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: 01 May 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% 28,720 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 199,900 0.06% 277,800 0.08%
           
(4)
TOTAL: 279,900 0.08% 306,520 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 30 156.2600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 44 156.8500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 49 156.3100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 75 155.9199 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 155.6300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 156.6900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 156.8200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 156.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 157.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 128 156.4491 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 157.2700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 156.5175 USD
USD 0.01 CLASS A COMMON STOCK Purchase 202 156.5873 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 157.2600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 335 155.5644 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 155.9150 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 156.1467 USD
USD 0.01 CLASS A COMMON STOCK Purchase 800 154.7375 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,100 156.2990 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,267 155.8926 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,300 155.8634 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,500 156.6826 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,900 156.2531 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,900 155.8000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,903 157.1646 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,388 156.4936 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,031 155.5758 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,446 156.9489 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,514 155.7040 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,700 156.2047 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,806 155.9061 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,322 156.3649 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,840 155.7569 USD
USD 0.01 CLASS A COMMON STOCK Purchase 7,200 156.1668 USD
USD 0.01 CLASS A COMMON STOCK Purchase 9,291 156.2236 USD
USD 0.01 CLASS A COMMON STOCK Purchase 11,762 156.7783 USD
USD 0.01 CLASS A COMMON STOCK Purchase 22,045 156.5000 USD
USD 0.01 CLASS A COMMON STOCK Sale 6 155.8500 USD
USD 0.01 CLASS A COMMON STOCK Sale 12 156.4900 USD
USD 0.01 CLASS A COMMON STOCK Sale 15 155.7900 USD
USD 0.01 CLASS A COMMON STOCK Sale 15 156.7300 USD
USD 0.01 CLASS A COMMON STOCK Sale 28 156.4101 USD
USD 0.01 CLASS A COMMON STOCK Sale 44 156.8500 USD
USD 0.01 CLASS A COMMON STOCK Sale 90 156.4500 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 156.4600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 165.0000 USD
USD 0.01 CLASS A COMMON STOCK Sale 154 156.4759 USD
USD 0.01 CLASS A COMMON STOCK Sale 188 156.5012 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 156.1700 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 155.9250 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 155.9600 USD
USD 0.01 CLASS A COMMON STOCK Sale 293 155.9392 USD
USD 0.01 CLASS A COMMON STOCK Sale 317 156.3675 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 155.9120 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 156.1960 USD
USD 0.01 CLASS A COMMON STOCK Sale 575 156.0060 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 156.4895 USD
USD 0.01 CLASS A COMMON STOCK Sale 657 155.3462 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 157.2514 USD
USD 0.01 CLASS A COMMON STOCK Sale 800 155.9062 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,000 155.8982 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,100 156.2990 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,147 156.8326 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,200 156.4802 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,240 156.4992 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,289 157.0428 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 155.9073 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,500 156.6826 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,800 157.1972 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,900 155.8000 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,270 156.9917 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,400 155.8480 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,500 156.4507 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,140 155.8205 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,251 156.4347 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,500 156.1119 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,533 156.7929 USD
USD 0.01 CLASS A COMMON STOCK Sale 19,006 155.9451 USD
USD 0.01 CLASS A COMMON STOCK Sale 22,108 156.5000 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 200 160 USD American 15 Jun 2018 2.9250 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 200 158 USD American 18 May 2018 2.0500 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 2,000 173 USD American 18 May 2018 0.1000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 200 140 USD American 18 Jan 2019 6.5000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 160 USD American 4 May 2018 3.3000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 165 USD American 4 May 2018 4.5000 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: 2 May 2018
Contact name: Jay Supaya
Telephone number: 020 7773 0635

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 8,400 160.0000 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 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 Put Options Written 300 155.0000 American 15 Jun 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 -1,800 165.0000 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 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 Purchased 100 160.0000 American 18 May 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 Put Options Purchased -1,400 145.0000 American 8 Jun 2018
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 1,400 140.0000 American 8 Jun 2018
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 Put Options Purchased -100 160.0000 American 4 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 -8,400 160.0000 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 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 -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 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 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 Call Options Written -200 158.0000 American 18 May 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 2,200 170.0000 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 200 145.0000 American 18 Jan 2019
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 -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 -2,100 140.0000 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 136,000 160.0000 American 15 Jun 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 Call Options Written -2,000 173.0000 American 18 May 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: 646295
Time of Receipt (offset from UTC): 20180502T104711+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC