Form 8 (DD) - VANTIV

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 VANTIV INC
  relevant securities this form relates:  
(d) Status of person making the disclosure: CONNECTED TO THE OFFEREE
(e) Date position held/dealing undertaken: 11 July 2017
(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:       USD 0.00001 Class A common            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 5,460 0.00% 0 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 10,200 0.01% 8,900 0.01%
           
(4)
TOTAL: 15,660 0.01% 8,900 0.01%

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 0.00001 Class A common Purchase 26 62.6600 USD
USD 0.00001 Class A common Purchase 73 62.5100 USD
USD 0.00001 Class A common Purchase 100 62.7100 USD
USD 0.00001 Class A common Purchase 100 62.7000 USD
USD 0.00001 Class A common Purchase 300 62.4850 USD
USD 0.00001 Class A common Purchase 373 62.5123 USD
USD 0.00001 Class A common Purchase 600 62.5024 USD
USD 0.00001 Class A common Purchase 600 62.3400 USD
USD 0.00001 Class A common Purchase 800 62.5050 USD
USD 0.00001 Class A common Purchase 1,000 62.1610 USD
USD 0.00001 Class A common Purchase 1,535 61.8523 USD
USD 0.00001 Class A common Purchase 2,200 62.3752 USD
USD 0.00001 Class A common Purchase 2,200 62.2145 USD
USD 0.00001 Class A common Purchase 3,479 62.2711 USD
USD 0.00001 Class A common Purchase 3,803 62.2283 USD
USD 0.00001 Class A common Purchase 4,610 62.5672 USD
USD 0.00001 Class A common Purchase 5,897 62.1192 USD
USD 0.00001 Class A common Purchase 8,500 62.2968 USD
USD 0.00001 Class A common Purchase 12,100 62.3947 USD
USD 0.00001 Class A common Purchase 12,800 62.2321 USD
USD 0.00001 Class A common Purchase 20,980 62.3992 USD
USD 0.00001 Class A common Purchase 29,200 62.5543 USD
USD 0.00001 Class A common Purchase 55,000 62.5332 USD
USD 0.00001 Class A common Purchase 80,751 62.5459 USD
USD 0.00001 Class A common Sale 66 61.8700 USD
USD 0.00001 Class A common Sale 100 61.7400 USD
USD 0.00001 Class A common Sale 100 62.4700 USD
USD 0.00001 Class A common Sale 100 61.9500 USD
USD 0.00001 Class A common Sale 100 61.8701 USD
USD 0.00001 Class A common Sale 200 62.5125 USD
USD 0.00001 Class A common Sale 239 62.4489 USD
USD 0.00001 Class A common Sale 318 62.2566 USD
USD 0.00001 Class A common Sale 331 62.4951 USD
USD 0.00001 Class A common Sale 400 62.3137 USD
USD 0.00001 Class A common Sale 489 62.6989 USD
USD 0.00001 Class A common Sale 500 62.3581 USD
USD 0.00001 Class A common Sale 500 62.5080 USD
USD 0.00001 Class A common Sale 600 61.7533 USD
USD 0.00001 Class A common Sale 700 62.5642 USD
USD 0.00001 Class A common Sale 700 62.5507 USD
USD 0.00001 Class A common Sale 735 61.9352 USD
USD 0.00001 Class A common Sale 800 61.8875 USD
USD 0.00001 Class A common Sale 886 62.4850 USD
USD 0.00001 Class A common Sale 1,403 62.5039 USD
USD 0.00001 Class A common Sale 1,870 62.5100 USD
USD 0.00001 Class A common Sale 2,300 62.6773 USD
USD 0.00001 Class A common Sale 3,361 62.4744 USD
USD 0.00001 Class A common Sale 7,100 62.5316 USD
USD 0.00001 Class A common Sale 8,600 62.5525 USD
USD 0.00001 Class A common Sale 9,273 62.3905 USD
USD 0.00001 Class A common Sale 12,900 62.1709 USD
USD 0.00001 Class A common Sale 13,114 62.5133 USD
USD 0.00001 Class A common Sale 19,400 62.6051 USD
USD 0.00001 Class A common Sale 20,500 62.3803 USD
USD 0.00001 Class A common Sale 25,820 62.5711 USD
USD 0.00001 Class A common Sale 28,000 62.5346 USD
USD 0.00001 Class A common Sale 45,700 62.5290 USD
USD 0.00001 Class A common Sale 50,000 62.3666 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”

(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: 12 Jul 2017
Contact name: Jay Supaya
Telephone number: 0207 773 0635

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 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 VANTIV INC
relevant securities this from relates:  

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class   Product   Writing,   Number   Exercise
of description purchasing, of price
relevant selling, securities per unit
security varying etc to which
option
      relates  
USD 0.00001 Class A common Put Options Purchased -400 55.0000
USD 0.00001 Class A common Put Options Written 9,100 60.0000
USD 0.00001 Class A common Call Options Written -1,300 60.0000
USD 0.00001 Class A common Put Options Written 600 60.0000
USD 0.00001 Class A common Call Options Written -600 70.0000
USD 0.00001 Class A common Call Options Written -3,200 65.0000
USD 0.00001 Class A common Put Options Purchased -3,300 60.0000
USD 0.00001 Class A common Call Options Purchased 500 60.0000
USD 0.00001 Class A common Put Options Purchased -100 45.0000

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: 587485
Time of Receipt (offset from UTC): 20170712T110936+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC