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: 04 October 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: 4,211 0.00% 1,362 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 8,200 0.01% 18,200 0.01%
           
 
TOTAL: 12,411 0.01% 19,562 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 30 70.1800 USD
USD 0.00001 Class A common Purchase 100 70.2700 USD
USD 0.00001 Class A common Purchase 100 70.7100 USD
USD 0.00001 Class A common Purchase 107 70.3100 USD
USD 0.00001 Class A common Purchase 200 70.2800 USD
USD 0.00001 Class A common Purchase 500 70.4018 USD
USD 0.00001 Class A common Purchase 600 71.0016 USD
USD 0.00001 Class A common Purchase 600 71.0516 USD
USD 0.00001 Class A common Purchase 1,593 70.3739 USD
USD 0.00001 Class A common Purchase 2,048 70.4570 USD
USD 0.00001 Class A common Purchase 2,100 70.9861 USD
USD 0.00001 Class A common Purchase 3,000 70.2945 USD
USD 0.00001 Class A common Purchase 3,088 70.2742 USD
USD 0.00001 Class A common Purchase 5,800 70.8057 USD
USD 0.00001 Class A common Purchase 5,844 70.5584 USD
USD 0.00001 Class A common Purchase 6,500 70.8155 USD
USD 0.00001 Class A common Purchase 10,200 70.7395 USD
USD 0.00001 Class A common Purchase 19,769 70.5310 USD
USD 0.00001 Class A common Purchase 27,421 70.5625 USD
USD 0.00001 Class A common Sale 30 70.1800 USD
USD 0.00001 Class A common Sale 57 71.0000 USD
USD 0.00001 Class A common Sale 200 70.2800 USD
USD 0.00001 Class A common Sale 300 70.4050 USD
USD 0.00001 Class A common Sale 342 70.9900 USD
USD 0.00001 Class A common Sale 500 70.4240 USD
USD 0.00001 Class A common Sale 1,000 71.0060 USD
USD 0.00001 Class A common Sale 1,323 70.2400 USD
USD 0.00001 Class A common Sale 1,765 70.3000 USD
USD 0.00001 Class A common Sale 1,800 70.3888 USD
USD 0.00001 Class A common Sale 1,806 70.6940 USD
USD 0.00001 Class A common Sale 2,100 70.9861 USD
USD 0.00001 Class A common Sale 2,100 70.7828 USD
USD 0.00001 Class A common Sale 2,700 70.7066 USD
USD 0.00001 Class A common Sale 2,700 70.7387 USD
USD 0.00001 Class A common Sale 3,555 71.0100 USD
USD 0.00001 Class A common Sale 3,743 70.6886 USD
USD 0.00001 Class A common Sale 4,400 70.8311 USD
USD 0.00001 Class A common Sale 5,800 70.8433 USD
USD 0.00001 Class A common Sale 56,776 70.5276 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 70 USD American 16 Feb 2018 4.6800 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: 5 Oct 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 Written 200 70.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -100 70.0000 American 17 Nov 2017
USD 0.00001 Class A common Put Options Written 2,800 70.0000 American 20 Oct 2017
USD 0.00001 Class A common Put Options Written 2,200 60.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Purchased 2,000 60.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -1,700 75.0000 American 17 Nov 2017
USD 0.00001 Class A common Put Options Purchased -100 35.0000 American 16 Feb 2018
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 -200 85.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -200 80.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -600 75.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -11,600 65.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Purchased 600 65.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Purchased 400 60.0000 American 17 Nov 2017
USD 0.00001 Class A common Put Options Purchased -1,600 65.0000 American 17 Nov 2017
USD 0.00001 Class A common Put Options Purchased -2,000 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: 633415
Time of Receipt (offset from UTC): 20171005T112408+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC