BARCLAYS PLC LONDON--(BUSINESS WIRE)--
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 interests and short positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. | ||
|
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:
Use a separate form for each offeror/offeree | CME GROUP INC | |
|
(d) Status of person making the disclosure:
e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree) | CONNECTED TO THE OFFEROR | |
| (e) Date dealing undertaken: | 20 JULY 2018 | |
|
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state 'N/A' | 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 | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 80,000 | 0.02% | 14,460 | 0.00% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 0 | 0.00% | 0 | 0.00% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 130,800 | 0.04% | 178,900 | 0.05% | |||||||
| (4) | |||||||||||
| TOTAL: | 210,800 | 0.06% | 193,360 | 0.06% | |||||||
| 0 |
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 | Purchase | 4 | 168.7500 USD | ||||
| USD 0.01 Class A common | Purchase | 7 | 168.8550 USD | ||||
| USD 0.01 Class A common | Purchase | 12 | 168.8600 USD | ||||
| USD 0.01 Class A common | Purchase | 16 | 168.8800 USD | ||||
| USD 0.01 Class A common | Purchase | 19 | 168.5800 USD | ||||
| USD 0.01 Class A common | Purchase | 90 | 169.0400 USD | ||||
| USD 0.01 Class A common | Purchase | 100 | 168.9199 USD | ||||
| USD 0.01 Class A common | Purchase | 100 | 168.5000 USD | ||||
| USD 0.01 Class A common | Purchase | 100 | 168.4600 USD | ||||
| USD 0.01 Class A common | Purchase | 100 | 168.9300 USD | ||||
| USD 0.01 Class A common | Purchase | 107 | 168.8758 USD | ||||
| USD 0.01 Class A common | Purchase | 126 | 168.8879 USD | ||||
| USD 0.01 Class A common | Purchase | 126 | 168.6047 USD | ||||
| USD 0.01 Class A common | Purchase | 200 | 168.7137 USD | ||||
| USD 0.01 Class A common | Purchase | 200 | 168.7725 USD | ||||
| USD 0.01 Class A common | Purchase | 200 | 168.8050 USD | ||||
| USD 0.01 Class A common | Purchase | 227 | 168.6634 USD | ||||
| USD 0.01 Class A common | Purchase | 300 | 168.6250 USD | ||||
| USD 0.01 Class A common | Purchase | 300 | 168.9233 USD | ||||
| USD 0.01 Class A common | Purchase | 700 | 168.4285 USD | ||||
| USD 0.01 Class A common | Purchase | 755 | 168.9814 USD | ||||
| USD 0.01 Class A common | Purchase | 800 | 168.5796 USD | ||||
| USD 0.01 Class A common | Purchase | 900 | 168.9068 USD | ||||
| USD 0.01 Class A common | Purchase | 1,254 | 168.6191 USD | ||||
| USD 0.01 Class A common | Purchase | 1,887 | 168.7197 USD | ||||
| USD 0.01 Class A common | Purchase | 5,499 | 168.9053 USD | ||||
| USD 0.01 Class A common | Purchase | 7,085 | 168.9551 USD | ||||
| USD 0.01 Class A common | Purchase | 7,405 | 168.8511 USD | ||||
| USD 0.01 Class A common | Purchase | 18,400 | 168.3800 USD | ||||
| USD 0.01 Class A common | Purchase | 42,102 | 169.0000 USD | ||||
| USD 0.01 Class A common | Sale | 14 | 168.2600 USD | ||||
| USD 0.01 Class A common | Sale | 26 | 168.8800 USD | ||||
| USD 0.01 Class A common | Sale | 55 | 168.8300 USD | ||||
| USD 0.01 Class A common | Sale | 102 | 168.8280 USD | ||||
| USD 0.01 Class A common | Sale | 104 | 168.8900 USD | ||||
| USD 0.01 Class A common | Sale | 163 | 168.5800 USD | ||||
| USD 0.01 Class A common | Sale | 178 | 168.7404 USD | ||||
| USD 0.01 Class A common | Sale | 193 | 168.6637 USD | ||||
| USD 0.01 Class A common | Sale | 200 | 168.9207 USD | ||||
| USD 0.01 Class A common | Sale | 243 | 168.9152 USD | ||||
| USD 0.01 Class A common | Sale | 245 | 168.4250 USD | ||||
| USD 0.01 Class A common | Sale | 300 | 168.6875 USD | ||||
| USD 0.01 Class A common | Sale | 400 | 168.9175 USD | ||||
| USD 0.01 Class A common | Sale | 400 | 168.2418 USD | ||||
| USD 0.01 Class A common | Sale | 653 | 168.6345 USD | ||||
| USD 0.01 Class A common | Sale | 659 | 168.9891 USD | ||||
| USD 0.01 Class A common | Sale | 814 | 168.6934 USD | ||||
| USD 0.01 Class A common | Sale | 900 | 168.5836 USD | ||||
| USD 0.01 Class A common | Sale | 983 | 168.5722 USD | ||||
| USD 0.01 Class A common | Sale | 1,408 | 168.7184 USD | ||||
| USD 0.01 Class A common | Sale | 5,296 | 168.9106 USD | ||||
| USD 0.01 Class A common | Sale | 6,922 | 168.9639 USD | ||||
| USD 0.01 Class A common | Sale | 7,902 | 168.8534 USD | ||||
| USD 0.01 Class A common | Sale | 60,288 | 169.0000 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: | 23 JULY 2018 | |
| Contact name: | Large Holdings Regulatory Operations | |
| Telephone number: | 020 3134 7213 |
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 atwww.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
| Full name of person making disclosure: | Barclays PLC. | |
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | CME GROUP INC |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
| Product | Writing, | Number | Exercise | Type | Expiry | ||||||
| description | purchasing, | of | price | date | |||||||
| selling, | securities | per unit | |||||||||
| varying etc | to which | ||||||||||
| option | |||||||||||
| relates | |||||||||||
| Call Options | Purchased | 9,700 | 160.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 2,600 | 200.0000 | American | 21 Dec 2018 | ||||||
| Call Options | Purchased | 1,000 | 210.0000 | American | 21 Dec 2018 | ||||||
| Call Options | Purchased | 900 | 130.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 500 | 160.0000 | American | 21 Dec 2018 | ||||||
| Call Options | Purchased | 100 | 240.0000 | American | 17 Jan 2020 | ||||||
| Call Options | Purchased | 100 | 165.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 115.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -200 | 135.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -500 | 125.0000 | American | 21 Dec 2018 | ||||||
| Call Options | Written | -700 | 155.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Written | -1,000 | 210.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,000 | 168.0000 | American | 27 Jul 2018 | ||||||
| Put Options | Purchased | -4,800 | 65.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 3,100 | 135.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Purchased | 2,700 | 190.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Written | 2,600 | 115.0000 | American | 21 Dec 2018 | ||||||
| Put Options | Written | 2,600 | 155.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Purchased | 2,500 | 160.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 1,700 | 150.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 1,500 | 135.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 500 | 155.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 200 | 135.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 200 | 175.0000 | American | 17 Aug 2018 | ||||||
| Put Options | Written | 200 | 70.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Written | 200 | 150.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 100 | 115.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 100 | 175.0000 | American | 17 Jan 2020 | ||||||
| Call Options | Written | -100 | 200.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Written | -3,100 | 170.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Purchased | -3,500 | 85.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -5,000 | 60.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -7,000 | 170.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -10,800 | 165.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Purchased | 8,000 | 175.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Written | 1,500 | 170.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Written | 1,200 | 115.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Written | 900 | 125.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 600 | 145.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Purchased | 100 | 150.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Purchased | -100 | 160.0000 | American | 17 Aug 2018 | ||||||
| Put Options | Purchased | -100 | 150.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Written | -300 | 195.0000 | American | 31 Aug 2018 | ||||||
| Put Options | Purchased | -300 | 90.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Purchased | -1,100 | 95.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -1,100 | 140.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Written | -1,600 | 175.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Written | -3,700 | 180.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Purchased | 2,300 | 165.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Written | 2,200 | 160.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Written | 2,100 | 145.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 1,500 | 185.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 1,300 | 130.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 800 | 168.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Written | 800 | 105.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -500 | 155.0000 | American | 21 Dec 2018 | ||||||
| Put Options | Purchased | -600 | 75.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,200 | 200.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Purchased | -2,200 | 90.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 1,300 | 165.0000 | American | 17 Aug 2018 | ||||||
| Call Options | Purchased | 1,000 | 105.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 1,000 | 180.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 700 | 200.0000 | American | 17 Jan 2020 | ||||||
| Call Options | Purchased | 100 | 120.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 100 | 175.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 165.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 165.0000 | American | 21 Dec 2018 | ||||||
| Call Options | Written | -300 | 183.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Written | -400 | 180.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -400 | 145.0000 | American | 21 Dec 2018 | ||||||
| Put Options | Purchased | -800 | 110.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -1,100 | 130.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100,000 | 145.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Written | 50,000 | 155.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 100 | 125.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 100 | 190.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -800 | 165.0000 | American | 27 Jul 2018 | ||||||
| Put Options | Purchased | -1,900 | 155.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Purchased | -4,000 | 160.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Purchased | 3,500 | 173.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Written | 2,200 | 160.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Written | 1,000 | 168.0000 | American | 27 Jul 2018 | ||||||
| Call Options | Purchased | 600 | 155.0000 | American | 21 Dec 2018 | ||||||
| Call Options | Purchased | 400 | 145.0000 | American | 17 Jan 2020 | ||||||
| Call Options | Purchased | 200 | 145.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Written | 100 | 140.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Purchased | -100 | 85.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Purchased | -100 | 153.0000 | American | 27 Jul 2018 | ||||||
| Put Options | Purchased | -200 | 175.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Purchased | -500 | 180.0000 | American | 21 Sep 2018 | ||||||
| Put Options | Purchased | -500 | 125.0000 | American | 17 Aug 2018 | ||||||
| Put Options | Purchased | -1,200 | 100.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,300 | 160.0000 | American | 17 Jan 2020 | ||||||
| Put Options | Purchased | -2,500 | 140.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -3,200 | 140.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -3,600 | 170.0000 | American | 20 Jul 2018 | ||||||
| Call Options | Purchased | 7,600 | 160.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Written | 2,700 | 165.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 1,200 | 185.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Purchased | 500 | 220.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 70.0000 | American | 18 Jan 2019 | ||||||
| Put Options | Purchased | -100 | 165.0000 | American | 17 Aug 2018 | ||||||
| Put Options | Purchased | -200 | 165.0000 | American | 20 Jul 2018 | ||||||
| Put Options | Purchased | -700 | 120.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,100 | 200.0000 | American | 18 Jan 2019 | ||||||
| Call Options | Written | -1,400 | 170.0000 | American | 21 Sep 2018 | ||||||
| Call Options | Written | -1,600 | 185.0000 | American | 0 Jan 1900 |
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 atwww.thetakeoverpanel.org.uk.
View source version on businesswire.com:https://www.businesswire.com/news/home/20180723005300/en/
BARCLAYS PLC
Source: BARCLAYS PLC
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Disclaimer
Barclays plc published this content on 23 July 2018 and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on 23 July 2018 10:52:10 UTC
