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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

CME GROUP INC

(d) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

 

CONNECTED TO THE OFFEROR

(e) Date dealing undertaken:  

6 April 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?

If it is a cash offer or possible cash offer, state “N/A”

 

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: 93,032 0.03% 6,585 0.00%
           
(2) Cash-settled derivatives:
318 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 181,500 0.05% 297,600 0.09%
           
(4)
TOTAL: 274,850 0.08% 304,185 0.09%

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 5 160.3200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 19 159.4131 USD
USD 0.01 CLASS A COMMON STOCK Purchase 33 161.7000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 36 159.0299 USD
USD 0.01 CLASS A COMMON STOCK Purchase 59 160.8738 USD
USD 0.01 CLASS A COMMON STOCK Purchase 69 158.4182 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 159.9750 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.0900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 158.9700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 150 159.4833 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 159.6600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 159.1650 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 159.3350 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 160.8300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 161.2500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 309 160.5100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 159.3075 USD
USD 0.01 CLASS A COMMON STOCK Purchase 680 159.5120 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,200 159.5308 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,400 160.0442 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,564 158.1991 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,000 159.8688 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,087 158.3496 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,258 158.6460 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,300 158.4300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,599 160.7766 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,200 159.8539 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,727 158.5681 USD
USD 0.01 CLASS A COMMON STOCK Purchase 7,355 160.5487 USD
USD 0.01 CLASS A COMMON STOCK Purchase 10,478 159.6679 USD
USD 0.01 CLASS A COMMON STOCK Purchase 13,870 159.7719 USD
USD 0.01 CLASS A COMMON STOCK Purchase 18,556 158.2600 USD
USD 0.01 CLASS A COMMON STOCK Sale 9 158.5500 USD
USD 0.01 CLASS A COMMON STOCK Sale 10 160.1900 USD
USD 0.01 CLASS A COMMON STOCK Sale 28 158.2200 USD
USD 0.01 CLASS A COMMON STOCK Sale 33 161.7000 USD
USD 0.01 CLASS A COMMON STOCK Sale 69 158.4182 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 157.3200 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 157.5900 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 158.4001 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.7700 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.3700 USD
USD 0.01 CLASS A COMMON STOCK Sale 136 158.9859 USD
USD 0.01 CLASS A COMMON STOCK Sale 181 160.0380 USD
USD 0.01 CLASS A COMMON STOCK Sale 183 160.4676 USD
USD 0.01 CLASS A COMMON STOCK Sale 191 158.7441 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 158.3050 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.1650 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 158.2283 USD
USD 0.01 CLASS A COMMON STOCK Sale 309 160.5100 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 157.8250 USD
USD 0.01 CLASS A COMMON STOCK Sale 405 161.4854 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 158.1960 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 161.3360 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 159.4200 USD
USD 0.01 CLASS A COMMON STOCK Sale 564 158.1487 USD
USD 0.01 CLASS A COMMON STOCK Sale 580 159.7037 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 160.0766 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 160.3683 USD
USD 0.01 CLASS A COMMON STOCK Sale 777 159.7059 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,000 158.8915 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 160.4365 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,700 158.9847 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,800 159.8905 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,916 160.1882 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,948 159.8964 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,087 158.3496 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,100 159.8335 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,300 158.4300 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,600 160.1255 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,178 160.6703 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,859 159.3509 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,986 158.6164 USD
USD 0.01 CLASS A COMMON STOCK Sale 17,619 160.0552 USD
USD 0.01 CLASS A COMMON STOCK Sale 18,556 158.2600 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 100 140 USD American 15 Jun 2018 20.1900 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 180 USD American 18 Jan 2019 5.5300 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 600 155 USD American 21 Sep 2018 16.2000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 100 160 USD American 21 Sep 2018 12.3000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 2,400 180 USD American 20 Apr 2018 0.1300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 70 USD American 17 Jan 2020 1.6000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 500 160 USD American 13 Apr 2018 3.0400 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 500 158 USD American 13 Apr 2018 1.9200 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:  

9 April 2018

Contact name:

ELISE TANG

Telephone number:

0207 1163001

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

Full name of person making disclosure:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

CME GROUP INC

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 Call Options Purchased 7,100 160.0000 American 21 Sep 2018
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 300 165.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 240.0000 American 17 Jan 2020
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 Call Options Written -700 155.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -900 165.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,000 190.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,000 178.0000 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 2,500 160.0000 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 1,300 190.0000 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 -1,000 200.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 180.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,800 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,400 160.0000 American 11 May 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 -7,000 170.0000 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 5,000 170.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 2,300 160.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,000 125.0000 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 Call Options Written -200 165.0000 American 6 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -300 160.0000 American 6 Apr 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 Written -3,200 178.0000 American 20 Apr 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 Call Options Purchased 900 163.0000 American 6 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 800 105.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 160.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 153.0000 American 27 Apr 2018
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 Purchased 100 163.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 135.0000 American 13 Apr 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 -200 158.0000 American 27 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 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 Call Options Written -1,000 170.0000 American 18 May 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 -8,600 160.0000 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 1,000 155.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 700 200.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Put Options Written 500 158.0000 American 13 Apr 2018
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 200 140.0000 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 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 -200 165.0000 American 13 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -400 180.0000 American 18 Jan 2019
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 -900 170.0000 American 20 Apr 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 Written -2,000 175.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -7,600 180.0000 American 20 Apr 2018
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 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 400 145.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 300 173.0000 American 27 Apr 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 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 -500 135.0000 American 20 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 160.0000 American 13 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -900 135.0000 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 Purchased -202,500 150.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 135,000 160.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 700 163.0000 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 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 70.0000 American 18 Jan 2019
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: 644597
Time of Receipt (offset from UTC): 20180409T104539+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC