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: 01 August 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: 34,555 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: 1,000 0.00% 112,600 0.07%
           
(4)
TOTAL: 35,555 0.02% 112,600 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 63.4800 USD
USD 0.00001 Class A common Purchase 200 63.6100 USD
USD 0.00001 Class A common Purchase 200 63.5800 USD
USD 0.00001 Class A common Purchase 300 63.5300 USD
USD 0.00001 Class A common Purchase 699 63.4971 USD
USD 0.00001 Class A common Purchase 700 63.4857 USD
USD 0.00001 Class A common Purchase 755 63.5106 USD
USD 0.00001 Class A common Purchase 800 63.4806 USD
USD 0.00001 Class A common Purchase 830 63.4977 USD
USD 0.00001 Class A common Purchase 1,154 63.5376 USD
USD 0.00001 Class A common Purchase 1,234 63.5070 USD
USD 0.00001 Class A common Purchase 1,400 63.5904 USD
USD 0.00001 Class A common Purchase 1,800 63.5591 USD
USD 0.00001 Class A common Purchase 2,200 63.5500 USD
USD 0.00001 Class A common Purchase 2,300 63.5126 USD
USD 0.00001 Class A common Purchase 3,133 63.4802 USD
USD 0.00001 Class A common Purchase 4,294 63.5699 USD
USD 0.00001 Class A common Purchase 4,600 63.5161 USD
USD 0.00001 Class A common Purchase 4,800 63.5179 USD
USD 0.00001 Class A common Purchase 5,156 63.5507 USD
USD 0.00001 Class A common Purchase 5,424 63.5172 USD
USD 0.00001 Class A common Purchase 6,500 63.5282 USD
USD 0.00001 Class A common Purchase 6,500 63.5552 USD
USD 0.00001 Class A common Purchase 6,500 63.5589 USD
USD 0.00001 Class A common Purchase 7,600 63.5494 USD
USD 0.00001 Class A common Purchase 10,500 63.5168 USD
USD 0.00001 Class A common Purchase 12,397 63.5359 USD
USD 0.00001 Class A common Purchase 14,159 63.4661 USD
USD 0.00001 Class A common Purchase 15,116 63.5192 USD
USD 0.00001 Class A common Purchase 15,534 63.5377 USD
USD 0.00001 Class A common Sale 3 63.5101 USD
USD 0.00001 Class A common Sale 100 63.4550 USD
USD 0.00001 Class A common Sale 100 63.4500 USD
USD 0.00001 Class A common Sale 100 63.6350 USD
USD 0.00001 Class A common Sale 100 63.6100 USD
USD 0.00001 Class A common Sale 200 63.5100 USD
USD 0.00001 Class A common Sale 200 63.5800 USD
USD 0.00001 Class A common Sale 300 63.5666 USD
USD 0.00001 Class A common Sale 400 63.5150 USD
USD 0.00001 Class A common Sale 600 63.5950 USD
USD 0.00001 Class A common Sale 900 63.5244 USD
USD 0.00001 Class A common Sale 900 63.5761 USD
USD 0.00001 Class A common Sale 1,500 63.5846 USD
USD 0.00001 Class A common Sale 2,200 63.5459 USD
USD 0.00001 Class A common Sale 2,300 63.5566 USD
USD 0.00001 Class A common Sale 2,300 63.5672 USD
USD 0.00001 Class A common Sale 2,700 63.5500 USD
USD 0.00001 Class A common Sale 4,794 63.5701 USD
USD 0.00001 Class A common Sale 5,000 63.5560 USD
USD 0.00001 Class A common Sale 14,700 63.5259 USD
USD 0.00001 Class A common Sale 39,530 63.4962 USD
USD 0.00001 Class A common Sale 57,161 63.5300 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        
USD 0.00001 Class A common Call Options Selling 200 60 USD American 17 Nov 2017 6.1000 USD
USD 0.00001 Class A common Call Options Selling 3,200 65 USD American 17 Nov 2017 3.5000 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: 2 Aug 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 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 -600 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 -12,000 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 300 60.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -100 65.0000 American 16 Feb 2018
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.

Short Name: BARCLAYS PLC
Category Code: DCC
Sequence Number: 599359
Time of Receipt (offset from UTC): 20170802T110027+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC