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. | |||
(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: | 21 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: | USD 0.01 Class A common stock | ||||||||||
Interests | Short Positions | ||||||||||
Number | (%) | Number | (%) | ||||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 116,383 | 0.03% | 2,892 | 0.00% | |||||||
(2) | Cash-settled derivatives: | ||||||||||
0 | 0.00% | 0 | 0.00% | ||||||||
(3) | Stock-settled derivatives (including options) | ||||||||||
and agreements to purchase/sell: | 28,600 | 0.01% | 69,500 | 0.02% | |||||||
TOTAL: | 144,983 | 0.04% | 72,392 | 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 | ||||||
USD 0.01 Class A common stock | Purchase | 100 | 164.5200 USD | ||||
USD 0.01 Class A common stock | Purchase | 100 | 166.1200 USD | ||||
USD 0.01 Class A common stock | Purchase | 100 | 164.9000 USD | ||||
USD 0.01 Class A common stock | Purchase | 100 | 165.2100 USD | ||||
USD 0.01 Class A common stock | Purchase | 192 | 164.2021 USD | ||||
USD 0.01 Class A common stock | Purchase | 200 | 166.0500 USD | ||||
USD 0.01 Class A common stock | Purchase | 200 | 165.0400 USD | ||||
USD 0.01 Class A common stock | Purchase | 200 | 165.1750 USD | ||||
USD 0.01 Class A common stock | Purchase | 200 | 165.9400 USD | ||||
USD 0.01 Class A common stock | Purchase | 204 | 164.7841 USD | ||||
USD 0.01 Class A common stock | Purchase | 210 | 164.6238 USD | ||||
USD 0.01 Class A common stock | Purchase | 264 | 165.4418 USD | ||||
USD 0.01 Class A common stock | Purchase | 300 | 165.9166 USD | ||||
USD 0.01 Class A common stock | Purchase | 300 | 165.5700 USD | ||||
USD 0.01 Class A common stock | Purchase | 385 | 164.1892 USD | ||||
USD 0.01 Class A common stock | Purchase | 396 | 165.6263 USD | ||||
USD 0.01 Class A common stock | Purchase | 400 | 165.1596 USD | ||||
USD 0.01 Class A common stock | Purchase | 445 | 164.1800 USD | ||||
USD 0.01 Class A common stock | Purchase | 478 | 164.1990 USD | ||||
USD 0.01 Class A common stock | Purchase | 500 | 164.5470 USD | ||||
USD 0.01 Class A common stock | Purchase | 1,100 | 165.1181 USD | ||||
USD 0.01 Class A common stock | Purchase | 1,300 | 165.4546 USD | ||||
USD 0.01 Class A common stock | Purchase | 1,388 | 165.4577 USD | ||||
USD 0.01 Class A common stock | Purchase | 1,400 | 164.8937 USD | ||||
USD 0.01 Class A common stock | Purchase | 1,600 | 163.9709 USD | ||||
USD 0.01 Class A common stock | Purchase | 2,308 | 164.7607 USD | ||||
USD 0.01 Class A common stock | Purchase | 2,710 | 165.2073 USD | ||||
USD 0.01 Class A common stock | Purchase | 3,300 | 164.6568 USD | ||||
USD 0.01 Class A common stock | Purchase | 5,715 | 165.1573 USD | ||||
USD 0.01 Class A common stock | Purchase | 6,842 | 164.5506 USD | ||||
USD 0.01 Class A common stock | Purchase | 16,740 | 164.5000 USD | ||||
USD 0.01 Class A common stock | Sale | 60 | 164.1800 USD | ||||
USD 0.01 Class A common stock | Sale | 64 | 165.5100 USD | ||||
USD 0.01 Class A common stock | Sale | 78 | 164.8350 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 164.0300 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 164.3700 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 164.4000 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 164.4900 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 164.9000 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 165.1000 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 165.3400 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 165.5000 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 165.6301 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 165.7000 USD | ||||
USD 0.01 Class A common stock | Sale | 100 | 166.6000 USD | ||||
USD 0.01 Class A common stock | Sale | 142 | 165.2900 USD | ||||
USD 0.01 Class A common stock | Sale | 179 | 165.3277 USD | ||||
USD 0.01 Class A common stock | Sale | 200 | 165.0200 USD | ||||
USD 0.01 Class A common stock | Sale | 201 | 165.2763 USD | ||||
USD 0.01 Class A common stock | Sale | 210 | 165.3714 USD | ||||
USD 0.01 Class A common stock | Sale | 242 | 165.3288 USD | ||||
USD 0.01 Class A common stock | Sale | 300 | 165.2700 USD | ||||
USD 0.01 Class A common stock | Sale | 300 | 164.7158 USD | ||||
USD 0.01 Class A common stock | Sale | 300 | 165.1733 USD | ||||
USD 0.01 Class A common stock | Sale | 400 | 165.6756 USD | ||||
USD 0.01 Class A common stock | Sale | 400 | 165.9950 USD | ||||
USD 0.01 Class A common stock | Sale | 600 | 165.3591 USD | ||||
USD 0.01 Class A common stock | Sale | 600 | 165.0216 USD | ||||
USD 0.01 Class A common stock | Sale | 600 | 164.8383 USD | ||||
USD 0.01 Class A common stock | Sale | 700 | 164.9257 USD | ||||
USD 0.01 Class A common stock | Sale | 875 | 164.8465 USD | ||||
USD 0.01 Class A common stock | Sale | 1,064 | 164.6690 USD | ||||
USD 0.01 Class A common stock | Sale | 1,088 | 165.3279 USD | ||||
USD 0.01 Class A common stock | Sale | 1,610 | 165.3154 USD | ||||
USD 0.01 Class A common stock | Sale | 2,100 | 164.3780 USD | ||||
USD 0.01 Class A common stock | Sale | 2,703 | 165.3615 USD | ||||
USD 0.01 Class A common stock | Sale | 2,800 | 164.6644 USD | ||||
USD 0.01 Class A common stock | Sale | 2,900 | 164.4317 USD | ||||
USD 0.01 Class A common stock | Sale | 3,472 | 164.8499 USD | ||||
USD 0.01 Class A common stock | Sale | 3,700 | 165.3761 USD | ||||
USD 0.01 Class A common stock | Sale | 5,042 | 164.5306 USD | ||||
USD 0.01 Class A common stock | Sale | 16,076 | 164.5000 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 0.01 Class A common stock | Call Options | Purchasing | 100 | 165 USD | American | 20 Apr 2018 | 5.3000 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: | 22 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.
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 | |||||||||||||
USD 0.01 Class A common stock | Put Options | Written | 1,600 | 145.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 900 | 130.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 200 | 165.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -100 | 155.0000 | American | 21 Sep 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -100 | 115.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -100 | 155.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -200 | 135.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -2,000 | 140.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -5,000 | 65.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 1,700 | 150.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 1,500 | 160.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 1,300 | 190.0000 | American | 21 Sep 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 200 | 135.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 200 | 150.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 115.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 100 | 175.0000 | American | 17 Jan 2020 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -100 | 183.0000 | American | 23 Mar 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -1,000 | 200.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -3,500 | 85.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -5,000 | 60.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -7,100 | 170.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 5,400 | 140.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 1,500 | 160.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 150.0000 | American | 17 Jan 2020 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 175.0000 | American | 21 Sep 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 130.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -500 | 140.0000 | American | 21 Sep 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -800 | 180.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,100 | 95.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 2,200 | 165.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 2,100 | 145.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 1,500 | 185.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 800 | 105.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 165.0000 | American | 21 Sep 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -100 | 175.0000 | American | 13 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -300 | 75.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -500 | 150.0000 | American | 29 Mar 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -600 | 195.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -800 | 145.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,400 | 115.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,500 | 130.0000 | American | 21 Sep 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,800 | 160.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -2,200 | 90.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -5,600 | 150.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -7,500 | 160.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 1,000 | 105.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 400 | 130.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 120.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 170.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 100 | 175.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -100 | 125.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -100 | 165.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -200 | 180.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -200 | 165.0000 | American | 13 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -400 | 175.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -400 | 120.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -500 | 180.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -1,000 | 178.0000 | American | 23 Mar 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,000 | 110.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 1,000 | 185.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 125.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Written | 100 | 190.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -100 | 155.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -300 | 163.0000 | American | 29 Mar 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -300 | 150.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -1,900 | 175.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -2,000 | 155.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 3,100 | 170.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 200 | 145.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 145.0000 | American | 17 Jan 2020 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 100 | 165.0000 | American | 6 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -100 | 220.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -300 | 160.0000 | American | 17 Jan 2020 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -1,000 | 135.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,200 | 100.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,200 | 170.0000 | American | 20 Apr 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -1,900 | 140.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -3,200 | 140.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Purchased | 500 | 220.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -100 | 70.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -200 | 140.0000 | American | 15 Jun 2018 | |||||||
USD 0.01 Class A common stock | Put Options | Purchased | -200 | 120.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | Call Options | Written | -1,100 | 200.0000 | American | 18 Jan 2019 | |||||||
USD 0.01 Class A common stock | 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.