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: 07 November 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:

8,011 0.00% 39 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 9,100 0.01% 22,200 0.01%
           
(4)
TOTAL: 17,111 0.01% 22,239 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 68.3599 USD
USD 0.00001 Class A common Purchase 188 68.2385 USD
USD 0.00001 Class A common Purchase 200 68.2750 USD
USD 0.00001 Class A common Purchase 300 68.1866 USD
USD 0.00001 Class A common Purchase 360 68.3300 USD
USD 0.00001 Class A common Purchase 600 68.8100 USD
USD 0.00001 Class A common Purchase 700 68.3714 USD
USD 0.00001 Class A common Purchase 800 68.2012 USD
USD 0.00001 Class A common Purchase 1,003 68.3565 USD
USD 0.00001 Class A common Purchase 1,400 68.5857 USD
USD 0.00001 Class A common Purchase 1,400 68.4657 USD
USD 0.00001 Class A common Purchase 1,401 68.4979 USD
USD 0.00001 Class A common Purchase 1,460 68.2098 USD
USD 0.00001 Class A common Purchase 1,800 68.3380 USD
USD 0.00001 Class A common Purchase 1,827 68.3501 USD
USD 0.00001 Class A common Purchase 1,831 68.2182 USD
USD 0.00001 Class A common Purchase 1,900 68.2242 USD
USD 0.00001 Class A common Purchase 3,232 68.2689 USD
USD 0.00001 Class A common Purchase 3,300 68.3443 USD
USD 0.00001 Class A common Purchase 4,536 68.2777 USD
USD 0.00001 Class A common Purchase 4,600 68.2653 USD
USD 0.00001 Class A common Purchase 5,300 68.3907 USD
USD 0.00001 Class A common Purchase 5,330 68.2100 USD
USD 0.00001 Class A common Purchase 6,800 68.2986 USD
USD 0.00001 Class A common Purchase 7,772 68.3766 USD
USD 0.00001 Class A common Purchase 7,900 68.2792 USD
USD 0.00001 Class A common Purchase 10,654 68.4243 USD
USD 0.00001 Class A common Sale 60 68.3300 USD
USD 0.00001 Class A common Sale 100 68.4300 USD
USD 0.00001 Class A common Sale 100 69.0400 USD
USD 0.00001 Class A common Sale 100 68.2450 USD
USD 0.00001 Class A common Sale 150 68.2766 USD
USD 0.00001 Class A common Sale 200 68.4700 USD
USD 0.00001 Class A common Sale 200 68.2150 USD
USD 0.00001 Class A common Sale 200 68.2400 USD
USD 0.00001 Class A common Sale 200 68.1950 USD
USD 0.00001 Class A common Sale 250 68.4140 USD
USD 0.00001 Class A common Sale 272 68.1900 USD
USD 0.00001 Class A common Sale 300 68.5100 USD
USD 0.00001 Class A common Sale 400 68.7200 USD
USD 0.00001 Class A common Sale 500 68.4060 USD
USD 0.00001 Class A common Sale 600 68.2816 USD
USD 0.00001 Class A common Sale 700 68.6271 USD
USD 0.00001 Class A common Sale 888 68.2102 USD
USD 0.00001 Class A common Sale 900 68.3244 USD
USD 0.00001 Class A common Sale 901 68.5000 USD
USD 0.00001 Class A common Sale 1,300 68.5753 USD
USD 0.00001 Class A common Sale 1,400 68.2050 USD
USD 0.00001 Class A common Sale 2,954 68.5258 USD
USD 0.00001 Class A common Sale 4,400 68.2688 USD
USD 0.00001 Class A common Sale 6,361 68.2100 USD
USD 0.00001 Class A common Sale 10,300 68.2806 USD
USD 0.00001 Class A common Sale 20,486 68.2918 USD
USD 0.00001 Class A common Sale 22,472 68.3878 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: 8 Nov 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 1,800 70.0000 American 17 Nov 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 -3,700 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 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 75.0000 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 -500 70.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -1,000 70.0000 American 18 May 2018
USD 0.00001 Class A common Call Options Purchased 1,500 70.0000 American 17 Nov 2017
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 -500 105.0000 American 18 Jan 2019
USD 0.00001 Class A common Call Options Written -11,400 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 Call Options Written -100 50.0000 American 16 Feb 2018
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: 635479
Time of Receipt (offset from UTC): 20171108T102305+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC