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: 25 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% 19,073 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 215,300 0.06% 293,200 0.09%
           
 
TOTAL: 295,300 0.09% 312,273 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 15 161.3800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 19 161.0499 USD
USD 0.01 CLASS A COMMON STOCK Purchase 22 161.1000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 66 160.9699 USD
USD 0.01 CLASS A COMMON STOCK Purchase 80 161.2900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 161.1200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 162.1100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.9450 USD
USD 0.01 CLASS A COMMON STOCK Purchase 193 160.8831 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 160.7100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 160.5100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 161.1137 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 161.0175 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 161.0180 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 160.8500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 551 161.0069 USD
USD 0.01 CLASS A COMMON STOCK Purchase 603 160.8023 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 161.1757 USD
USD 0.01 CLASS A COMMON STOCK Purchase 769 161.0825 USD
USD 0.01 CLASS A COMMON STOCK Purchase 906 160.3346 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,306 160.6916 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,547 160.9609 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,561 160.6706 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,177 160.7064 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,489 160.7738 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,590 161.0240 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,590 161.0241 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,500 160.8512 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,160 160.7750 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,400 160.9234 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,400 160.9522 USD
USD 0.01 CLASS A COMMON STOCK Purchase 9,247 160.8251 USD
USD 0.01 CLASS A COMMON STOCK Purchase 10,630 160.9960 USD
USD 0.01 CLASS A COMMON STOCK Purchase 11,200 160.8295 USD
USD 0.01 CLASS A COMMON STOCK Purchase 24,306 160.8944 USD
USD 0.01 CLASS A COMMON STOCK Purchase 32,924 161.0800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 34,680 160.9719 USD
USD 0.01 CLASS A COMMON STOCK Sale 1 160.7700 USD
USD 0.01 CLASS A COMMON STOCK Sale 7 160.6200 USD
USD 0.01 CLASS A COMMON STOCK Sale 11 161.1500 USD
USD 0.01 CLASS A COMMON STOCK Sale 15 160.1000 USD
USD 0.01 CLASS A COMMON STOCK Sale 19 161.0499 USD
USD 0.01 CLASS A COMMON STOCK Sale 60 160.6342 USD
USD 0.01 CLASS A COMMON STOCK Sale 80 161.2900 USD
USD 0.01 CLASS A COMMON STOCK Sale 93 160.6000 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.3000 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 161.1200 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.6100 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.8600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.8300 USD
USD 0.01 CLASS A COMMON STOCK Sale 115 160.6008 USD
USD 0.01 CLASS A COMMON STOCK Sale 130 161.1001 USD
USD 0.01 CLASS A COMMON STOCK Sale 190 161.1036 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 160.9300 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 161.1433 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 160.5050 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 160.9900 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 161.2866 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 160.6366 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 161.2000 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 160.6700 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 161.2360 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 160.6880 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 161.1060 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 160.6261 USD
USD 0.01 CLASS A COMMON STOCK Sale 761 160.6934 USD
USD 0.01 CLASS A COMMON STOCK Sale 827 161.4061 USD
USD 0.01 CLASS A COMMON STOCK Sale 932 160.9743 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,000 160.7614 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,060 160.8567 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,090 161.0209 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,200 160.7056 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 160.8380 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 160.9830 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,500 161.0263 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,000 161.1767 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,300 160.8947 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,500 160.7682 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,590 161.0240 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,834 161.3324 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,000 160.7417 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,700 161.0387 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,793 160.7818 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,700 160.8474 USD
USD 0.01 CLASS A COMMON STOCK Sale 8,800 160.8918 USD
USD 0.01 CLASS A COMMON STOCK Sale 15,419 160.7881 USD
USD 0.01 CLASS A COMMON STOCK Sale 16,509 160.8624 USD
USD 0.01 CLASS A COMMON STOCK Sale 21,186 160.9819 USD
USD 0.01 CLASS A COMMON STOCK Sale 24,523 161.0159 USD
USD 0.01 CLASS A COMMON STOCK Sale 31,956 161.0800 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 1,000 160 USD American 27 Apr 2018 3.7300 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 900 163 USD American 27 Apr 2018 2.2944 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 200 165 USD American 27 Apr 2018 1.2500 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 600 165 USD American 4 May 2018 2.0700 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 500 165 USD American 18 May 2018 3.0800 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 800 173 USD American 27 Apr 2018 0.1300 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 100 158 USD American 4 May 2018 5.9000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 100 170 USD American 27 Apr 2018 0.4000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 500 170 USD American 18 May 2018 1.5800 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 600 170 USD American 15 Jun 2018 2.8200 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 500 175 USD American 15 Jun 2018 1.6600 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 1,000 210 USD American 18 May 2018 0.0500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 500 125 USD American 21 Dec 2018 2.4500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 2,600 144 USD American 27 Apr 2018 0.1184 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 700 153 USD American 27 Apr 2018 0.6257 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 1,200 160 USD American 27 Apr 2018 2.2533 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 165 USD American 4 May 2018 5.9000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 3,300 115 USD American 18 May 2018 0.1000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 200 160 USD American 18 May 2018 4.2200 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 165 USD American 15 Jun 2018 8.2000 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: 26 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.

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      
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 Put Options Written 2,100 145.0000 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 Put Options Written 600 165.0000 American 15 Jun 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 -200 135.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 125.0000 American 21 Dec 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 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 -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 Put Options Purchased -100 165.0000 American 4 May 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 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 Call Options Purchased 5,800 170.0000 American 21 Sep 2018
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 700 160.0000 American 27 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 -900 180.0000 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 13,000 175.0000 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 Put Options Written 100 160.0000 American 18 May 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 -500 175.0000 American 18 May 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 -800 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,400 170.0000 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 -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 Put Options Purchased -9,400 158.0000 American 27 Apr 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 Call Options Purchased 500 170.0000 American 27 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 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 -500 153.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 210.0000 American 18 May 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 Put Options Purchased -1,000 160.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 3,300 115.0000 American 18 May 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 600 165.0000 American 4 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 400 165.0000 American 18 May 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 -1,200 185.0000 American 18 May 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 2,100 170.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,200 173.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 900 163.0000 American 27 Apr 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 200 145.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 165.0000 American 27 Apr 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 -100 160.0000 American 18 May 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 -500 135.0000 American 15 Jun 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 Put Options Purchased -1,200 100.0000 American 18 Jan 2019
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 -2,400 145.0000 American 27 Apr 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 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 Put Options Written 7,000 163.0000 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 Call Options Written -100 158.0000 American 4 May 2018
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
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,600 144.0000 American 27 Apr 2018

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: 645886
Time of Receipt (offset from UTC): 20180426T111901+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC