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: 24 April 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: 80,000 0.02% 15,903 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 209,800 0.06% 287,400 0.08%
           
(4)
TOTAL: 289,800 0.09% 303,303 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 3 164.7001 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5 160.8100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.8300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 161.4800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 156 161.4220 USD
USD 0.01 CLASS A COMMON STOCK Purchase 175 161.5871 USD
USD 0.01 CLASS A COMMON STOCK Purchase 198 161.6039 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 161.3300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 161.1650 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 162.1750 USD
USD 0.01 CLASS A COMMON STOCK Purchase 229 164.2424 USD
USD 0.01 CLASS A COMMON STOCK Purchase 262 161.1822 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 161.6683 USD
USD 0.01 CLASS A COMMON STOCK Purchase 418 161.2023 USD
USD 0.01 CLASS A COMMON STOCK Purchase 484 163.9347 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 161.1660 USD
USD 0.01 CLASS A COMMON STOCK Purchase 569 162.3391 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 161.8621 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,002 162.8240 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,007 162.4185 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,100 161.1761 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,509 161.6828 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,831 162.1774 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,900 161.4910 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,500 161.9566 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,500 162.4307 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,313 163.7863 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,800 162.7184 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,800 162.6883 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,127 162.4393 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,000 162.4817 USD
USD 0.01 CLASS A COMMON STOCK Purchase 11,767 161.6000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 14,247 162.7032 USD
USD 0.01 CLASS A COMMON STOCK Purchase 17,089 163.4878 USD
USD 0.01 CLASS A COMMON STOCK Sale 3 164.7001 USD
USD 0.01 CLASS A COMMON STOCK Sale 4 162.8925 USD
USD 0.01 CLASS A COMMON STOCK Sale 5 160.8100 USD
USD 0.01 CLASS A COMMON STOCK Sale 10 164.5700 USD
USD 0.01 CLASS A COMMON STOCK Sale 72 161.5600 USD
USD 0.01 CLASS A COMMON STOCK Sale 85 162.8800 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.9875 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 161.4800 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 161.5200 USD
USD 0.01 CLASS A COMMON STOCK Sale 111 162.8735 USD
USD 0.01 CLASS A COMMON STOCK Sale 199 164.4573 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 161.5350 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 160.4601 USD
USD 0.01 CLASS A COMMON STOCK Sale 206 161.1073 USD
USD 0.01 CLASS A COMMON STOCK Sale 250 161.8340 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 160.9676 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 163.5860 USD
USD 0.01 CLASS A COMMON STOCK Sale 631 161.4787 USD
USD 0.01 CLASS A COMMON STOCK Sale 943 163.7213 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,200 162.2693 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,400 163.6171 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,509 161.6828 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,600 162.9578 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,600 163.0895 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,831 162.1774 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,900 161.4910 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,050 164.0202 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,062 161.1733 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,100 161.5158 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,549 162.6179 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,634 162.8554 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,000 162.1281 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,840 163.2429 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,943 161.6000 USD
USD 0.01 CLASS A COMMON STOCK Sale 8,603 163.6010 USD
USD 0.01 CLASS A COMMON STOCK Sale 9,200 162.3374 USD
USD 0.01 CLASS A COMMON STOCK Sale 21,658 162.6817 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   Purchase/sale   Total number of   Highest price per unit paid/received   Lowest price per unit paid/received
security   securities    

(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 Selling 100 160 USD American 18 May 2018 5.5000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 500 175 USD American 18 May 2018 0.8000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 200 180 USD American 18 May 2018 0.4900 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 1,200 185 USD American 18 May 2018 0.2300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 2,400 145 USD American 27 Apr 2018 0.0500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 1,400 163 USD American 27 Apr 2018 1.8500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 500 160 USD American 15 Jun 2018 5.4800 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 1,400 165 USD American 27 Apr 2018 2.9500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 500 165 USD American 15 Jun 2018 6.4000 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: 25 Apr 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

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 Call Options Purchased 900 130.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,100 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 500 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 8,200 160.0000 American 21 Sep 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 Call Options Written -2,000 178.0000 American 27 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 -100 115.0000 American 18 Jan 2019
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 Written -2,000 190.0000 American 18 May 2018
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 Written 200 150.0000 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 Put Options Written 100 175.0000 American 17 Jan 2020
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 Call Options Purchased 100 115.0000 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 Written -1,000 200.0000 American 15 Jun 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 Put Options Purchased -3,500 85.0000 American 18 Jan 2019
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 -2,400 160.0000 American 11 May 2018
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 100 130.0000 American 15 Jun 2018
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 5,800 170.0000 American 21 Sep 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 Written -100 165.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -900 180.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -300 160.0000 American 27 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 Put Options Purchased -1,100 95.0000 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 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 13,500 175.0000 American 15 Jun 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 Written -900 170.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -9,400 158.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -600 75.0000 American 18 Jan 2019
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 Put Options Purchased -1,400 115.0000 American 15 Jun 2018
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 -500 175.0000 American 18 May 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 Call Options Written -200 180.0000 American 18 May 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 -2,200 90.0000 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 100 120.0000 American 18 Jan 2019
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 Call Options Purchased 600 170.0000 American 27 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 Call Options Purchased 700 200.0000 American 17 Jan 2020
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 Put Options Purchased -100 125.0000 American 18 Jan 2019
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 -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 Written 100 190.0000 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 Call Options Written -2,000 155.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,200 185.0000 American 18 May 2018
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 Purchased 200 145.0000 American 18 Jan 2019
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 400 173.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 2,700 170.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 165.0000 American 21 Sep 2018
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 Written -300 160.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 160.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -203,000 150.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -500 135.0000 American 15 Jun 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 Put Options Purchased -1,200 100.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,400 145.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 7,000 163.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 136,400 160.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 9,200 168.0000 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 -200 120.0000 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 Put Options Purchased -100 70.0000 American 17 Jan 2020
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 Put Options Purchased -100 160.0000 American 18 May 2018
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: 645790
Time of Receipt (offset from UTC): 20180425T111203+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC