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 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: 22 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: 122,159 0.10% 7,585 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: 11,200 0.01% 9,800 0.01%
           
 
TOTAL: 137,031 0.12% 100,385 0.08%

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 2 240.8800 USD
ORD Purchase 5 240.9800 USD
ORD Purchase 5 240.8300 USD
ORD Purchase 19 240.6900 USD
ORD Purchase 22 240.8700 USD
ORD Purchase 50 240.8900 USD
ORD Purchase 57 241.0200 USD
ORD Purchase 67 241.1177 USD
ORD Purchase 74 241.1541 USD
ORD Purchase 100 240.5950 USD
ORD Purchase 100 241.1700 USD
ORD Purchase 171 240.6929 USD
ORD Purchase 191 240.1600 USD
ORD Purchase 200 241.1536 USD
ORD Purchase 214 241.0152 USD
ORD Purchase 230 241.0117 USD
ORD Purchase 241 240.9671 USD
ORD Purchase 336 241.1120 USD
ORD Purchase 394 240.8226 USD
ORD Purchase 430 240.9516 USD
ORD Purchase 600 241.1469 USD
ORD Purchase 646 241.1197 USD
ORD Purchase 661 241.0472 USD
ORD Purchase 699 241.0436 USD
ORD Purchase 907 241.1330 USD
ORD Purchase 1,200 241.2445 USD
ORD Purchase 1,358 241.4363 USD
ORD Purchase 1,600 240.9870 USD
ORD Purchase 1,700 241.1594 USD
ORD Purchase 2,094 241.2648 USD
ORD Purchase 2,100 240.9794 USD
ORD Purchase 2,400 241.1050 USD
ORD Purchase 2,900 241.1332 USD
ORD Purchase 3,555 241.5463 USD
ORD Purchase 4,200 241.1497 USD
ORD Purchase 4,311 241.1880 USD
ORD Purchase 4,500 241.1067 USD
ORD Purchase 5,711 241.2156 USD
ORD Purchase 10,460 241.1609 USD
ORD Purchase 19,900 241.1153 USD
ORD Purchase 34,812 241.0874 USD
ORD Purchase 100,136 241.1500 USD
ORD Sale 5 240.7900 USD
ORD Sale 10 240.9800 USD
ORD Sale 22 240.8700 USD
ORD Sale 41 240.5634 USD
ORD Sale 94 240.8201 USD
ORD Sale 100 240.9200 USD
ORD Sale 120 240.8100 USD
ORD Sale 166 240.6900 USD
ORD Sale 180 241.0348 USD
ORD Sale 191 240.1600 USD
ORD Sale 195 241.0021 USD
ORD Sale 200 241.0250 USD
ORD Sale 204 241.1745 USD
ORD Sale 293 240.9533 USD
ORD Sale 300 240.8233 USD
ORD Sale 500 241.2030 USD
ORD Sale 700 241.2742 USD
ORD Sale 860 240.9516 USD
ORD Sale 1,775 241.1012 USD
ORD Sale 3,100 241.0791 USD
ORD Sale 3,150 241.2656 USD
ORD Sale 8,060 240.9614 USD
ORD Sale 71,313 241.1258 USD
ORD Sale 100,971 241.1500 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: 25 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 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

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 Call Options Purchased 300 250.0000 American 16 Sep 2016
ORD Put Options Written 100 230.0000 American 20 May 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 -1,000 220.0000 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 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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 523063
Time of Receipt (offset from UTC): 20160425T105927+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC