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 OFFEROR
(e) Date position held/dealing undertaken: 03 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: 41,749 0.03% 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% 130,800 0.08%
           
 
TOTAL: 42,749 0.03% 130,800 0.08%

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 63.6100 USD
USD 0.00001 Class A common Purchase 100 63.9300 USD
USD 0.00001 Class A common Purchase 100 63.5900 USD
USD 0.00001 Class A common Purchase 200 63.9925 USD
USD 0.00001 Class A common Purchase 200 64.0000 USD
USD 0.00001 Class A common Purchase 402 63.9785 USD
USD 0.00001 Class A common Purchase 500 63.7440 USD
USD 0.00001 Class A common Purchase 946 63.8010 USD
USD 0.00001 Class A common Purchase 1,063 63.6934 USD
USD 0.00001 Class A common Purchase 1,564 63.6076 USD
USD 0.00001 Class A common Purchase 2,000 63.9270 USD
USD 0.00001 Class A common Purchase 2,500 63.9837 USD
USD 0.00001 Class A common Purchase 3,400 63.7912 USD
USD 0.00001 Class A common Purchase 4,791 63.6571 USD
USD 0.00001 Class A common Purchase 4,889 63.5818 USD
USD 0.00001 Class A common Purchase 4,938 63.6336 USD
USD 0.00001 Class A common Purchase 6,823 63.7181 USD
USD 0.00001 Class A common Purchase 9,400 63.8210 USD
USD 0.00001 Class A common Purchase 14,258 63.6860 USD
USD 0.00001 Class A common Purchase 15,655 63.8332 USD
USD 0.00001 Class A common Purchase 15,903 64.0400 USD
USD 0.00001 Class A common Purchase 16,161 63.6149 USD
USD 0.00001 Class A common Purchase 20,413 63.7424 USD
USD 0.00001 Class A common Purchase 22,900 63.6000 USD
USD 0.00001 Class A common Purchase 27,139 63.8213 USD
USD 0.00001 Class A common Sale 100 64.1300 USD
USD 0.00001 Class A common Sale 100 63.9200 USD
USD 0.00001 Class A common Sale 100 63.9400 USD
USD 0.00001 Class A common Sale 100 63.6400 USD
USD 0.00001 Class A common Sale 100 63.6000 USD
USD 0.00001 Class A common Sale 150 63.6700 USD
USD 0.00001 Class A common Sale 200 63.8750 USD
USD 0.00001 Class A common Sale 350 63.7600 USD
USD 0.00001 Class A common Sale 400 63.8650 USD
USD 0.00001 Class A common Sale 400 63.9550 USD
USD 0.00001 Class A common Sale 400 63.9650 USD
USD 0.00001 Class A common Sale 402 63.9785 USD
USD 0.00001 Class A common Sale 476 63.5652 USD
USD 0.00001 Class A common Sale 500 63.7270 USD
USD 0.00001 Class A common Sale 500 63.8420 USD
USD 0.00001 Class A common Sale 800 63.9250 USD
USD 0.00001 Class A common Sale 1,100 63.7790 USD
USD 0.00001 Class A common Sale 1,355 63.8584 USD
USD 0.00001 Class A common Sale 2,000 63.9270 USD
USD 0.00001 Class A common Sale 2,000 63.6594 USD
USD 0.00001 Class A common Sale 2,000 63.7133 USD
USD 0.00001 Class A common Sale 3,300 63.7181 USD
USD 0.00001 Class A common Sale 3,400 63.8704 USD
USD 0.00001 Class A common Sale 3,400 63.8955 USD
USD 0.00001 Class A common Sale 4,100 63.9564 USD
USD 0.00001 Class A common Sale 6,900 63.8747 USD
USD 0.00001 Class A common Sale 13,108 63.6366 USD
USD 0.00001 Class A common Sale 16,373 64.0400 USD
USD 0.00001 Class A common Sale 31,691 63.6010 USD
USD 0.00001 Class A common Sale 80,540 63.7378 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 1,300 65 USD American 18 Aug 2017 1.6076 USD
USD 0.00001 Class A common Call Options Selling 100 65 USD American 17 Nov 2017 3.8000 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: 4 Aug 2017
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.

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 -12,100 65.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -37,700 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: 604275
Time of Receipt (offset from UTC): 20170804T104051+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC