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: 05 December 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: 20,985 0.01% 1,297 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 3,200 0.00% 52,000 0.03%
           
 
TOTAL: 24,185 0.01% 53,297 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   Purchase/sale   Number of   Price per unit
security   securities  
USD 0.00001 Class A common Purchase 83 72.7000 USD
USD 0.00001 Class A common Purchase 95 72.2400 USD
USD 0.00001 Class A common Purchase 100 73.1900 USD
USD 0.00001 Class A common Purchase 100 72.7900 USD
USD 0.00001 Class A common Purchase 100 72.3100 USD
USD 0.00001 Class A common Purchase 200 72.0900 USD
USD 0.00001 Class A common Purchase 200 73.0500 USD
USD 0.00001 Class A common Purchase 200 72.9900 USD
USD 0.00001 Class A common Purchase 200 72.7250 USD
USD 0.00001 Class A common Purchase 200 72.7074 USD
USD 0.00001 Class A common Purchase 300 72.4033 USD
USD 0.00001 Class A common Purchase 301 72.5685 USD
USD 0.00001 Class A common Purchase 400 72.0550 USD
USD 0.00001 Class A common Purchase 434 72.3069 USD
USD 0.00001 Class A common Purchase 1,200 72.6108 USD
USD 0.00001 Class A common Purchase 1,500 72.2560 USD
USD 0.00001 Class A common Purchase 1,500 72.5650 USD
USD 0.00001 Class A common Purchase 2,300 72.7278 USD
USD 0.00001 Class A common Purchase 3,400 72.6600 USD
USD 0.00001 Class A common Purchase 4,305 72.6320 USD
USD 0.00001 Class A common Purchase 5,900 72.6984 USD
USD 0.00001 Class A common Purchase 10,100 72.4081 USD
USD 0.00001 Class A common Purchase 11,524 72.1580 USD
USD 0.00001 Class A common Purchase 15,400 72.5172 USD
USD 0.00001 Class A common Purchase 35,640 72.8707 USD
USD 0.00001 Class A common Purchase 437,860 72.1300 USD
USD 0.00001 Class A common Sale 34 72.3000 USD
USD 0.00001 Class A common Sale 90 72.6100 USD
USD 0.00001 Class A common Sale 100 71.0000 USD
USD 0.00001 Class A common Sale 100 72.9900 USD
USD 0.00001 Class A common Sale 100 72.3600 USD
USD 0.00001 Class A common Sale 100 72.3200 USD
USD 0.00001 Class A common Sale 300 72.6216 USD
USD 0.00001 Class A common Sale 400 73.1525 USD
USD 0.00001 Class A common Sale 500 72.7730 USD
USD 0.00001 Class A common Sale 500 72.8880 USD
USD 0.00001 Class A common Sale 600 72.3033 USD
USD 0.00001 Class A common Sale 700 72.5185 USD
USD 0.00001 Class A common Sale 757 72.7121 USD
USD 0.00001 Class A common Sale 800 72.5887 USD
USD 0.00001 Class A common Sale 817 72.9942 USD
USD 0.00001 Class A common Sale 1,211 72.8119 USD
USD 0.00001 Class A common Sale 1,415 72.6818 USD
USD 0.00001 Class A common Sale 2,500 72.1268 USD
USD 0.00001 Class A common Sale 2,800 72.4749 USD
USD 0.00001 Class A common Sale 3,200 72.4962 USD
USD 0.00001 Class A common Sale 3,210 72.7131 USD
USD 0.00001 Class A common Sale 6,400 72.3702 USD
USD 0.00001 Class A common Sale 8,003 72.9841 USD
USD 0.00001 Class A common Sale 10,995 72.8950 USD
USD 0.00001 Class A common Sale 11,501 72.6748 USD
USD 0.00001 Class A common Sale 12,142 72.7759 USD
USD 0.00001 Class A common Sale 12,600 72.5266 USD
USD 0.00001 Class A common Sale 13,724 72.1711 USD
USD 0.00001 Class A common Sale 435,560 72.1300 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 Selling 3,000 70 USD American 15 Dec 2017 2.9500 USD
USD 0.00001 Class A common Call Options Selling 500 80 USD American 19 Jan 2018 0.4500 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: 6 Dec 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 Call Options Written -300 60.0000 American 18 May 2018
USD 0.00001 Class A common Put Options Written 200 70.0000 American 18 May 2018
USD 0.00001 Class A common Put Options Purchased -100 50.0000 American 18 May 2018
USD 0.00001 Class A common Call Options Purchased 2,000 60.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -200 75.0000 American 19 Jan 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 -14,500 75.0000 American 15 Dec 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 80.0000 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 -500 80.0000 American 19 Jan 2018
USD 0.00001 Class A common Call Options Written -1,500 70.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -5,700 75.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -6,900 70.0000 American 15 Dec 2017
USD 0.00001 Class A common Call Options Written -15,500 70.0000 American 18 May 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 -500 105.0000 American 18 Jan 2019
USD 0.00001 Class A common Call Options Purchased 600 65.0000 American 16 Feb 2018
USD 0.00001 Class A common Call Options Written -200 70.0000 American 19 Jan 2018
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 -2,000 45.0000 American 16 Feb 2018
USD 0.00001 Class A common Put Options Purchased -3,000 70.0000 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: 637011
Time of Receipt (offset from UTC): 20171206T110706+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC