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 April 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: 51,650 0.04 10,169 0.01
(2) Cash-settled derivatives: 3,672 0.00 30,000 0.03
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 28,900 0.02 10,700 0.01

TOTAL:

84,222 0.07 50,869 0.04

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 76 238.0100
USD 0.01 common stock Purchase 100 237.0850
USD 0.01 common stock Purchase 100 237.7200
USD 0.01 common stock Purchase 100 237.9899
USD 0.01 common stock Purchase 200 237.3275
USD 0.01 common stock Purchase 227 237.2320
USD 0.01 common stock Purchase 246 237.5153
USD 0.01 common stock Purchase 300 237.1800
USD 0.01 common stock Purchase 305 237.1202
USD 0.01 common stock Purchase 400 237.9350
USD 0.01 common stock Purchase 500 237.6150
USD 0.01 common stock Purchase 587 237.7163
USD 0.01 common stock Purchase 800 237.3088
USD 0.01 common stock Purchase 800 237.4681
USD 0.01 common stock Purchase 1,000 238.0455
USD 0.01 common stock Purchase 1,131 237.6279
USD 0.01 common stock Purchase 2,572 237.3919
USD 0.01 common stock Purchase 3,798 237.3672
USD 0.01 common stock Purchase 4,302 237.5008
USD 0.01 common stock Purchase 5,200 237.7562
USD 0.01 common stock Purchase 9,709 237.7600
USD 0.01 common stock Purchase 17,858 236.7800
USD 0.01 common stock Sale 1 237.8200
USD 0.01 common stock Sale 4 237.9401
USD 0.01 common stock Sale 4 237.9800
USD 0.01 common stock Sale 5 237.7300
USD 0.01 common stock Sale 26 237.9600
USD 0.01 common stock Sale 27 237.8900
USD 0.01 common stock Sale 100 237.8800
USD 0.01 common stock Sale 100 237.6800
USD 0.01 common stock Sale 100 237.5000
USD 0.01 common stock Sale 151 237.7266
USD 0.01 common stock Sale 200 237.7900
USD 0.01 common stock Sale 202 237.5027
USD 0.01 common stock Sale 208 237.7633
USD 0.01 common stock Sale 300 238.1200
USD 0.01 common stock Sale 500 237.7670
USD 0.01 common stock Sale 953 237.3439
USD 0.01 common stock Sale 1,200 237.8271
USD 0.01 common stock Sale 1,200 237.5433
USD 0.01 common stock Sale 1,430 237.7798
USD 0.01 common stock Sale 1,540 237.7526
USD 0.01 common stock Sale 2,000 237.7423
USD 0.01 common stock Sale 2,735 237.8092
USD 0.01 common stock Sale 2,900 237.7281
USD 0.01 common stock Sale 3,500 237.7303
USD 0.01 common stock Sale 13,076 237.4452
USD 0.01 common stock Sale 17,858 236.7800

(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
USD 0.01 common stock Call Options Sale 700 270 American 20052016 0.2300
USD 0.01 common stock Put Options Sale 800 210 American 20052016 1.1600

(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 April 2016
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 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 Call Option Written -2800 250 American 15042016
USD 0.01 common stock Call Option Written -300 220 American 16092016
USD 0.01 common stock Call Option Written -700 270 American 20052016
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 300 250 American 16092016
USD 0.01 common stock Call Option Purchased 300 250 American 16092016
USD 0.01 common stock Call Option Purchased 1000 250 American 17062016
USD 0.01 common stock Call Option Purchased 400 240 American 20052016
USD 0.01 common stock Call Option Purchased 2000 270 American 17062016
USD 0.01 common stock Call Option Purchased 1300 270 American 15042016
USD 0.01 common stock Call Option Purchased 1600 280 American 17062016
USD 0.01 common stock Call Option Purchased 8700 240 American 15042016
USD 0.01 common stock Put Option Purchased -3400 220 American 17062016
USD 0.01 common stock Put Option Purchased -1000 220 American 20052016
USD 0.01 common stock Put Option Purchased -2000 210 American 17062016
USD 0.01 common stock Put Option Purchased -300 220 American 16092016
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 Written 1600 250 American 17062016
USD 0.01 common stock Put Option Written 8800 200 American 15042016
USD 0.01 common stock Put Option Written 100 230 American 20052016
USD 0.01 common stock Put Option Written 1000 240 American 20052016
USD 0.01 common stock Put Option Written 100 130 American 16092016
USD 0.01 common stock Put Option Written 400 140 American 16092016
USD 0.01 common stock Put Option Written 200 150 American 16092016
  Put Option Written 100 170 American 16092016
  Put Option Written 800 210 American 20052016

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: 521373
Time of Receipt (offset from UTC): 20160415T104624+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC