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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

VANTIV INC

(d) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

 

CONNECTED TO OFFEREE

(e) Date dealing undertaken:  

4 August 2017

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

NO

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   0    
Interests     Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 39,655 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% 131,000 0.08%
           
(4)
TOTAL: 40,655 0.03% 131,000 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 35 64.0400 USD
USD 0.00001 Class A common Purchase 100 63.8100 USD
USD 0.00001 Class A common Purchase 100 64.1800 USD
USD 0.00001 Class A common Purchase 150 64.1166 USD
USD 0.00001 Class A common Purchase 200 64.2900 USD
USD 0.00001 Class A common Purchase 375 63.9313 USD
USD 0.00001 Class A common Purchase 390 64.0300 USD
USD 0.00001 Class A common Purchase 406 64.1976 USD
USD 0.00001 Class A common Purchase 471 63.8884 USD
USD 0.00001 Class A common Purchase 1,300 64.0015 USD
USD 0.00001 Class A common Purchase 1,840 64.0256 USD
USD 0.00001 Class A common Purchase 2,007 64.0312 USD
USD 0.00001 Class A common Purchase 2,041 64.0610 USD
USD 0.00001 Class A common Purchase 2,100 64.0052 USD
USD 0.00001 Class A common Purchase 2,100 63.9804 USD
USD 0.00001 Class A common Purchase 2,501 64.0056 USD
USD 0.00001 Class A common Purchase 3,525 64.0873 USD
USD 0.00001 Class A common Purchase 4,100 63.9956 USD
USD 0.00001 Class A common Purchase 4,100 63.9614 USD
USD 0.00001 Class A common Purchase 5,258 64.0040 USD
USD 0.00001 Class A common Purchase 6,553 63.9531 USD
USD 0.00001 Class A common Purchase 6,600 64.0260 USD
USD 0.00001 Class A common Purchase 8,500 63.9916 USD
USD 0.00001 Class A common Purchase 8,800 64.0169 USD
USD 0.00001 Class A common Purchase 9,427 64.0054 USD
USD 0.00001 Class A common Sale 35 64.0400 USD
USD 0.00001 Class A common Sale 100 63.9900 USD
USD 0.00001 Class A common Sale 100 63.9650 USD
USD 0.00001 Class A common Sale 100 64.0200 USD
USD 0.00001 Class A common Sale 100 63.9700 USD
USD 0.00001 Class A common Sale 199 64.0173 USD
USD 0.00001 Class A common Sale 200 64.2900 USD
USD 0.00001 Class A common Sale 286 63.9984 USD
USD 0.00001 Class A common Sale 399 64.0300 USD
USD 0.00001 Class A common Sale 400 63.8550 USD
USD 0.00001 Class A common Sale 406 64.1976 USD
USD 0.00001 Class A common Sale 471 63.8884 USD
USD 0.00001 Class A common Sale 496 63.9846 USD
USD 0.00001 Class A common Sale 500 64.0160 USD
USD 0.00001 Class A common Sale 501 64.0100 USD
USD 0.00001 Class A common Sale 502 63.9901 USD
USD 0.00001 Class A common Sale 511 63.9602 USD
USD 0.00001 Class A common Sale 600 64.0116 USD
USD 0.00001 Class A common Sale 1,200 64.0025 USD
USD 0.00001 Class A common Sale 1,600 64.0909 USD
USD 0.00001 Class A common Sale 2,455 64.1668 USD
USD 0.00001 Class A common Sale 3,800 64.0771 USD
USD 0.00001 Class A common Sale 6,700 63.9992 USD
USD 0.00001 Class A common Sale 7,100 63.9811 USD
USD 0.00001 Class A common Sale 18,659 64.0043 USD
USD 0.00001 Class A common Sale 27,653 63.9859 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 100 65 USD American 18 Aug 2017 1.8500 USD
USD 0.00001 Class A common Call Options Selling 100 65 USD American 17 Nov 2017 3.7000 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:  

7 August 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

Full name of person making disclosure:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

VANTIV INC

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 -12,200 65.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -37,800 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: 605960
Time of Receipt (offset from UTC): 20170807T110958+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC