FORM 8 (DD) - CME GROUP PLC

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: 19 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: 117,481 0.03% 1,041 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 28,300 0.01% 69,500 0.02%
           
(4)
TOTAL: 145,781 0.04% 70,541 0.02%

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 10 163.5000 USD
ADR Purchase 100 162.2300 USD
ADR Purchase 100 162.7050 USD
ADR Purchase 200 162.5650 USD
ADR Purchase 298 162.6157 USD
ADR Purchase 300 164.4016 USD
ADR Purchase 300 163.2725 USD
ADR Purchase 400 162.5600 USD
ADR Purchase 500 164.2635 USD
ADR Purchase 500 164.0720 USD
ADR Purchase 500 163.1000 USD
ADR Purchase 506 163.2808 USD
ADR Purchase 589 162.9037 USD
ADR Purchase 700 163.1357 USD
ADR Purchase 787 163.0235 USD
ADR Purchase 900 164.2510 USD
ADR Purchase 1,220 163.0652 USD
ADR Purchase 1,710 162.9833 USD
ADR Purchase 2,600 164.1533 USD
ADR Purchase 2,601 164.5003 USD
ADR Purchase 2,954 163.0127 USD
ADR Purchase 3,010 165.0700 USD
ADR Purchase 3,376 164.2294 USD
ADR Purchase 4,400 164.0206 USD
ADR Purchase 5,000 164.0940 USD
ADR Purchase 5,158 164.5445 USD
ADR Purchase 9,060 163.1156 USD
ADR Purchase 9,281 162.8843 USD
ADR Purchase 12,100 163.9554 USD
ADR Purchase 13,907 163.5400 USD
ADR Sale 20 162.8300 USD
ADR Sale 49 163.5114 USD
ADR Sale 80 164.9900 USD
ADR Sale 94 164.1200 USD
ADR Sale 100 162.9100 USD
ADR Sale 100 162.9400 USD
ADR Sale 100 163.5300 USD
ADR Sale 100 163.6700 USD
ADR Sale 100 164.3100 USD
ADR Sale 100 164.8100 USD
ADR Sale 123 163.6176 USD
ADR Sale 136 162.8755 USD
ADR Sale 182 164.2454 USD
ADR Sale 270 163.2507 USD
ADR Sale 315 163.4180 USD
ADR Sale 383 163.7487 USD
ADR Sale 500 163.3110 USD
ADR Sale 600 164.7733 USD
ADR Sale 810 163.1688 USD
ADR Sale 906 164.2650 USD
ADR Sale 1,000 163.9320 USD
ADR Sale 1,000 163.9795 USD
ADR Sale 1,200 164.1820 USD
ADR Sale 1,400 163.4614 USD
ADR Sale 1,400 164.8600 USD
ADR Sale 1,800 163.4977 USD
ADR Sale 2,000 164.0217 USD
ADR Sale 2,400 164.2398 USD
ADR Sale 2,400 164.4232 USD
ADR Sale 2,800 164.1141 USD
ADR Sale 3,010 165.0700 USD
ADR Sale 4,336 164.7066 USD
ADR Sale 5,442 164.0259 USD
ADR Sale 8,918 163.9331 USD
ADR Sale 9,085 162.7455 USD
ADR Sale 15,800 163.0705 USD
ADR Sale 18,586 163.5400 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 100 165 USD American 6 Apr 2018 3.2000 USD
ADR Call Options Selling 3,200 160 USD American 16 Mar 2018 4.8900 USD
ADR Put Options Purchasing 3,000 85 USD American 18 Jan 2019 0.7500 USD
ADR Put Options Purchasing 1,000 165 USD American 16 Mar 2018 0.2500 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: 20 Mar 2018
Contact name: ELISE TANG
Telephone number: 02071163001

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 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 -200 135.0000 American 18 Jan 2019
ADR Put Options Purchased -2,000 140.0000 American 20 Apr 2018
ADR Put Options Purchased -5,000 65.0000 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 Call Options Purchased 1,300 190.0000 American 21 Sep 2018
ADR Call Options Purchased 200 135.0000 American 18 Jan 2019
ADR Put Options Written 200 150.0000 American 18 Jan 2019
ADR Call Options Purchased 100 115.0000 American 18 Jan 2019
ADR Put Options Written 100 175.0000 American 17 Jan 2020
ADR Call Options Written -100 183.0000 American 23 Mar 2018
ADR Call Options Written -1,000 200.0000 American 15 Jun 2018
ADR Put Options Purchased -3,500 85.0000 American 18 Jan 2019
ADR Put Options Purchased -5,000 60.0000 American 18 Jan 2019
ADR Call Options Written -7,100 170.0000 American 18 Jan 2019
ADR Put Options Written 5,400 140.0000 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 Call Options Purchased 100 130.0000 American 15 Jun 2018
ADR Put Options Purchased -500 140.0000 American 21 Sep 2018
ADR Call Options Written -800 180.0000 American 15 Jun 2018
ADR Put Options Purchased -1,100 95.0000 American 18 Jan 2019
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 1,500 185.0000 American 18 Jan 2019
ADR Put Options Written 800 105.0000 American 18 Jan 2019
ADR Call Options Purchased 100 165.0000 American 21 Sep 2018
ADR Call Options Written -100 175.0000 American 13 Apr 2018
ADR Put Options Purchased -300 75.0000 American 18 Jan 2019
ADR Put Options Purchased -500 150.0000 American 29 Mar 2018
ADR Call Options Written -600 195.0000 American 20 Apr 2018
ADR Call Options Written -800 145.0000 American 15 Jun 2018
ADR Put Options Purchased -1,400 115.0000 American 15 Jun 2018
ADR Put Options Purchased -1,500 130.0000 American 21 Sep 2018
ADR Put Options Purchased -1,800 160.0000 American 20 Apr 2018
ADR Put Options Purchased -2,200 90.0000 American 18 Jan 2019
ADR Call Options Written -5,600 150.0000 American 15 Jun 2018
ADR Call Options Written -7,500 160.0000 American 15 Jun 2018
ADR Call Options Purchased 1,000 105.0000 American 18 Jan 2019
ADR Put Options Written 400 130.0000 American 15 Jun 2018
ADR Call Options Purchased 100 120.0000 American 18 Jan 2019
ADR Call Options Purchased 100 170.0000 American 20 Apr 2018
ADR Put Options Written 100 175.0000 American 18 Jan 2019
ADR Put Options Purchased -100 125.0000 American 18 Jan 2019
ADR Put Options Purchased -100 165.0000 American 20 Apr 2018
ADR Call Options Written -200 180.0000 American 20 Apr 2018
ADR Put Options Purchased -200 165.0000 American 13 Apr 2018
ADR Call Options Written -400 175.0000 American 20 Apr 2018
ADR Put Options Purchased -400 120.0000 American 15 Jun 2018
ADR Call Options Written -500 180.0000 American 18 Jan 2019
ADR Call Options Written -1,000 178.0000 American 23 Mar 2018
ADR Put Options Purchased -1,000 110.0000 American 18 Jan 2019
ADR Call Options Purchased 1,000 185.0000 American 15 Jun 2018
ADR Call Options Purchased 100 125.0000 American 18 Jan 2019
ADR Put Options Written 100 190.0000 American 18 Jan 2019
ADR Put Options Purchased -100 155.0000 American 15 Jun 2018
ADR Call Options Written -300 163.0000 American 29 Mar 2018
ADR Put Options Purchased -300 150.0000 American 20 Apr 2018
ADR Call Options Written -1,900 175.0000 American 15 Jun 2018
ADR Call Options Written -2,000 155.0000 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 Call Options Purchased 100 165.0000 American 6 Apr 2018
ADR Call Options Written -100 220.0000 American 20 Apr 2018
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 Purchased -1,200 170.0000 American 20 Apr 2018
ADR Put Options Purchased -1,900 140.0000 American 18 Jan 2019
ADR Call Options Written -3,200 140.0000 American 18 Jan 2019
ADR Call Options Purchased 500 220.0000 American 18 Jan 2019
ADR Put Options Purchased -100 70.0000 American 18 Jan 2019
ADR Call Options Written -200 140.0000 American 15 Jun 2018
ADR Put Options Purchased -200 120.0000 American 18 Jan 2019
ADR Call Options Written -1,100 200.0000 American 18 Jan 2019
ADR Call Options Written -1,600 185.0000 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: 643417
Time of Receipt (offset from UTC): 20180320T110716+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC