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: 12 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: 1,404 0.00% 900 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%
           
 
TOTAL: 11,604 0.01% 9,800 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 100 63.0300 USD
USD 0.00001 Class A common Purchase 100 63.0200 USD
USD 0.00001 Class A common Purchase 137 63.0732 USD
USD 0.00001 Class A common Purchase 200 62.6300 USD
USD 0.00001 Class A common Purchase 200 62.8625 USD
USD 0.00001 Class A common Purchase 200 62.9400 USD
USD 0.00001 Class A common Purchase 300 63.0566 USD
USD 0.00001 Class A common Purchase 483 63.0613 USD
USD 0.00001 Class A common Purchase 600 63.0512 USD
USD 0.00001 Class A common Purchase 700 63.0378 USD
USD 0.00001 Class A common Purchase 700 62.9985 USD
USD 0.00001 Class A common Purchase 700 63.0239 USD
USD 0.00001 Class A common Purchase 800 62.9525 USD
USD 0.00001 Class A common Purchase 900 62.9955 USD
USD 0.00001 Class A common Purchase 900 62.9683 USD
USD 0.00001 Class A common Purchase 1,096 63.0120 USD
USD 0.00001 Class A common Purchase 1,544 62.9399 USD
USD 0.00001 Class A common Purchase 1,994 62.8924 USD
USD 0.00001 Class A common Purchase 2,786 62.9354 USD
USD 0.00001 Class A common Purchase 4,500 63.0164 USD
USD 0.00001 Class A common Purchase 4,700 63.0139 USD
USD 0.00001 Class A common Purchase 5,100 63.0187 USD
USD 0.00001 Class A common Purchase 5,183 62.9597 USD
USD 0.00001 Class A common Purchase 5,252 62.9281 USD
USD 0.00001 Class A common Purchase 7,020 62.9307 USD
USD 0.00001 Class A common Purchase 8,300 62.8885 USD
USD 0.00001 Class A common Purchase 9,883 62.8805 USD
USD 0.00001 Class A common Purchase 10,297 63.0000 USD
USD 0.00001 Class A common Purchase 10,765 63.0117 USD
USD 0.00001 Class A common Purchase 18,100 62.9439 USD
USD 0.00001 Class A common Purchase 18,200 63.0151 USD
USD 0.00001 Class A common Purchase 26,700 62.8743 USD
USD 0.00001 Class A common Purchase 27,300 62.8513 USD
USD 0.00001 Class A common Sale 10 62.8100 USD
USD 0.00001 Class A common Sale 93 62.9000 USD
USD 0.00001 Class A common Sale 100 62.6500 USD
USD 0.00001 Class A common Sale 100 62.8200 USD
USD 0.00001 Class A common Sale 166 63.0100 USD
USD 0.00001 Class A common Sale 200 62.6300 USD
USD 0.00001 Class A common Sale 507 63.0004 USD
USD 0.00001 Class A common Sale 600 63.0291 USD
USD 0.00001 Class A common Sale 700 62.8842 USD
USD 0.00001 Class A common Sale 700 62.9100 USD
USD 0.00001 Class A common Sale 800 62.9293 USD
USD 0.00001 Class A common Sale 900 63.0377 USD
USD 0.00001 Class A common Sale 1,139 62.9060 USD
USD 0.00001 Class A common Sale 1,400 62.8953 USD
USD 0.00001 Class A common Sale 1,564 63.0105 USD
USD 0.00001 Class A common Sale 1,737 63.0485 USD
USD 0.00001 Class A common Sale 2,000 62.8490 USD
USD 0.00001 Class A common Sale 2,300 62.9052 USD
USD 0.00001 Class A common Sale 2,566 62.9171 USD
USD 0.00001 Class A common Sale 3,880 62.9042 USD
USD 0.00001 Class A common Sale 4,200 62.9790 USD
USD 0.00001 Class A common Sale 4,400 62.9961 USD
USD 0.00001 Class A common Sale 5,000 62.8792 USD
USD 0.00001 Class A common Sale 5,097 62.9640 USD
USD 0.00001 Class A common Sale 11,327 63.0000 USD
USD 0.00001 Class A common Sale 13,300 62.7797 USD
USD 0.00001 Class A common Sale 15,300 62.9355 USD
USD 0.00001 Class A common Sale 25,300 62.8447 USD
USD 0.00001 Class A common Sale 30,110 62.9198 USD
USD 0.00001 Class A common Sale 45,200 63.0186 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: 13 Jul 2017
Contact name: Jay Supaya
Telephone number: 020 7773 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   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
USD 0.00001 Class A common Put Options Purchased -400 55.0000 American 18 Aug 2017
USD 0.00001 Class A common Put Options Written 9,100 60.0000 American 21 Jul 2017
USD 0.00001 Class A common Call Options Written -1,300 60.0000 American 18 Aug 2017
USD 0.00001 Class A common Put Options Written 600 60.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -600 70.0000 American 18 Aug 2017
USD 0.00001 Class A common Call Options Written -3,200 65.0000 American 18 Aug 2017
USD 0.00001 Class A common Put Options Purchased -3,300 60.0000 American 18 Aug 2017
USD 0.00001 Class A common Call Options Purchased 500 60.0000 American 17 Nov 2017
USD 0.00001 Class A common Put Options Purchased -100 45.0000 American 16 Feb 2018

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: 587783
Time of Receipt (offset from UTC): 20170713T105519+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC