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:  

6 Oct 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            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,511 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% 18,300 0.01%
           
(4)
TOTAL: 12,711 0.01% 19,662 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 100 70.8000 USD
USD 0.00001 Class A common Purchase 100 70.7900 USD
USD 0.00001 Class A common Purchase 100 70.5900 USD
USD 0.00001 Class A common Purchase 200 70.6900 USD
USD 0.00001 Class A common Purchase 200 70.7650 USD
USD 0.00001 Class A common Purchase 200 70.7350 USD
USD 0.00001 Class A common Purchase 300 70.5733 USD
USD 0.00001 Class A common Purchase 300 70.7216 USD
USD 0.00001 Class A common Purchase 400 70.7175 USD
USD 0.00001 Class A common Purchase 500 70.7120 USD
USD 0.00001 Class A common Purchase 599 70.7642 USD
USD 0.00001 Class A common Purchase 700 70.6428 USD
USD 0.00001 Class A common Purchase 1,302 70.6167 USD
USD 0.00001 Class A common Purchase 1,700 70.7411 USD
USD 0.00001 Class A common Purchase 1,900 70.5775 USD
USD 0.00001 Class A common Purchase 2,699 70.6833 USD
USD 0.00001 Class A common Purchase 5,900 70.4285 USD
USD 0.00001 Class A common Purchase 5,992 70.5574 USD
USD 0.00001 Class A common Purchase 6,479 70.6004 USD
USD 0.00001 Class A common Purchase 16,800 70.6773 USD
USD 0.00001 Class A common Purchase 16,900 70.6768 USD
USD 0.00001 Class A common Purchase 68,827 70.8200 USD
USD 0.00001 Class A common Purchase 114,707 70.7062 USD
USD 0.00001 Class A common Sale 100 70.4300 USD
USD 0.00001 Class A common Sale 100 70.4450 USD
USD 0.00001 Class A common Sale 100 70.4600 USD
USD 0.00001 Class A common Sale 100 70.5600 USD
USD 0.00001 Class A common Sale 100 70.6900 USD
USD 0.00001 Class A common Sale 102 70.7900 USD
USD 0.00001 Class A common Sale 200 70.4050 USD
USD 0.00001 Class A common Sale 200 70.6400 USD
USD 0.00001 Class A common Sale 200 70.6100 USD
USD 0.00001 Class A common Sale 285 70.6782 USD
USD 0.00001 Class A common Sale 300 70.6133 USD
USD 0.00001 Class A common Sale 400 70.6275 USD
USD 0.00001 Class A common Sale 400 70.4287 USD
USD 0.00001 Class A common Sale 400 70.4337 USD
USD 0.00001 Class A common Sale 500 70.6610 USD
USD 0.00001 Class A common Sale 600 70.6933 USD
USD 0.00001 Class A common Sale 700 70.6428 USD
USD 0.00001 Class A common Sale 775 70.7154 USD
USD 0.00001 Class A common Sale 800 70.4162 USD
USD 0.00001 Class A common Sale 903 70.7145 USD
USD 0.00001 Class A common Sale 1,000 70.7910 USD
USD 0.00001 Class A common Sale 1,045 70.4176 USD
USD 0.00001 Class A common Sale 1,100 70.7200 USD
USD 0.00001 Class A common Sale 1,310 70.4367 USD
USD 0.00001 Class A common Sale 1,445 70.4341 USD
USD 0.00001 Class A common Sale 1,500 70.8106 USD
USD 0.00001 Class A common Sale 1,800 70.5659 USD
USD 0.00001 Class A common Sale 2,700 70.7103 USD
USD 0.00001 Class A common Sale 3,712 70.6496 USD
USD 0.00001 Class A common Sale 4,000 70.6925 USD
USD 0.00001 Class A common Sale 4,300 70.6991 USD
USD 0.00001 Class A common Sale 4,601 70.6730 USD
USD 0.00001 Class A common Sale 5,500 70.6401 USD
USD 0.00001 Class A common Sale 6,300 70.6243 USD
USD 0.00001 Class A common Sale 7,301 70.7063 USD
USD 0.00001 Class A common Sale 7,900 70.6993 USD
USD 0.00001 Class A common Sale 10,600 70.7080 USD
USD 0.00001 Class A common Sale 10,655 70.6607 USD
USD 0.00001 Class A common Sale 12,571 70.5798 USD
USD 0.00001 Class A common Sale 14,600 70.6910 USD
USD 0.00001 Class A common Sale 23,810 70.7155 USD
USD 0.00001 Class A common Sale 42,863 70.7207 USD
USD 0.00001 Class A common Sale 68,927 70.8200 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”

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:  

9 Oct 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.

143221.01

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   =G176:G193
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 Purchased -100 50.0000 American 18 May 2018
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: 633582
Time of Receipt (offset from UTC): 20171009T104919+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC