Form 8 (DD) - Vantiv

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: 10 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: 6,611 0.00% 700 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 9,800 0.01% 18,900 0.01%
           
 
TOTAL: 16,411 0.01% 19,600 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 38 71.4500 USD
USD 0.00001 Class A common Purchase 62 71.4899 USD
USD 0.00001 Class A common Purchase 100 71.2400 USD
USD 0.00001 Class A common Purchase 100 71.1600 USD
USD 0.00001 Class A common Purchase 100 71.2000 USD
USD 0.00001 Class A common Purchase 100 71.4300 USD
USD 0.00001 Class A common Purchase 100 71.3800 USD
USD 0.00001 Class A common Purchase 100 71.4800 USD
USD 0.00001 Class A common Purchase 100 71.3025 USD
USD 0.00001 Class A common Purchase 200 71.3950 USD
USD 0.00001 Class A common Purchase 200 71.3875 USD
USD 0.00001 Class A common Purchase 200 71.2775 USD
USD 0.00001 Class A common Purchase 300 71.3966 USD
USD 0.00001 Class A common Purchase 300 71.4450 USD
USD 0.00001 Class A common Purchase 300 71.3033 USD
USD 0.00001 Class A common Purchase 300 71.4200 USD
USD 0.00001 Class A common Purchase 348 71.4859 USD
USD 0.00001 Class A common Purchase 396 71.3513 USD
USD 0.00001 Class A common Purchase 401 71.4823 USD
USD 0.00001 Class A common Purchase 733 71.4600 USD
USD 0.00001 Class A common Purchase 1,204 71.3918 USD
USD 0.00001 Class A common Purchase 1,222 71.4860 USD
USD 0.00001 Class A common Purchase 1,498 71.4933 USD
USD 0.00001 Class A common Purchase 1,500 71.4900 USD
USD 0.00001 Class A common Purchase 2,000 71.3347 USD
USD 0.00001 Class A common Purchase 2,469 71.4790 USD
USD 0.00001 Class A common Purchase 2,500 71.4156 USD
USD 0.00001 Class A common Purchase 2,800 71.4080 USD
USD 0.00001 Class A common Purchase 4,100 71.4695 USD
USD 0.00001 Class A common Purchase 4,121 71.2926 USD
USD 0.00001 Class A common Purchase 5,005 71.3031 USD
USD 0.00001 Class A common Purchase 5,118 71.3065 USD
USD 0.00001 Class A common Purchase 6,817 71.4906 USD
USD 0.00001 Class A common Purchase 8,996 71.4713 USD
USD 0.00001 Class A common Purchase 9,526 71.3330 USD
USD 0.00001 Class A common Purchase 26,062 71.4591 USD
USD 0.00001 Class A common Sale 12 71.3491 USD
USD 0.00001 Class A common Sale 27 71.3081 USD
USD 0.00001 Class A common Sale 29 71.3253 USD
USD 0.00001 Class A common Sale 32 71.4000 USD
USD 0.00001 Class A common Sale 38 71.4500 USD
USD 0.00001 Class A common Sale 100 71.1600 USD
USD 0.00001 Class A common Sale 145 71.4600 USD
USD 0.00001 Class A common Sale 500 71.4160 USD
USD 0.00001 Class A common Sale 600 71.2858 USD
USD 0.00001 Class A common Sale 1,410 71.3490 USD
USD 0.00001 Class A common Sale 2,300 71.4063 USD
USD 0.00001 Class A common Sale 5,506 71.3185 USD
USD 0.00001 Class A common Sale 17,755 71.3140 USD
USD 0.00001 Class A common Sale 58,100 71.4612 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 Purchasing 100 65 USD American 17 Nov 2017 6.4000 USD
USD 0.00001 Class A common Put Options Purchasing 400 75 USD American 16 Feb 2018 5.5000 USD
USD 0.00001 Class A common Put Options Selling 400 70 USD American 16 Feb 2018 2.8500 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: 11 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.

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 1,200 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 Call Options Written -100 75.0000 American 20 Oct 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 2,400 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 Put Options Purchased -400 75.0000 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 Put Options Purchased -200 65.0000 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 Put Options Written 400 70.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -11,500 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: 633791
Time of Receipt (offset from UTC): 20171011T130715+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC