | 163.9331 USD | ||||
| ADR | Sale | 9,085 | 162.7455 USD | ||||
| ADR | Sale | 15,800 | 163.0705 USD | ||||
| ADR | Sale | 18,586 | 163.5400 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 | |||||||||||||||
| ADR | Call Options | Purchasing | 100 | 165 USD | American | 6 Apr 2018 | 3.2000 USD | ||||||||
| ADR | Call Options | Selling | 3,200 | 160 USD | American | 16 Mar 2018 | 4.8900 USD | ||||||||
| ADR | Put Options | Purchasing | 3,000 | 85 USD | American | 18 Jan 2019 | 0.7500 USD | ||||||||
| ADR | Put Options | Purchasing | 1,000 | 165 USD | American | 16 Mar 2018 | 0.2500 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: | 20 Mar 2018 | |
| Contact name: | ELISE TANG | |
| Telephone number: | 02071163001 |
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.
143221.01
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 | |||||||||||||
| ADR | Put Options | Written | 1,600 | 145.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Purchased | 900 | 130.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -100 | 155.0000 | American | 21 Sep 2018 | |||||||
| ADR | Put Options | Purchased | -100 | 115.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -100 | 155.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -200 | 135.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -2,000 | 140.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -5,000 | 65.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,700 | 150.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,500 | 160.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,300 | 190.0000 | American | 21 Sep 2018 | |||||||
| ADR | Call Options | Purchased | 200 | 135.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 200 | 150.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 115.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 175.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -100 | 183.0000 | American | 23 Mar 2018 | |||||||
| ADR | Call Options | Written | -1,000 | 200.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Purchased | -3,500 | 85.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -5,000 | 60.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -7,100 | 170.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 5,400 | 140.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Purchased | 1,500 | 160.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Purchased | 100 | 150.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 100 | 130.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Purchased | -500 | 140.0000 | American | 21 Sep 2018 | |||||||
| ADR | Call Options | Written | -800 | 180.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Purchased | -1,100 | 95.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 2,200 | 165.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Written | 2,100 | 145.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 1,500 | 185.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 800 | 105.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 165.0000 | American | 21 Sep 2018 | |||||||
| ADR | Call Options | Written | -100 | 175.0000 | American | 13 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -300 | 75.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -500 | 150.0000 | American | 29 Mar 2018 | |||||||
| ADR | Call Options | Written | -600 | 195.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Written | -800 | 145.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Purchased | -1,400 | 115.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Purchased | -1,500 | 130.0000 | American | 21 Sep 2018 | |||||||
| ADR | Put Options | Purchased | -1,800 | 160.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -2,200 | 90.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -5,600 | 150.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Written | -7,500 | 160.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Purchased | 1,000 | 105.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 400 | 130.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Purchased | 100 | 120.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 170.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Written | 100 | 175.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -100 | 125.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -100 | 165.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Written | -200 | 180.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -200 | 165.0000 | American | 13 Apr 2018 | |||||||
| ADR | Call Options | Written | -400 | 175.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -400 | 120.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Written | -500 | 180.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -1,000 | 178.0000 | American | 23 Mar 2018 | |||||||
| ADR | Put Options | Purchased | -1,000 | 110.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 1,000 | 185.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Purchased | 100 | 125.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Written | 100 | 190.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -100 | 155.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Written | -300 | 163.0000 | American | 29 Mar 2018 | |||||||
| ADR | Put Options | Purchased | -300 | 150.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Written | -1,900 | 175.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Written | -2,000 | 155.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Purchased | 3,100 | 170.0000 | American | 15 Jun 2018 | |||||||
| ADR | Call Options | Purchased | 200 | 145.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 100 | 145.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Purchased | 100 | 165.0000 | American | 6 Apr 2018 | |||||||
| ADR | Call Options | Written | -100 | 220.0000 | American | 20 Apr 2018 | |||||||
| ADR | Call Options | Written | -300 | 160.0000 | American | 17 Jan 2020 | |||||||
| ADR | Call Options | Written | -1,000 | 135.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Purchased | -1,200 | 100.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -1,200 | 170.0000 | American | 20 Apr 2018 | |||||||
| ADR | Put Options | Purchased | -1,900 | 140.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -3,200 | 140.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Purchased | 500 | 220.0000 | American | 18 Jan 2019 | |||||||
| ADR | Put Options | Purchased | -100 | 70.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -200 | 140.0000 | American | 15 Jun 2018 | |||||||
| ADR | Put Options | Purchased | -200 | 120.0000 | American | 18 Jan 2019 | |||||||
| ADR | Call Options | Written | -1,100 | 200.0000 | American | 18 Jan 2019 | |||||||
| ADR | 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/20180320005750/en/
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