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: 27 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% 19,460 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 217,900 0.06% 293,400 0.09%
           
 
TOTAL: 297,900 0.09% 312,860 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 98 157.3700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 157.3400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 156.9400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 156.7100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 157.1000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 157.5300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 157.5228 USD
USD 0.01 CLASS A COMMON STOCK Purchase 250 156.3180 USD
USD 0.01 CLASS A COMMON STOCK Purchase 314 156.9700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 156.7800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 157.2214 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,100 157.3344 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,194 157.3602 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,500 157.1205 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,917 157.3600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,509 156.8921 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,134 157.0019 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,674 157.5204 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,000 157.1907 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,600 156.9960 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,527 156.9671 USD
USD 0.01 CLASS A COMMON STOCK Purchase 9,373 157.1947 USD
USD 0.01 CLASS A COMMON STOCK Purchase 13,100 156.6717 USD
USD 0.01 CLASS A COMMON STOCK Purchase 13,424 156.8009 USD
USD 0.01 CLASS A COMMON STOCK Purchase 15,090 157.2193 USD
USD 0.01 CLASS A COMMON STOCK Purchase 38,914 156.7683 USD
USD 0.01 CLASS A COMMON STOCK Purchase 39,795 156.5160 USD
USD 0.01 CLASS A COMMON STOCK Sale 30 157.3700 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 156.3900 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 157.3400 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 156.8450 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 157.5166 USD
USD 0.01 CLASS A COMMON STOCK Sale 467 157.3321 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 156.9525 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 156.2200 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 156.9025 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 157.2214 USD
USD 0.01 CLASS A COMMON STOCK Sale 800 157.5200 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,074 157.5130 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,100 157.3344 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,495 156.2849 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,500 157.5266 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,500 156.7806 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,800 156.7990 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,858 156.6205 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,970 157.3600 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,044 156.5466 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,116 156.7656 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,900 156.9571 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,500 157.1562 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,228 156.4139 USD
USD 0.01 CLASS A COMMON STOCK Sale 8,400 156.4974 USD
USD 0.01 CLASS A COMMON STOCK Sale 8,727 156.9701 USD
USD 0.01 CLASS A COMMON STOCK Sale 9,800 156.6317 USD
USD 0.01 CLASS A COMMON STOCK Sale 13,690 157.2000 USD
USD 0.01 CLASS A COMMON STOCK Sale 16,483 156.8072 USD
USD 0.01 CLASS A COMMON STOCK Sale 18,668 157.1741 USD
USD 0.01 CLASS A COMMON STOCK Sale 23,269 156.5904 USD
USD 0.01 CLASS A COMMON STOCK Sale 32,096 156.8003 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 18 May 2018 0.9000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 100 158 USD American 27 Apr 2018 0.7000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 158 USD American 4 May 2018 2.6500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 160 USD American 27 Apr 2018 3.5300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 165 USD American 21 Dec 2018 15.9000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 158 USD American 27 Apr 2018 0.1500 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: 30 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 Put Options Purchased -100 158.0000 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 Call Options Purchased 1,000 163.0000 American 4 May 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 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 -9,300 158.0000 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 Put Options Written 200 165.0000 American 27 Apr 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 -100 165.0000 American 21 Dec 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 -400 153.0000 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 -1,100 160.0000 American 27 Apr 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 4,300 115.0000 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 1,000 165.0000 American 18 May 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 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 6,800 163.0000 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 Call Options Written -100 158.0000 American 27 Apr 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: 646096
Time of Receipt (offset from UTC): 20180430T100806+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC