Form 8 (DD) - Intercontinental Exchange, Inc.

LONDON--()--

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

Intercontinental Exchange, 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 London Stock Exchange Group Plc
(e) Date dealing undertaken: 29 March 2016
(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

If YES, specify which:

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:    

 

Interests   Short positions
Number   % Number   %
(1) Relevant securities owned and/or controlled: 53,568 0.05 10,761 0.01
(2) Cash-settled derivatives: 3,672 0.00 30,000 0.03
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 25,100 0.02 4,800 0.00

TOTAL:

82,340 0.07 45,561 0.04

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 security   Purchase/sale   Number of securities   Price per unit (in USD)
 
USD 0.01 common stock Purchase 2 233.0300
USD 0.01 common stock Purchase 10 232.9400
USD 0.01 common stock Purchase 13 232.4238
USD 0.01 common stock Purchase 27 232.5900
USD 0.01 common stock Purchase 32 234.3000
USD 0.01 common stock Purchase 41 232.4700
USD 0.01 common stock Purchase 97 234.8100
USD 0.01 common stock Purchase 100 234.0700
USD 0.01 common stock Purchase 108 232.3954
USD 0.01 common stock Purchase 144 232.3980
USD 0.01 common stock Purchase 168 233.3714
USD 0.01 common stock Purchase 274 232.6500
USD 0.01 common stock Purchase 289 233.9067
USD 0.01 common stock Purchase 294 232.7035
USD 0.01 common stock Purchase 406 232.9804
USD 0.01 common stock Purchase 500 233.2891
USD 0.01 common stock Purchase 544 233.1197
USD 0.01 common stock Purchase 665 233.0900
USD 0.01 common stock Purchase 665 233.0800
USD 0.01 common stock Purchase 965 233.1069
USD 0.01 common stock Purchase 1,396 233.2819
USD 0.01 common stock Purchase 2,200 233.5791
USD 0.01 common stock Purchase 2,700 232.7220
USD 0.01 common stock Purchase 4,300 233.2114
USD 0.01 common stock Purchase 5,100 233.5229
USD 0.01 common stock Purchase 5,396 233.1616
USD 0.01 common stock Purchase 5,446 233.4679
USD 0.01 common stock Purchase 6,300 232.9394
USD 0.01 common stock Purchase 7,100 233.1391
USD 0.01 common stock Purchase 26,873 234.6800
USD 0.01 common stock Sale 10 232.9400
USD 0.01 common stock Sale 30 231.9633
USD 0.01 common stock Sale 40 233.9200
USD 0.01 common stock Sale 41 232.4700
USD 0.01 common stock Sale 50 233.6700
USD 0.01 common stock Sale 67 232.3497
USD 0.01 common stock Sale 70 232.5800
USD 0.01 common stock Sale 77 232.4400
USD 0.01 common stock Sale 90 232.6800
USD 0.01 common stock Sale 100 233.1900
USD 0.01 common stock Sale 100 232.3900
USD 0.01 common stock Sale 100 232.9300
USD 0.01 common stock Sale 100 234.2700
USD 0.01 common stock Sale 105 232.9929
USD 0.01 common stock Sale 108 232.3171
USD 0.01 common stock Sale 137 233.2609
USD 0.01 common stock Sale 151 233.1200
USD 0.01 common stock Sale 175 231.9374
USD 0.01 common stock Sale 200 233.1550
USD 0.01 common stock Sale 200 232.7300
USD 0.01 common stock Sale 200 232.9700
USD 0.01 common stock Sale 224 232.6332
USD 0.01 common stock Sale 295 232.3458
USD 0.01 common stock Sale 300 232.9167
USD 0.01 common stock Sale 321 233.6285
USD 0.01 common stock Sale 372 232.2656
USD 0.01 common stock Sale 380 232.9969
USD 0.01 common stock Sale 415 232.7427
USD 0.01 common stock Sale 428 232.8222
USD 0.01 common stock Sale 614 234.2308
USD 0.01 common stock Sale 657 232.9587
USD 0.01 common stock Sale 665 233.0900
USD 0.01 common stock Sale 665 233.0800
USD 0.01 common stock Sale 677 232.9552
USD 0.01 common stock Sale 700 234.3800
USD 0.01 common stock Sale 717 233.7090
USD 0.01 common stock Sale 800 234.1463
USD 0.01 common stock Sale 913 234.3071
USD 0.01 common stock Sale 1,043 232.9384
USD 0.01 common stock Sale 1,100 233.8111
USD 0.01 common stock Sale 1,121 233.0719
USD 0.01 common stock Sale 1,800 233.3654
USD 0.01 common stock Sale 2,050 233.2976
USD 0.01 common stock Sale 2,175 233.5014
USD 0.01 common stock Sale 2,500 233.4368
USD 0.01 common stock Sale 3,600 232.7719
USD 0.01 common stock Sale 6,400 233.3213
USD 0.01 common stock Sale 11,109 232.9909
USD 0.01 common stock Sale 26,201 234.6800

(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”

(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”

(c) Attachments

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions)  

YES

Supplemental Form 8 (SBL)

NO

Date of disclosure:   30 March 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 monitoring@disclosure.org.uk. 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

Full name of person making disclosure:   Barclays Plc
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: Intercontinental Exchange, Inc.

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security   Product description e.g. call option   Written or purchased   Number of securities to which option or derivative relates   Exercise price per unit   Type
e.g. American, European etc.
  Expiry Date
USD 0.01 common stock Call Option Written -300 220 American 16092016
USD 0.01 common stock Call Option Written -100 250 American 17062016
USD 0.01 common stock Call Option Purchased 100 260 American 15042016
USD 0.01 common stock Call Option Purchased 100 240 American 17062016
USD 0.01 common stock Call Option Purchased 300 250 American 16092016
USD 0.01 common stock Call Option Purchased 300 260 American 16092016
USD 0.01 common stock Call Option Purchased 1100 270 American 17062016
USD 0.01 common stock Call Option Purchased 1300 270 American 15042016
USD 0.01 common stock Call Option Purchased 1600 280 American 17062016
USD 0.01 common stock Call Option Purchased 8700 240 American 15042016
USD 0.01 common stock Put Option Purchased -3300 220 American 17062016
USD 0.01 common stock Put Option Purchased -1000 220 American 20052016
USD 0.01 common stock Put Option Purchased -600 210 American 17062016
USD 0.01 common stock Put Option Purchased -300 220 American 16092016
USD 0.01 common stock Put Option Purchased -100 210 American 15042016
USD 0.01 common stock Put Option Purchased -100 260 American 17062016
USD 0.01 common stock Put Option Written 100 230 American 17062016
USD 0.01 common stock Put Option Written 1600 250 American 17062016
USD 0.01 common stock Put Option Written 8800 200 American 15042016
USD 0.01 common stock Put Option Written 100 230 American 20052016
USD 0.01 common stock Put Option Written 1000 240 American 20052016

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.

Short Name: BARCLAYS PLC
Category Code: DCC
Sequence Number: 518278
Time of Receipt (offset from UTC): 20160330T112029+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC