Form 8 (DD) - CME GROUP 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 CME GROUP INC
  relevant securities this form relates:  
(d) Status of person making the disclosure: CONNECTED TO THE OFFEROR
(e) Date position held/dealing undertaken: 16 March 2018
(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:       ADR            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 126,332 0.04% 1,154 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 40,300 0.01% 99,000 0.03%
           
 
TOTAL: 166,632 0.05% 100,154 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  
ADR Purchase 40 165.1219 USD
ADR Purchase 100 164.2500 USD
ADR Purchase 100 164.5300 USD
ADR Purchase 100 164.7900 USD
ADR Purchase 195 165.1438 USD
ADR Purchase 200 165.5700 USD
ADR Purchase 200 165.3400 USD
ADR Purchase 300 165.3766 USD
ADR Purchase 400 164.8250 USD
ADR Purchase 500 165.2860 USD
ADR Purchase 600 165.3950 USD
ADR Purchase 600 165.3283 USD
ADR Purchase 700 165.0121 USD
ADR Purchase 800 164.7744 USD
ADR Purchase 3,773 165.0017 USD
ADR Purchase 3,800 165.5782 USD
ADR Purchase 4,887 165.5687 USD
ADR Purchase 6,100 165.3940 USD
ADR Purchase 6,778 165.1834 USD
ADR Purchase 7,954 165.1211 USD
ADR Purchase 10,009 165.2776 USD
ADR Purchase 11,600 165.2581 USD
ADR Purchase 16,900 165.2944 USD
ADR Purchase 112,500 165.1241 USD
ADR Purchase 259,723 165.1203 USD
ADR Purchase 317,614 165.1200 USD
ADR Sale 4 163.9000 USD
ADR Sale 40 165.1219 USD
ADR Sale 84 163.8000 USD
ADR Sale 96 163.9004 USD
ADR Sale 99 165.4000 USD
ADR Sale 100 165.0900 USD
ADR Sale 100 165.0776 USD
ADR Sale 100 163.9050 USD
ADR Sale 100 164.8501 USD
ADR Sale 101 165.4198 USD
ADR Sale 133 165.4835 USD
ADR Sale 175 165.0490 USD
ADR Sale 200 165.1500 USD
ADR Sale 200 165.5500 USD
ADR Sale 200 165.5150 USD
ADR Sale 200 165.5350 USD
ADR Sale 237 166.0804 USD
ADR Sale 251 165.3075 USD
ADR Sale 300 165.5233 USD
ADR Sale 400 165.2337 USD
ADR Sale 600 165.6166 USD
ADR Sale 600 165.1058 USD
ADR Sale 700 164.7264 USD
ADR Sale 1,500 164.9779 USD
ADR Sale 2,000 165.2257 USD
ADR Sale 2,694 165.2874 USD
ADR Sale 3,446 165.4258 USD
ADR Sale 3,545 165.1685 USD
ADR Sale 3,598 164.9994 USD
ADR Sale 4,101 165.5926 USD
ADR Sale 5,000 165.5220 USD
ADR Sale 5,398 165.3645 USD
ADR Sale 6,108 165.0094 USD
ADR Sale 10,009 165.2776 USD
ADR Sale 11,100 165.2333 USD
ADR Sale 14,700 165.3052 USD
ADR Sale 113,395 165.1215 USD
ADR Sale 202,929 165.1200 USD
ADR Sale 259,523 165.1201 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        
ADR Call Options Purchasing 1,500 160 USD American 18 Jan 2019 17.5000 USD
ADR Call Options Purchasing 1,000 185 USD American 15 Jun 2018 1.5400 USD
ADR Call Options Selling 1,000 200 USD American 15 Jun 2018 0.5400 USD
ADR Put Options Purchasing 1,000 160 USD American 16 Mar 2018 0.0200 USD
ADR Put Options Selling 1,000 165 USD American 16 Mar 2018 0.2000 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: 19 Mar 2018
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.

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 CME GROUP 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      
ADR Put Options Written 1,600 145.0000 American 15 Jun 2018
ADR Call Options Purchased 900 130.0000 American 18 Jan 2019
ADR Put Options Purchased -5,000 65.0000 American 18 Jan 2019
ADR Call Options Written -100 155.0000 American 21 Sep 2018
ADR Put Options Purchased -100 115.0000 American 18 Jan 2019
ADR Put Options Purchased -100 155.0000 American 20 Apr 2018
ADR Put Options Purchased -1,300 160.0000 American 16 Mar 2018
ADR Call Options Written -6,800 180.0000 American 16 Mar 2018
ADR Put Options Purchased -200 135.0000 American 18 Jan 2019
ADR Call Options Written -300 170.0000 American 16 Mar 2018
ADR Put Options Purchased -100 170.0000 American 16 Mar 2018
ADR Put Options Purchased -2,000 140.0000 American 20 Apr 2018
ADR Put Options Written 100 175.0000 American 17 Jan 2020
ADR Call Options Purchased 1,300 190.0000 American 21 Sep 2018
ADR Put Options Written 200 150.0000 American 18 Jan 2019
ADR Call Options Purchased 200 135.0000 American 18 Jan 2019
ADR Call Options Purchased 1,700 150.0000 American 18 Jan 2019
ADR Call Options Purchased 1,500 160.0000 American 18 Jan 2019
ADR Put Options Written 100 130.0000 American 16 Mar 2018
ADR Call Options Purchased 100 115.0000 American 18 Jan 2019
ADR Call Options Written -7,100 170.0000 American 18 Jan 2019
ADR Put Options Purchased -1,300 155.0000 American 16 Mar 2018
ADR Put Options Purchased -500 85.0000 American 18 Jan 2019
ADR Call Options Written -100 183.0000 American 23 Mar 2018
ADR Put Options Purchased -5,000 60.0000 American 18 Jan 2019
ADR Call Options Written -1,000 200.0000 American 15 Jun 2018
ADR Put Options Written 5,400 140.0000 American 15 Jun 2018
ADR Call Options Purchased 100 130.0000 American 15 Jun 2018
ADR Call Options Purchased 1,500 160.0000 American 20 Apr 2018
ADR Call Options Purchased 100 150.0000 American 17 Jan 2020
ADR Put Options Purchased -1,100 95.0000 American 18 Jan 2019
ADR Call Options Written -7,700 165.0000 American 16 Mar 2018
ADR Call Options Written -800 180.0000 American 15 Jun 2018
ADR Put Options Purchased -500 140.0000 American 21 Sep 2018
ADR Call Options Purchased 3,200 160.0000 American 16 Mar 2018
ADR Put Options Written 1,500 185.0000 American 18 Jan 2019
ADR Put Options Written 800 105.0000 American 18 Jan 2019
ADR Put Options Written 4,300 145.0000 American 16 Mar 2018
ADR Call Options Purchased 2,200 165.0000 American 15 Jun 2018
ADR Put Options Written 2,100 145.0000 American 18 Jan 2019
ADR Put Options Written 400 135.0000 American 16 Mar 2018
ADR Put Options Written 200 150.0000 American 16 Mar 2018
ADR Call Options Purchased 100 165.0000 American 21 Sep 2018
ADR Put Options Purchased -1,400 115.0000 American 15 Jun 2018
ADR Put Options Purchased -200 75.0000 American 16 Mar 2018
ADR Put Options Purchased -500 150.0000 American 29 Mar 2018
ADR Put Options Purchased -2,200 90.0000 American 18 Jan 2019
ADR Call Options Written -600 195.0000 American 20 Apr 2018
ADR Call Options Written -5,600 150.0000 American 15 Jun 2018
ADR Put Options Purchased -1,500 130.0000 American 21 Sep 2018
ADR Put Options Purchased -300 75.0000 American 18 Jan 2019
ADR Call Options Written -800 145.0000 American 15 Jun 2018
ADR Call Options Written -11,700 175.0000 American 16 Mar 2018
ADR Call Options Written -7,500 160.0000 American 15 Jun 2018
ADR Put Options Purchased -1,800 160.0000 American 20 Apr 2018
ADR Call Options Written -100 175.0000 American 13 Apr 2018
ADR Put Options Written 100 175.0000 American 18 Jan 2019
ADR Call Options Purchased 400 140.0000 American 16 Mar 2018
ADR Call Options Purchased 100 120.0000 American 18 Jan 2019
ADR Put Options Written 400 130.0000 American 15 Jun 2018
ADR Call Options Purchased 100 170.0000 American 20 Apr 2018
ADR Call Options Purchased 1,000 105.0000 American 18 Jan 2019
ADR Put Options Written 700 153.0000 American 16 Mar 2018
ADR Put Options Purchased -1,000 110.0000 American 18 Jan 2019
ADR Call Options Written -200 180.0000 American 20 Apr 2018
ADR Put Options Purchased -400 120.0000 American 15 Jun 2018
ADR Call Options Written -400 175.0000 American 20 Apr 2018
ADR Call Options Written -500 180.0000 American 18 Jan 2019
ADR Put Options Purchased -200 165.0000 American 13 Apr 2018
ADR Put Options Purchased -100 125.0000 American 18 Jan 2019
ADR Call Options Written -1,000 178.0000 American 23 Mar 2018
ADR Put Options Purchased -100 165.0000 American 20 Apr 2018
ADR Call Options Purchased 100 125.0000 American 18 Jan 2019
ADR Put Options Written 100 190.0000 American 18 Jan 2019
ADR Call Options Purchased 1,000 185.0000 American 15 Jun 2018
ADR Put Options Purchased -100 155.0000 American 15 Jun 2018
ADR Call Options Written -2,000 155.0000 American 15 Jun 2018
ADR Put Options Purchased -3,100 140.0000 American 16 Mar 2018
ADR Put Options Purchased -300 150.0000 American 20 Apr 2018
ADR Call Options Written -300 163.0000 American 29 Mar 2018
ADR Call Options Written -1,900 175.0000 American 15 Jun 2018
ADR Call Options Purchased 3,100 170.0000 American 15 Jun 2018
ADR Call Options Purchased 200 145.0000 American 18 Jan 2019
ADR Call Options Purchased 100 145.0000 American 17 Jan 2020
ADR Put Options Purchased -1,200 170.0000 American 20 Apr 2018
ADR Call Options Written -100 220.0000 American 20 Apr 2018
ADR Call Options Written -3,200 140.0000 American 18 Jan 2019
ADR Put Options Purchased -1,900 140.0000 American 18 Jan 2019
ADR Call Options Written -300 160.0000 American 17 Jan 2020
ADR Call Options Written -1,000 135.0000 American 15 Jun 2018
ADR Put Options Purchased -1,200 100.0000 American 18 Jan 2019
ADR Put Options Written 1,000 165.0000 American 16 Mar 2018
ADR Call Options Purchased 1,800 168.0000 American 16 Mar 2018
ADR Call Options Purchased 500 220.0000 American 18 Jan 2019
ADR Call Options Written -1,100 200.0000 American 18 Jan 2019
ADR Call Options Written -200 140.0000 American 15 Jun 2018
ADR Call Options Written -1,600 185.0000 American 18 Jan 2019
ADR Put Options Purchased -100 70.0000 American 18 Jan 2019
ADR Put Options Purchased -200 120.0000 American 18 Jan 2019

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: 643314
Time of Receipt (offset from UTC): 20180319T115455+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC