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 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: | 02 May 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: | 106,796 | 0.09% | 8,299 | 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: | 14,800 | 0.01% | 11,400 | 0.01% | |||||||
| (4) | |||||||||||
| TOTAL: | 125,268 | 0.11% | 102,699 | 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 | 1 | 243.6000 USD | ||||
| ORD | Purchase | 1 | 243.1800 USD | ||||
| ORD | Purchase | 3 | 240.3100 USD | ||||
| ORD | Purchase | 4 | 243.6600 USD | ||||
| ORD | Purchase | 5 | 244.4003 USD | ||||
| ORD | Purchase | 19 | 243.8000 USD | ||||
| ORD | Purchase | 30 | 243.6300 USD | ||||
| ORD | Purchase | 30 | 243.5900 USD | ||||
| ORD | Purchase | 40 | 244.3000 USD | ||||
| ORD | Purchase | 46 | 244.3200 USD | ||||
| ORD | Purchase | 49 | 244.3714 USD | ||||
| ORD | Purchase | 49 | 244.3136 USD | ||||
| ORD | Purchase | 125 | 244.3852 USD | ||||
| ORD | Purchase | 181 | 240.6828 USD | ||||
| ORD | Purchase | 195 | 244.2360 USD | ||||
| ORD | Purchase | 200 | 244.1800 USD | ||||
| ORD | Purchase | 200 | 244.3075 USD | ||||
| ORD | Purchase | 246 | 244.3900 USD | ||||
| ORD | Purchase | 348 | 244.3577 USD | ||||
| ORD | Purchase | 600 | 243.7679 USD | ||||
| ORD | Purchase | 700 | 243.7900 USD | ||||
| ORD | Purchase | 866 | 240.8137 USD | ||||
| ORD | Purchase | 1,500 | 243.5073 USD | ||||
| ORD | Purchase | 1,800 | 242.7833 USD | ||||
| ORD | Purchase | 1,961 | 242.2781 USD | ||||
| ORD | Purchase | 1,971 | 244.6470 USD | ||||
| ORD | Purchase | 2,403 | 242.5945 USD | ||||
| ORD | Purchase | 3,034 | 244.5398 USD | ||||
| ORD | Purchase | 4,335 | 244.3175 USD | ||||
| ORD | Purchase | 4,700 | 243.9103 USD | ||||
| ORD | Purchase | 4,951 | 241.5691 USD | ||||
| ORD | Purchase | 6,971 | 243.7657 USD | ||||
| ORD | Purchase | 7,783 | 244.1268 USD | ||||
| ORD | Purchase | 141,746 | 244.6800 USD | ||||
| ORD | Sale | 5 | 243.9000 USD | ||||
| ORD | Sale | 5 | 240.5900 USD | ||||
| ORD | Sale | 6 | 240.3900 USD | ||||
| ORD | Sale | 16 | 240.5268 USD | ||||
| ORD | Sale | 19 | 243.8000 USD | ||||
| ORD | Sale | 28 | 243.9500 USD | ||||
| ORD | Sale | 30 | 243.6300 USD | ||||
| ORD | Sale | 31 | 243.6154 USD | ||||
| ORD | Sale | 41 | 244.5600 USD | ||||
| ORD | Sale | 45 | 244.4346 USD | ||||
| ORD | Sale | 49 | 244.3136 USD | ||||
| ORD | Sale | 65 | 244.2800 USD | ||||
| ORD | Sale | 84 | 240.3000 USD | ||||
| ORD | Sale | 100 | 244.0100 USD | ||||
| ORD | Sale | 100 | 244.3800 USD | ||||
| ORD | Sale | 109 | 244.0649 USD | ||||
| ORD | Sale | 110 | 244.3336 USD | ||||
| ORD | Sale | 135 | 244.2814 USD | ||||
| ORD | Sale | 160 | 244.0450 USD | ||||
| ORD | Sale | 190 | 244.2915 USD | ||||
| ORD | Sale | 195 | 244.2360 USD | ||||
| ORD | Sale | 195 | 244.3900 USD | ||||
| ORD | Sale | 200 | 243.9100 USD | ||||
| ORD | Sale | 200 | 244.1800 USD | ||||
| ORD | Sale | 200 | 242.3500 USD | ||||
| ORD | Sale | 200 | 244.3050 USD | ||||
| ORD | Sale | 203 | 244.0554 USD | ||||
| ORD | Sale | 217 | 244.5370 USD | ||||
| ORD | Sale | 235 | 243.8638 USD | ||||
| ORD | Sale | 247 | 244.1296 USD | ||||
| ORD | Sale | 296 | 244.4570 USD | ||||
| ORD | Sale | 300 | 244.5733 USD | ||||
| ORD | Sale | 304 | 243.6600 USD | ||||
| ORD | Sale | 364 | 244.3682 USD | ||||
| ORD | Sale | 441 | 244.2771 USD | ||||
| ORD | Sale | 444 | 243.9490 USD | ||||
| ORD | Sale | 500 | 244.5260 USD | ||||
| ORD | Sale | 573 | 244.6828 USD | ||||
| ORD | Sale | 705 | 243.3346 USD | ||||
| ORD | Sale | 725 | 243.3762 USD | ||||
| ORD | Sale | 767 | 244.6825 USD | ||||
| ORD | Sale | 779 | 243.7812 USD | ||||
| ORD | Sale | 855 | 244.0412 USD | ||||
| ORD | Sale | 1,300 | 241.4082 USD | ||||
| ORD | Sale | 1,480 | 244.4041 USD | ||||
| ORD | Sale | 1,504 | 244.3692 USD | ||||
| ORD | Sale | 1,600 | 244.3195 USD | ||||
| ORD | Sale | 1,600 | 244.5857 USD | ||||
| ORD | Sale | 1,600 | 244.3254 USD | ||||
| ORD | Sale | 1,700 | 243.9213 USD | ||||
| ORD | Sale | 1,900 | 243.8906 USD | ||||
| ORD | Sale | 2,000 | 243.5660 USD | ||||
| ORD | Sale | 2,087 | 243.8932 USD | ||||
| ORD | Sale | 2,407 | 243.9555 USD | ||||
| ORD | Sale | 2,500 | 243.9549 USD | ||||
| ORD | Sale | 3,076 | 244.6760 USD | ||||
| ORD | Sale | 4,250 | 243.5169 USD | ||||
| ORD | Sale | 8,307 | 241.7552 USD | ||||
| ORD | Sale | 140,750 | 244.6800 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 | Product | Writing, | Number | Exercise | Type | Expiry | Option | ||||||||
| of | description | purchasing, | of | price | date | money | |||||||||
| relevant | selling, | securities | per unit | paid/ | |||||||||||
| security | varying etc | to which | received | ||||||||||||
| option | per unit | ||||||||||||||
| relates | |||||||||||||||
| ORD | Call Options | Purchasing | 1,500 | 240 USD | American | 17 Jun 2016 | 10.0000 USD |
(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: | 3 May 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 | 2,600 | 230.0000 | American | 20 May 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 | 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 | 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 | Written | -500 | 240.0000 | American | 20 May 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 | 1,600 | 240.0000 | American | 17 Jun 2016 | |||||||
| ORD | Call Options | Purchased | 900 | 250.0000 | American | 17 Jun 2016 | |||||||
| ORD | Call Options | Purchased | 300 | 260.0000 | American | 16 Sep 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.