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: 22 March 2018
(f)

In addition to the company in 1(c) above, is the discloser making
disclosures in respect of any other party to the offer?

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 0.01 Class A common stock            
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 115,574 0.03% 4,302 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 29,700 0.01% 71,500 0.02%
           
 
TOTAL: 145,274 0.04% 75,802 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 42 162.2400 USD
USD 0.01 Class A common stock Purchase 60 160.4870 USD
USD 0.01 Class A common stock Purchase 80 160.1599 USD
USD 0.01 Class A common stock Purchase 100 161.2100 USD
USD 0.01 Class A common stock Purchase 192 164.3207 USD
USD 0.01 Class A common stock Purchase 200 160.1250 USD
USD 0.01 Class A common stock Purchase 200 162.0100 USD
USD 0.01 Class A common stock Purchase 268 160.0118 USD
USD 0.01 Class A common stock Purchase 300 162.8633 USD
USD 0.01 Class A common stock Purchase 300 164.1700 USD
USD 0.01 Class A common stock Purchase 305 163.6431 USD
USD 0.01 Class A common stock Purchase 600 160.8369 USD
USD 0.01 Class A common stock Purchase 600 163.5350 USD
USD 0.01 Class A common stock Purchase 600 161.9533 USD
USD 0.01 Class A common stock Purchase 700 163.6100 USD
USD 0.01 Class A common stock Purchase 700 163.4732 USD
USD 0.01 Class A common stock Purchase 800 164.0187 USD
USD 0.01 Class A common stock Purchase 901 161.5011 USD
USD 0.01 Class A common stock Purchase 997 162.6083 USD
USD 0.01 Class A common stock Purchase 1,000 162.0480 USD
USD 0.01 Class A common stock Purchase 1,410 159.7596 USD
USD 0.01 Class A common stock Purchase 1,489 163.1557 USD
USD 0.01 Class A common stock Purchase 1,900 162.4105 USD
USD 0.01 Class A common stock Purchase 1,901 162.5758 USD
USD 0.01 Class A common stock Purchase 3,498 161.1319 USD
USD 0.01 Class A common stock Purchase 4,500 162.9616 USD
USD 0.01 Class A common stock Purchase 5,800 163.1643 USD
USD 0.01 Class A common stock Purchase 6,010 162.4152 USD
USD 0.01 Class A common stock Purchase 8,200 162.9176 USD
USD 0.01 Class A common stock Purchase 11,636 163.0207 USD
USD 0.01 Class A common stock Purchase 54,637 160.1600 USD
USD 0.01 Class A common stock Sale 3 160.5700 USD
USD 0.01 Class A common stock Sale 5 163.2300 USD
USD 0.01 Class A common stock Sale 6 163.4300 USD
USD 0.01 Class A common stock Sale 42 162.2400 USD
USD 0.01 Class A common stock Sale 50 160.0100 USD
USD 0.01 Class A common stock Sale 80 160.1599 USD
USD 0.01 Class A common stock Sale 100 164.6900 USD
USD 0.01 Class A common stock Sale 100 159.9950 USD
USD 0.01 Class A common stock Sale 100 163.5400 USD
USD 0.01 Class A common stock Sale 100 160.0400 USD
USD 0.01 Class A common stock Sale 100 162.0200 USD
USD 0.01 Class A common stock Sale 100 163.1600 USD
USD 0.01 Class A common stock Sale 100 160.5000 USD
USD 0.01 Class A common stock Sale 100 162.8100 USD
USD 0.01 Class A common stock Sale 100 162.8000 USD
USD 0.01 Class A common stock Sale 118 160.0269 USD
USD 0.01 Class A common stock Sale 192 164.3207 USD
USD 0.01 Class A common stock Sale 199 163.6454 USD
USD 0.01 Class A common stock Sale 200 163.2050 USD
USD 0.01 Class A common stock Sale 200 161.6850 USD
USD 0.01 Class A common stock Sale 200 163.8625 USD
USD 0.01 Class A common stock Sale 254 161.1127 USD
USD 0.01 Class A common stock Sale 260 162.0161 USD
USD 0.01 Class A common stock Sale 300 163.6500 USD
USD 0.01 Class A common stock Sale 598 162.1836 USD
USD 0.01 Class A common stock Sale 600 161.4816 USD
USD 0.01 Class A common stock Sale 600 163.4858 USD
USD 0.01 Class A common stock Sale 935 163.5158 USD
USD 0.01 Class A common stock Sale 1,289 163.3675 USD
USD 0.01 Class A common stock Sale 1,400 161.9692 USD
USD 0.01 Class A common stock Sale 1,409 160.2730 USD
USD 0.01 Class A common stock Sale 1,410 159.7596 USD
USD 0.01 Class A common stock Sale 2,032 163.4791 USD
USD 0.01 Class A common stock Sale 2,300 162.8041 USD
USD 0.01 Class A common stock Sale 2,700 162.7131 USD
USD 0.01 Class A common stock Sale 3,240 163.0857 USD
USD 0.01 Class A common stock Sale 5,400 163.0525 USD
USD 0.01 Class A common stock Sale 5,800 163.0100 USD
USD 0.01 Class A common stock Sale 7,000 161.6981 USD
USD 0.01 Class A common stock Sale 7,807 162.8497 USD
USD 0.01 Class A common stock Sale 8,569 162.8835 USD
USD 0.01 Class A common stock Sale 56,047 160.1600 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 Put Options Purchasing 400 163 USD American 29 Mar 2018 2.2500 USD
USD 0.01 Class A common stock Put Options Purchasing 200 165 USD American 23 Mar 2018 1.6500 USD
USD 0.01 Class A common stock Put Options Purchasing 300 165 USD American 20 Apr 2018 6.5700 USD
USD 0.01 Class A common stock Put Options Purchasing 1,100 165 USD American 27 Apr 2018 6.5745 USD
USD 0.01 Class A common stock Put Options Selling 1,100 163 USD American 27 Apr 2018 5.2745 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: 23 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 -1,100 165.0000 American 27 Apr 2018
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 -200 165.0000 American 23 Mar 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 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 Put Options Purchased -400 165.0000 American 20 Apr 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 Put Options Purchased -400 163.0000 American 29 Mar 2018
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 Put Options Written 1,100 163.0000 American 27 Apr 2018
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.

Short Name: BARCLAYS PLC
Category Code: DCC
Sequence Number: 643743
Time of Receipt (offset from UTC): 20180323T101321+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC