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: 07 April 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: 53,690 0.05 13,662 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: 26,400 0.02 7,400 0.01

TOTAL:

83,762 0.07 51,062 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 4 237.0600
USD 0.01 common stock Purchase 28 236.9700
USD 0.01 common stock Purchase 73 234.7963
USD 0.01 common stock Purchase 112 233.5209
USD 0.01 common stock Purchase 120 236.7650
USD 0.01 common stock Purchase 200 236.8875
USD 0.01 common stock Purchase 200 233.8863
USD 0.01 common stock Purchase 200 234.2225
USD 0.01 common stock Purchase 248 234.3193
USD 0.01 common stock Purchase 492 234.3707
USD 0.01 common stock Purchase 500 234.3130
USD 0.01 common stock Purchase 621 235.3478
USD 0.01 common stock Purchase 700 236.1229
USD 0.01 common stock Purchase 800 235.4868
USD 0.01 common stock Purchase 986 234.7675
USD 0.01 common stock Purchase 1,100 234.1728
USD 0.01 common stock Purchase 1,504 234.6076
USD 0.01 common stock Purchase 1,600 234.9386
USD 0.01 common stock Purchase 1,798 234.3860
USD 0.01 common stock Purchase 1,854 234.3447
USD 0.01 common stock Purchase 1,941 234.7264
USD 0.01 common stock Purchase 1,974 234.3720
USD 0.01 common stock Purchase 2,752 235.4827
USD 0.01 common stock Purchase 4,268 234.8104
USD 0.01 common stock Purchase 5,300 235.9900
USD 0.01 common stock Purchase 6,979 235.8364
USD 0.01 common stock Purchase 23,369 234.5100
USD 0.01 common stock Sale 2 238.5800
USD 0.01 common stock Sale 4 236.9800
USD 0.01 common stock Sale 24 237.3340
USD 0.01 common stock Sale 56 233.5209
USD 0.01 common stock Sale 56 233.5311
USD 0.01 common stock Sale 76 234.2400
USD 0.01 common stock Sale 99 238.4289
USD 0.01 common stock Sale 100 237.6000
USD 0.01 common stock Sale 100 236.9400
USD 0.01 common stock Sale 100 234.2200
USD 0.01 common stock Sale 100 233.8400
USD 0.01 common stock Sale 152 234.8603
USD 0.01 common stock Sale 183 234.3598
USD 0.01 common stock Sale 200 233.8863
USD 0.01 common stock Sale 228 236.8976
USD 0.01 common stock Sale 248 234.3193
USD 0.01 common stock Sale 252 234.5140
USD 0.01 common stock Sale 300 236.0000
USD 0.01 common stock Sale 374 233.6455
USD 0.01 common stock Sale 476 234.1107
USD 0.01 common stock Sale 500 236.1285
USD 0.01 common stock Sale 515 234.7072
USD 0.01 common stock Sale 582 236.7601
USD 0.01 common stock Sale 673 236.6726
USD 0.01 common stock Sale 700 235.0782
USD 0.01 common stock Sale 752 234.2794
USD 0.01 common stock Sale 900 235.1422
USD 0.01 common stock Sale 1,200 234.3590
USD 0.01 common stock Sale 1,300 235.2631
USD 0.01 common stock Sale 1,798 234.3700
USD 0.01 common stock Sale 1,798 234.3860
USD 0.01 common stock Sale 2,000 235.5030
USD 0.01 common stock Sale 2,017 236.3912
USD 0.01 common stock Sale 2,479 235.2102
USD 0.01 common stock Sale 4,800 236.0063
USD 0.01 common stock Sale 5,917 234.9298
USD 0.01 common stock Sale 8,096 235.5851
USD 0.01 common stock Sale 23,225 234.5100

(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
USD 0.01 common stock Call Options Selling 400 140 American 16092016 0.655
USD 0.01 common stock Call Options Selling 200 150 American 16092016 0.960
USD 0.01 common stock Call Options Selling 600 250 American 15042016 0.200
USD 0.01 common stock Call Options            

(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:   08 April 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 -600 250 American 15042016
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 2000 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 Call 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 -2000 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 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
USD 0.01 common stock Put Option Written 100 130 American 16092016
USD 0.01 common stock Put Option Written 400 140 American 16092016
USD 0.01 common stock Put Option Written 200 150 American 16092016

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: 520061
Time of Receipt (offset from UTC): 20160408T105228+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC