28th Apr 2016 11:23
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 | INTERCONTINENTAL EXCHANGE INC | |||
| relevant securities this form relates: | |||||
| (d) | Status of person making the disclosure: | Connected to London Stock Exchange Group Plc | |||
| (e) | Date position held/dealing undertaken: | 27 April 2016 | |||
| (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: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 105,449 | 0.09% | 7,927 | 0.01% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 3,672 | 0.00% | 83,000 | 0.07% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 11,700 | 0.01% | 10,900 | 0.01% | |||||||
| TOTAL: | 120,821 | 0.10% | 101,827 | 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 | ||||||
| ORD | Purchase | 2 | 242.0900 USD | ||||
| ORD | Purchase | 21 | 242.1500 USD | ||||
| ORD | Purchase | 22 | 243.8497 USD | ||||
| ORD | Purchase | 28 | 243.5700 USD | ||||
| ORD | Purchase | 34 | 243.7000 USD | ||||
| ORD | Purchase | 69 | 242.2200 USD | ||||
| ORD | Purchase | 80 | 243.7400 USD | ||||
| ORD | Purchase | 81 | 243.0316 USD | ||||
| ORD | Purchase | 88 | 244.0838 USD | ||||
| ORD | Purchase | 100 | 243.6900 USD | ||||
| ORD | Purchase | 120 | 243.6866 USD | ||||
| ORD | Purchase | 146 | 243.8800 USD | ||||
| ORD | Purchase | 200 | 243.5300 USD | ||||
| ORD | Purchase | 200 | 243.7025 USD | ||||
| ORD | Purchase | 200 | 242.2100 USD | ||||
| ORD | Purchase | 200 | 243.8650 USD | ||||
| ORD | Purchase | 236 | 243.3215 USD | ||||
| ORD | Purchase | 254 | 243.7257 USD | ||||
| ORD | Purchase | 292 | 243.8400 USD | ||||
| ORD | Purchase | 316 | 243.1702 USD | ||||
| ORD | Purchase | 396 | 243.0001 USD | ||||
| ORD | Purchase | 650 | 243.7661 USD | ||||
| ORD | Purchase | 762 | 243.7606 USD | ||||
| ORD | Purchase | 863 | 243.9094 USD | ||||
| ORD | Purchase | 941 | 242.7407 USD | ||||
| ORD | Purchase | 1,250 | 243.5372 USD | ||||
| ORD | Purchase | 1,500 | 243.7150 USD | ||||
| ORD | Purchase | 2,600 | 243.2487 USD | ||||
| ORD | Purchase | 2,600 | 243.1787 USD | ||||
| ORD | Purchase | 3,900 | 243.7764 USD | ||||
| ORD | Purchase | 5,367 | 243.7650 USD | ||||
| ORD | Purchase | 8,264 | 243.7780 USD | ||||
| ORD | Purchase | 9,640 | 243.7718 USD | ||||
| ORD | Purchase | 123,449 | 243.4900 USD | ||||
| ORD | Sale | 2 | 243.9400 USD | ||||
| ORD | Sale | 16 | 242.2600 USD | ||||
| ORD | Sale | 28 | 242.1971 USD | ||||
| ORD | Sale | 34 | 243.2676 USD | ||||
| ORD | Sale | 71 | 243.2367 USD | ||||
| ORD | Sale | 72 | 242.2941 USD | ||||
| ORD | Sale | 146 | 243.8800 USD | ||||
| ORD | Sale | 146 | 243.8400 USD | ||||
| ORD | Sale | 196 | 243.8950 USD | ||||
| ORD | Sale | 312 | 243.9449 USD | ||||
| ORD | Sale | 555 | 243.3066 USD | ||||
| ORD | Sale | 695 | 243.7214 USD | ||||
| ORD | Sale | 800 | 244.0168 USD | ||||
| ORD | Sale | 894 | 243.4579 USD | ||||
| ORD | Sale | 987 | 243.6991 USD | ||||
| ORD | Sale | 1,677 | 243.7827 USD | ||||
| ORD | Sale | 1,900 | 243.8384 USD | ||||
| ORD | Sale | 2,000 | 243.7175 USD | ||||
| ORD | Sale | 2,200 | 243.7422 USD | ||||
| ORD | Sale | 3,500 | 243.2989 USD | ||||
| ORD | Sale | 4,926 | 243.1338 USD | ||||
| ORD | Sale | 19,280 | 243.7718 USD | ||||
| ORD | Sale | 123,840 | 243.4900 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 of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(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: | 28 Apr 2016 | ||
| 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 and must also be emailed to the Takeover Panel at [email protected]. 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 | INTERCONTINENTAL EXCHANGE 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 | |||||||||||||
| ORD | Put Options | Written | 200 | 150.0000 | American | 16 Sep 2016 | |||||||
| ORD | Put Options | Written | 1,600 | 250.0000 | American | 17 Jun 2016 | |||||||
| ORD | Put Options | Written | 600 | 230.0000 | American | 20 May 2016 | |||||||
| ORD | Call Options | Purchased | 300 | 250.0000 | American | 16 Sep 2016 | |||||||
| ORD | Put Options | Purchased | -100 | 260.0000 | American | 17 Jun 2016 | |||||||
| ORD | Call Options | Written | -300 | 220.0000 | American | 16 Sep 2016 | |||||||
| ORD | Put Options | Purchased | -1,500 | 220.0000 | American | 20 May 2016 | |||||||
| ORD | Call Options | Purchased | 2,000 | 270.0000 | American | 17 Jun 2016 | |||||||
| ORD | Call Options | Purchased | 400 | 240.0000 | American | 20 May 2016 | |||||||
| ORD | Call Options | Purchased | 100 | 260.0000 | American | 20 May 2016 | |||||||
| ORD | Put Options | Written | 100 | 130.0000 | American | 16 Sep 2016 | |||||||
| ORD | Put Options | Purchased | -300 | 220.0000 | American | 16 Sep 2016 | |||||||
| ORD | Call Options | Written | -700 | 270.0000 | American | 20 May 2016 | |||||||
| ORD | Put Options | Purchased | -3,400 | 220.0000 | American | 17 Jun 2016 | |||||||
| ORD | Put Options | Purchased | -2,000 | 210.0000 | American | 17 Jun 2016 | |||||||
| ORD | Put Options | Written | 400 | 140.0000 | American | 16 Sep 2016 | |||||||
| ORD | Call Options | Purchased | 900 | 270.0000 | American | 16 Dec 2016 | |||||||
| ORD | Put Options | Purchased | -600 | 210.0000 | American | 16 Sep 2016 | |||||||
| ORD | Call Options | Purchased | 900 | 250.0000 | American | 17 Jun 2016 | |||||||
| ORD | Call Options | Purchased | 300 | 260.0000 | American | 16 Sep 2016 | |||||||
| ORD | Call Options | Purchased | 100 | 240.0000 | American | 17 Jun 2016 | |||||||
| ORD | Put Options | Written | 100 | 170.0000 | American | 16 Sep 2016 | |||||||
| ORD | Call Options | Purchased | 1,600 | 280.0000 | American | 17 Jun 2016 | |||||||
| ORD | Put Options | Written | 1,300 | 240.0000 | American | 20 May 2016 | |||||||
| ORD | Put Options | Written | 800 | 210.0000 | American | 20 May 2016 | |||||||
| ORD | Call Options | Written | -2,000 | 250.0000 | American | 20 May 2016 |
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.
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