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: 13 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: 16,110 0.01% 2,531 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%
           
 
TOTAL: 19,310 0.01% 48,531 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 5 73.6000 USD
USD 0.00001 Class A common Purchase 100 73.5600 USD
USD 0.00001 Class A common Purchase 100 73.5100 USD
USD 0.00001 Class A common Purchase 100 73.5300 USD
USD 0.00001 Class A common Purchase 100 74.7200 USD
USD 0.00001 Class A common Purchase 100 73.8300 USD
USD 0.00001 Class A common Purchase 100 73.6750 USD
USD 0.00001 Class A common Purchase 139 73.7045 USD
USD 0.00001 Class A common Purchase 147 73.7412 USD
USD 0.00001 Class A common Purchase 182 73.6900 USD
USD 0.00001 Class A common Purchase 200 74.4150 USD
USD 0.00001 Class A common Purchase 200 73.6350 USD
USD 0.00001 Class A common Purchase 200 73.7100 USD
USD 0.00001 Class A common Purchase 200 73.7551 USD
USD 0.00001 Class A common Purchase 200 73.8800 USD
USD 0.00001 Class A common Purchase 300 73.6666 USD
USD 0.00001 Class A common Purchase 400 73.6275 USD
USD 0.00001 Class A common Purchase 524 73.7999 USD
USD 0.00001 Class A common Purchase 600 73.6883 USD
USD 0.00001 Class A common Purchase 700 73.6942 USD
USD 0.00001 Class A common Purchase 700 73.6842 USD
USD 0.00001 Class A common Purchase 800 73.7000 USD
USD 0.00001 Class A common Purchase 900 74.0600 USD
USD 0.00001 Class A common Purchase 1,100 73.6968 USD
USD 0.00001 Class A common Purchase 1,100 73.7463 USD
USD 0.00001 Class A common Purchase 1,203 74.0926 USD
USD 0.00001 Class A common Purchase 1,210 74.6104 USD
USD 0.00001 Class A common Purchase 1,300 74.1284 USD
USD 0.00001 Class A common Purchase 1,500 74.3713 USD
USD 0.00001 Class A common Purchase 2,306 73.6370 USD
USD 0.00001 Class A common Purchase 2,400 74.6200 USD
USD 0.00001 Class A common Purchase 3,900 73.8730 USD
USD 0.00001 Class A common Purchase 4,212 74.0610 USD
USD 0.00001 Class A common Purchase 4,400 73.5936 USD
USD 0.00001 Class A common Purchase 7,300 74.3170 USD
USD 0.00001 Class A common Purchase 8,100 74.1348 USD
USD 0.00001 Class A common Purchase 9,200 73.9191 USD
USD 0.00001 Class A common Purchase 9,878 74.3188 USD
USD 0.00001 Class A common Purchase 9,900 74.2311 USD
USD 0.00001 Class A common Purchase 397,435 73.5900 USD
USD 0.00001 Class A common Sale 5 73.6000 USD
USD 0.00001 Class A common Sale 100 73.4900 USD
USD 0.00001 Class A common Sale 100 73.6750 USD
USD 0.00001 Class A common Sale 100 74.1600 USD
USD 0.00001 Class A common Sale 100 74.2100 USD
USD 0.00001 Class A common Sale 100 74.8300 USD
USD 0.00001 Class A common Sale 123 74.7612 USD
USD 0.00001 Class A common Sale 146 74.1000 USD
USD 0.00001 Class A common Sale 200 74.3750 USD
USD 0.00001 Class A common Sale 300 73.8875 USD
USD 0.00001 Class A common Sale 400 73.7293 USD
USD 0.00001 Class A common Sale 400 73.9206 USD
USD 0.00001 Class A common Sale 435 74.7552 USD
USD 0.00001 Class A common Sale 453 74.1959 USD
USD 0.00001 Class A common Sale 473 73.9058 USD
USD 0.00001 Class A common Sale 500 74.1100 USD
USD 0.00001 Class A common Sale 609 73.9449 USD
USD 0.00001 Class A common Sale 800 73.7000 USD
USD 0.00001 Class A common Sale 800 74.1175 USD
USD 0.00001 Class A common Sale 1,000 74.9297 USD
USD 0.00001 Class A common Sale 1,100 74.2090 USD
USD 0.00001 Class A common Sale 1,110 74.5906 USD
USD 0.00001 Class A common Sale 1,111 74.2347 USD
USD 0.00001 Class A common Sale 1,200 74.6950 USD
USD 0.00001 Class A common Sale 1,460 74.5430 USD
USD 0.00001 Class A common Sale 1,500 74.0593 USD
USD 0.00001 Class A common Sale 1,600 74.0031 USD
USD 0.00001 Class A common Sale 1,800 74.0830 USD
USD 0.00001 Class A common Sale 2,400 74.0804 USD
USD 0.00001 Class A common Sale 2,500 74.6200 USD
USD 0.00001 Class A common Sale 2,539 73.6917 USD
USD 0.00001 Class A common Sale 3,800 74.0718 USD
USD 0.00001 Class A common Sale 3,800 74.3613 USD
USD 0.00001 Class A common Sale 3,900 73.7650 USD
USD 0.00001 Class A common Sale 3,968 74.3277 USD
USD 0.00001 Class A common Sale 4,303 74.1846 USD
USD 0.00001 Class A common Sale 5,900 74.0180 USD
USD 0.00001 Class A common Sale 7,100 73.6111 USD
USD 0.00001 Class A common Sale 7,600 74.2120 USD
USD 0.00001 Class A common Sale 9,924 73.9261 USD
USD 0.00001 Class A common Sale 397,117 73.5900 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
Supplemental Form 8 (SBL) NO
Date of disclosure: 14 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 -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 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 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: 637541
Time of Receipt (offset from UTC): 20171214T112253+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC