Form 8 (DD) - ICE

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

Intercontinental Exchange, 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 London Stock Exchange Group Plc
(e) Date dealing undertaken: 14 March 2016
(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”

YES / NO / N/A

If YES, specify which:

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:    

 

Interests   Short positions
Number   % Number   %
(1) Relevant securities owned and/or controlled: 27,731 0.02 17,272 0.01
(2) Cash-settled derivatives: 3,672 0.00    
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 44,200 0.04 15,700 0.01

TOTAL:

75,603 0.06 32,972 0.03

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 security   Purchase/sale   Number of securities   Price per unit (in USD)
 
USD 0.01 common stock Purchase 2 235.9599
USD 0.01 common stock Purchase 4 235.9900
USD 0.01 common stock Purchase 30 236.8200
USD 0.01 common stock Purchase 90 235.8100
USD 0.01 common stock Purchase 100 236.9400
USD 0.01 common stock Purchase 100 235.5000
USD 0.01 common stock Purchase 281 236.8042
USD 0.01 common stock Purchase 372 236.4354
USD 0.01 common stock Purchase 385 236.3726
USD 0.01 common stock Purchase 530 236.3125
USD 0.01 common stock Purchase 600 236.1916
USD 0.01 common stock Purchase 744 236.4354
USD 0.01 common stock Purchase 854 235.8227
USD 0.01 common stock Purchase 858 235.9489
USD 0.01 common stock Purchase 969 236.8130
USD 0.01 common stock Purchase 1,141 236.8114
USD 0.01 common stock Purchase 1,500 235.6964
USD 0.01 common stock Purchase 1,700 236.2203
USD 0.01 common stock Purchase 1,900 235.9116
USD 0.01 common stock Purchase 1,900 236.5749
USD 0.01 common stock Purchase 3,000 235.9450
USD 0.01 common stock Purchase 5,442 236.4675
USD 0.01 common stock Purchase 5,558 236.3700
USD 0.01 common stock Sale 3 235.3601
USD 0.01 common stock Sale 15 236.3300
USD 0.01 common stock Sale 42 236.5100
USD 0.01 common stock Sale 51 236.5933
USD 0.01 common stock Sale 100 236.8595
USD 0.01 common stock Sale 100 237.1800
USD 0.01 common stock Sale 100 235.8900
USD 0.01 common stock Sale 100 236.7150
USD 0.01 common stock Sale 100 236.4400
USD 0.01 common stock Sale 123 236.9780
USD 0.01 common stock Sale 157 236.4977
USD 0.01 common stock Sale 200 236.8800
USD 0.01 common stock Sale 216 236.8643
USD 0.01 common stock Sale 257 236.6866
USD 0.01 common stock Sale 297 236.4354
USD 0.01 common stock Sale 300 236.4200
USD 0.01 common stock Sale 300 235.7202
USD 0.01 common stock Sale 344 236.6947
USD 0.01 common stock Sale 400 235.9000
USD 0.01 common stock Sale 700 235.0214
USD 0.01 common stock Sale 740 236.8906
USD 0.01 common stock Sale 744 236.4354
USD 0.01 common stock Sale 1,033 236.7656
USD 0.01 common stock Sale 1,300 236.5544
USD 0.01 common stock Sale 1,500 236.5965
USD 0.01 common stock Sale 1,600 236.6313
USD 0.01 common stock Sale 2,964 236.3789
USD 0.01 common stock Sale 3,500 236.0464
USD 0.01 common stock Sale 5,390 236.3700
USD 0.01 common stock Sale 5,502 235.9432

(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”

(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”

(c) Attachments

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions)   YES/NO
Supplemental Form 8 (SBL) YES/NO
Date of disclosure:   15 March 2016
Contact name: Rajesh Muthanna
Telephone number: 020 3555 4634

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. 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

Full name of person making disclosure:   Barclays Plc
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: Intercontinental Exchange, Inc.

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security   Product description e.g. call option   Written or purchased   Number of securities to which option or derivative relates   Exercise price per unit   Type
e.g. American, European etc.
  Expiry Date
USD 0.01 common stock Put Option Purchased -100 210 American 15042016
USD 0.01 common stock Put Option Purchased -100 260 American 17062016
USD 0.01 common stock Put Option Purchased -300 220 American 16092016
USD 0.01 common stock Put Option Purchased -500 260 American 18032016
USD 0.01 common stock Put Option Purchased -600 210 American 17062016
USD 0.01 common stock Put Option Purchased -800 250 American 18032016
USD 0.01 common stock Put Option Purchased -3300 220 American 17062016
USD 0.01 common stock Put Option Purchased -5000 230 American 18032016
USD 0.01 common stock Call Option Purchased 100 260 American 15042016
USD 0.01 common stock Call Option Purchased 100 240 American 17062016
USD 0.01 common stock Call Option Purchased 100 230 American 18032016
USD 0.01 common stock Call Option Purchased 200 250 American 18032016
USD 0.01 common stock Call Option Purchased 300 250 American 16092016
USD 0.01 common stock Call Option Purchased 300 260 American 16092016
USD 0.01 common stock Call Option Purchased 300 280 American 18032016
USD 0.01 common stock Call Option Purchased 800 270 American 15042016
USD 0.01 common stock Call Option Purchased 900 270 American 17062016
USD 0.01 common stock Call Option Purchased 1400 240 American 15042016
USD 0.01 common stock Call Option Purchased 1600 280 American 17062016
USD 0.01 common stock Call Option Purchased 17900 240 American 18032016
USD 0.01 common stock Put Option Written 100 200 American 15042016
USD 0.01 common stock Put Option Written 100 230 American 17062016
USD 0.01 common stock Put Option Written 900 220 American 18032016
USD 0.01 common stock Put Option Written 1400 240 American 18032016
USD 0.01 common stock Put Option Written 1500 195 American 18032016
USD 0.01 common stock Put Option Written 1600 250 American 17062016
USD 0.01 common stock Put Option Written 14600 200 American 18032016
USD 0.01 common stock Call Option Written -100 250 American 17062016
USD 0.01 common stock Call Option Written -300 220 American 16092016
USD 0.01 common stock Call Option Written -1300 270 American 18032016
USD 0.01 common stock Call Option Written -3300 260 American 18032016

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: 515605
Time of Receipt (offset from UTC): 20160315T101834+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC