Form 8 (DD) - VANTIV 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 VANTIV INC
  relevant securities this form relates:  
(d) Status of person making the disclosure: CONNECTED TO OFFEREE
(e) Date position held/dealing undertaken: 25 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: 30,217 0.02% 0 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,200 0.00% 108,800 0.07%
           

 

TOTAL: 31,417 0.02% 108,800 0.07%

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 64.1400 USD
USD 0.00001 Class A common Purchase 100 64.0200 USD
USD 0.00001 Class A common Purchase 190 64.7410 USD
USD 0.00001 Class A common Purchase 195 64.7450 USD
USD 0.00001 Class A common Purchase 199 63.9500 USD
USD 0.00001 Class A common Purchase 200 64.0500 USD
USD 0.00001 Class A common Purchase 200 64.7100 USD
USD 0.00001 Class A common Purchase 200 64.7000 USD
USD 0.00001 Class A common Purchase 200 64.7225 USD
USD 0.00001 Class A common Purchase 201 64.0097 USD
USD 0.00001 Class A common Purchase 209 64.6700 USD
USD 0.00001 Class A common Purchase 218 64.2242 USD
USD 0.00001 Class A common Purchase 300 64.7633 USD
USD 0.00001 Class A common Purchase 366 64.7637 USD
USD 0.00001 Class A common Purchase 400 64.6925 USD
USD 0.00001 Class A common Purchase 400 64.7425 USD
USD 0.00001 Class A common Purchase 400 64.7250 USD
USD 0.00001 Class A common Purchase 424 64.2445 USD
USD 0.00001 Class A common Purchase 484 64.4748 USD
USD 0.00001 Class A common Purchase 500 64.2700 USD
USD 0.00001 Class A common Purchase 500 64.7580 USD
USD 0.00001 Class A common Purchase 596 64.5536 USD
USD 0.00001 Class A common Purchase 600 64.2650 USD
USD 0.00001 Class A common Purchase 900 64.3688 USD
USD 0.00001 Class A common Purchase 1,050 64.5104 USD
USD 0.00001 Class A common Purchase 1,104 64.3050 USD
USD 0.00001 Class A common Purchase 1,400 64.5575 USD
USD 0.00001 Class A common Purchase 1,510 64.3404 USD
USD 0.00001 Class A common Purchase 1,703 64.6800 USD
USD 0.00001 Class A common Purchase 2,490 64.7439 USD
USD 0.00001 Class A common Purchase 2,700 64.7262 USD
USD 0.00001 Class A common Purchase 2,829 64.5557 USD
USD 0.00001 Class A common Purchase 3,000 64.5746 USD
USD 0.00001 Class A common Purchase 3,002 64.6430 USD
USD 0.00001 Class A common Purchase 3,200 64.7343 USD
USD 0.00001 Class A common Purchase 4,100 64.5892 USD
USD 0.00001 Class A common Purchase 4,200 64.6436 USD
USD 0.00001 Class A common Purchase 4,235 64.5991 USD
USD 0.00001 Class A common Purchase 6,449 64.7210 USD
USD 0.00001 Class A common Purchase 15,400 64.4184 USD
USD 0.00001 Class A common Purchase 16,000 64.3922 USD
USD 0.00001 Class A common Sale 400 64.0518 USD
USD 0.00001 Class A common Sale 424 64.2445 USD
USD 0.00001 Class A common Sale 809 64.6885 USD
USD 0.00001 Class A common Sale 1,579 64.7495 USD
USD 0.00001 Class A common Sale 1,703 64.6800 USD
USD 0.00001 Class A common Sale 3,002 64.6430 USD
USD 0.00001 Class A common Sale 4,800 64.5204 USD
USD 0.00001 Class A common Sale 6,310 64.4649 USD
USD 0.00001 Class A common Sale 7,100 64.3500 USD
USD 0.00001 Class A common Sale 8,500 64.4436 USD
USD 0.00001 Class A common Sale 12,014 64.5578 USD
USD 0.00001 Class A common Sale 15,300 64.4434 USD
USD 0.00001 Class A common Sale 20,113 64.6605 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: 26 Jul 2017
Contact name: Jay Supaya
Telephone number: 020 7773 0635

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 Call Options Written -1,200 70.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -1,500 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 -500 75.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Purchased 100 55.0000 American 18 Aug 2017
USD 0.00001 Class A common Call Options Written -100 70.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -8,400 65.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -19,600 65.0000 American 18 Aug 2017
USD 0.00001 Class A common Call Options Written -71,700 70.0000 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 -2,100 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.

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.

Short Name: BARCLAYS PLC
Category Code: DCC
Sequence Number: 591867
Time of Receipt (offset from UTC): 20170726T103522+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC