LONDON--(BUSINESS WIRE)--
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. |
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(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. |
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(c) Name of offeror/offeree in relation to whose relevant securities
this form relates:
Use a separate form for each offeror/offeree |
VANTIV INC |
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(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 OFFEREE |
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(e) Date dealing undertaken: |
8 DEC 2017 |
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(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” |
NO |
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 | 0 | |||||||||
Interests | Short Positions | ||||||||||
Number | (%) | Number | (%) | ||||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 15,565 | 0.01% | 2,701 | 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% | 46,000 | 0.03% | |||||||
(4) | |||||||||||
TOTAL: | 18,765 | 0.01% | 48,701 | 0.03% | |||||||
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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 | 64 | 74.4500 USD | ||||
USD 0.00001 Class A common | Purchase | 68 | 74.1358 USD | ||||
USD 0.00001 Class A common | Purchase | 100 | 74.2500 USD | ||||
USD 0.00001 Class A common | Purchase | 100 | 73.5750 USD | ||||
USD 0.00001 Class A common | Purchase | 100 | 74.3500 USD | ||||
USD 0.00001 Class A common | Purchase | 100 | 74.3800 USD | ||||
USD 0.00001 Class A common | Purchase | 100 | 74.1550 USD | ||||
USD 0.00001 Class A common | Purchase | 124 | 73.9401 USD | ||||
USD 0.00001 Class A common | Purchase | 200 | 74.2300 USD | ||||
USD 0.00001 Class A common | Purchase | 200 | 73.9100 USD | ||||
USD 0.00001 Class A common | Purchase | 200 | 74.5500 USD | ||||
USD 0.00001 Class A common | Purchase | 268 | 74.7600 USD | ||||
USD 0.00001 Class A common | Purchase | 300 | 74.4166 USD | ||||
USD 0.00001 Class A common | Purchase | 336 | 74.4400 USD | ||||
USD 0.00001 Class A common | Purchase | 400 | 74.1412 USD | ||||
USD 0.00001 Class A common | Purchase | 400 | 73.8575 USD | ||||
USD 0.00001 Class A common | Purchase | 400 | 74.4425 USD | ||||
USD 0.00001 Class A common | Purchase | 500 | 74.2940 USD | ||||
USD 0.00001 Class A common | Purchase | 700 | 74.2314 USD | ||||
USD 0.00001 Class A common | Purchase | 700 | 74.4542 USD | ||||
USD 0.00001 Class A common | Purchase | 1,200 | 74.4466 USD | ||||
USD 0.00001 Class A common | Purchase | 1,372 | 74.7063 USD | ||||
USD 0.00001 Class A common | Purchase | 2,332 | 74.1645 USD | ||||
USD 0.00001 Class A common | Purchase | 3,148 | 74.1700 USD | ||||
USD 0.00001 Class A common | Purchase | 5,518 | 74.5687 USD | ||||
USD 0.00001 Class A common | Purchase | 5,600 | 74.1491 USD | ||||
USD 0.00001 Class A common | Purchase | 7,524 | 74.0662 USD | ||||
USD 0.00001 Class A common | Purchase | 9,800 | 74.2037 USD | ||||
USD 0.00001 Class A common | Purchase | 49,963 | 74.1626 USD | ||||
USD 0.00001 Class A common | Sale | 25 | 74.2000 USD | ||||
USD 0.00001 Class A common | Sale | 68 | 74.7600 USD | ||||
USD 0.00001 Class A common | Sale | 100 | 74.5300 USD | ||||
USD 0.00001 Class A common | Sale | 100 | 74.3900 USD | ||||
USD 0.00001 Class A common | Sale | 100 | 74.2500 USD | ||||
USD 0.00001 Class A common | Sale | 129 | 74.2088 USD | ||||
USD 0.00001 Class A common | Sale | 161 | 74.5759 USD | ||||
USD 0.00001 Class A common | Sale | 200 | 74.0800 USD | ||||
USD 0.00001 Class A common | Sale | 200 | 74.4000 USD | ||||
USD 0.00001 Class A common | Sale | 200 | 74.3050 USD | ||||
USD 0.00001 Class A common | Sale | 200 | 74.2950 USD | ||||
USD 0.00001 Class A common | Sale | 400 | 74.5500 USD | ||||
USD 0.00001 Class A common | Sale | 430 | 74.1537 USD | ||||
USD 0.00001 Class A common | Sale | 500 | 74.1550 USD | ||||
USD 0.00001 Class A common | Sale | 500 | 74.5750 USD | ||||
USD 0.00001 Class A common | Sale | 578 | 74.2333 USD | ||||
USD 0.00001 Class A common | Sale | 600 | 74.5041 USD | ||||
USD 0.00001 Class A common | Sale | 1,100 | 74.0963 USD | ||||
USD 0.00001 Class A common | Sale | 1,218 | 74.5979 USD | ||||
USD 0.00001 Class A common | Sale | 1,700 | 74.5517 USD | ||||
USD 0.00001 Class A common | Sale | 1,909 | 74.5637 USD | ||||
USD 0.00001 Class A common | Sale | 2,000 | 74.1357 USD | ||||
USD 0.00001 Class A common | Sale | 2,100 | 74.1585 USD | ||||
USD 0.00001 Class A common | Sale | 2,300 | 74.0510 USD | ||||
USD 0.00001 Class A common | Sale | 2,700 | 74.1985 USD | ||||
USD 0.00001 Class A common | Sale | 3,000 | 74.4442 USD | ||||
USD 0.00001 Class A common | Sale | 3,100 | 74.2466 USD | ||||
USD 0.00001 Class A common | Sale | 3,100 | 74.0751 USD | ||||
USD 0.00001 Class A common | Sale | 4,818 | 74.0889 USD | ||||
USD 0.00001 Class A common | Sale | 5,200 | 74.3092 USD | ||||
USD 0.00001 Class A common | Sale | 5,700 | 74.1207 USD | ||||
USD 0.00001 Class A common | Sale | 8,800 | 74.1788 USD | ||||
USD 0.00001 Class A common | Sale | 8,975 | 74.2238 USD | ||||
USD 0.00001 Class A common | Sale | 15,726 | 74.1627 USD | ||||
USD 0.00001 Class A common | Sale | 19,356 | 74.1768 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 |
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Supplemental Form 8 (SBL) |
NO |
Date of disclosure: |
11 DEC 2017 |
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Contact name: |
Jay Supaya |
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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
Full name of person making disclosure: |
Barclays PLC. |
|
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: |
VANTIV INC |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class | Product | Writing, | Number | Exercise | Type |
Expiry |
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of | description | purchasing, | of | price | date | ||||||||
relevant | selling, | securities | per unit | ||||||||||
security | varying etc | to which |
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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 | 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 | -700 | 70.0000 | American | 15 Dec 2017 | |||||||
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 | -15,500 | 70.0000 | American | 18 May 2018 | |||||||
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 | 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 | 17 Jan 2020 | |||||||
USD 0.00001 Class A common | Call Options | Written | -200 | 70.0000 | American | 19 Jan 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 | |||||||
USD 0.00001 Class A common | Call Options | Written | -100 | 50.0000 | 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.