Form 8(DD) - INTERCONTINENTAL EXCHANGE 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

INTERCONTINENTAL EXCHANGE INC

  relevant securities this form relates:  
(d) Status of person making the disclosure: Connected to LONDON STOCK EXCHANGE GROUP
     
(e) Date position held/dealing undertaken: 21 April 2016
(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:   ORD
  Interests   Short Positions
    Number   (%) Number   (%)
(1) Relevant securities owned
and/or controlled: 105,166 0.09% 7,400 0.01%
           
(2) Cash-settled derivatives:
3,672 0.00% 83,000 0.07%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 11,200 0.01% 9,800 0.01%
           
(4)
TOTAL: 120,038 0.10% 100,200 0.08%

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  
ORD Purchase 1 240.2200 USD
ORD Purchase 7 240.4500 USD
ORD Purchase 34 241.8900 USD
ORD Purchase 68 241.6600 USD
ORD Purchase 68 240.2100 USD
ORD Purchase 70 242.6000 USD
ORD Purchase 81 241.6500 USD
ORD Purchase 95 240.0100 USD
ORD Purchase 100 239.9900 USD
ORD Purchase 100 241.9700 USD
ORD Purchase 100 241.8600 USD
ORD Purchase 176 241.1951 USD
ORD Purchase 192 240.9381 USD
ORD Purchase 200 240.2450 USD
ORD Purchase 261 240.9578 USD
ORD Purchase 300 240.2941 USD
ORD Purchase 300 240.1966 USD
ORD Purchase 400 240.8650 USD
ORD Purchase 653 240.2874 USD
ORD Purchase 700 240.9342 USD
ORD Purchase 900 240.1850 USD
ORD Purchase 1,179 241.0544 USD
ORD Purchase 1,520 240.5639 USD
ORD Purchase 1,945 241.1939 USD
ORD Purchase 2,100 240.3217 USD
ORD Purchase 2,127 240.1640 USD
ORD Purchase 2,400 240.3034 USD
ORD Purchase 2,400 240.4833 USD
ORD Purchase 2,594 240.3320 USD
ORD Purchase 98,740 240.1600 USD
ORD Sale 1 240.2200 USD
ORD Sale 2 240.7400 USD
ORD Sale 3 240.7897 USD
ORD Sale 12 241.0050 USD
ORD Sale 34 241.8900 USD
ORD Sale 34 241.6600 USD
ORD Sale 70 242.6000 USD
ORD Sale 81 241.6500 USD
ORD Sale 100 240.7200 USD
ORD Sale 127 240.1759 USD
ORD Sale 178 241.6700 USD
ORD Sale 194 240.8660 USD
ORD Sale 200 240.5600 USD
ORD Sale 200 240.2250 USD
ORD Sale 400 241.0475 USD
ORD Sale 600 240.2454 USD
ORD Sale 700 240.9342 USD
ORD Sale 807 240.9640 USD
ORD Sale 1,100 240.5745 USD
ORD Sale 1,100 240.5945 USD
ORD Sale 1,300 240.4061 USD
ORD Sale 2,374 241.2328 USD
ORD Sale 3,500 240.3416 USD
ORD Sale 6,084 240.3022 USD
ORD Sale 99,436 240.1600 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        
ORD Put Options Selling 300 240 USD American 20 May 2016 5.8000 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”

(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
Supplemental Form 8 (SBL) NO
Date of disclosure: 22 Apr 2016
Contact name: Pinar Coktas
Telephone number: 020 7116 1165

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.

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

Identity of the person whose positions/dealings   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose INTERCONTINENTAL EXCHANGE 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      
ORD Put Options Written 200 150.0000 American 16 Sep 2016
ORD Put Options Written 1,600 250.0000 American 17 Jun 2016
ORD Call Options Purchased 300 250.0000 American 16 Sep 2016
ORD Put Options Written 100 230.0000 American 20 May 2016
ORD Put Options Purchased -100 260.0000 American 17 Jun 2016
ORD Call Options Written -300 220.0000 American 16 Sep 2016
ORD Put Options Purchased -1,000 220.0000 American 20 May 2016
ORD Call Options Purchased 2,000 270.0000 American 17 Jun 2016
ORD Call Options Purchased 400 240.0000 American 20 May 2016
ORD Call Options Purchased 100 260.0000 American 20 May 2016
ORD Put Options Written 100 130.0000 American 16 Sep 2016
ORD Put Options Purchased -300 220.0000 American 16 Sep 2016
ORD Call Options Written -700 270.0000 American 20 May 2016
ORD Put Options Purchased -3,400 220.0000 American 17 Jun 2016
ORD Put Options Purchased -2,000 210.0000 American 17 Jun 2016
ORD Put Options Written 400 140.0000 American 16 Sep 2016
ORD Call Options Purchased 900 270.0000 American 16 Dec 2016
ORD Call Options Purchased 900 250.0000 American 17 Jun 2016
ORD Call Options Purchased 300 260.0000 American 16 Sep 2016
ORD Call Options Purchased 100 240.0000 American 17 Jun 2016
ORD Put Options Written 100 170.0000 American 16 Sep 2016
ORD Call Options Purchased 1,600 280.0000 American 17 Jun 2016
ORD Put Options Written 1,300 240.0000 American 20 May 2016
ORD Put Options Written 800 210.0000 American 20 May 2016
ORD Call Options Written -2,000 250.0000 American 20 May 2016

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: 522775
Time of Receipt (offset from UTC): 20160422T112644+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC