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: 30 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: 80,666 0.02% 28,379 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 256,900 0.08% 381,100 0.11%
           
(4)
TOTAL: 337,566 0.10% 409,479 0.12%

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 1 163.4900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 50 165.3100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 165.2600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 165.2750 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 165.8400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 164.9750 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 165.8300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 165.5600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 169 165.1100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 165.3800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 231 165.3783 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 165.4520 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 162.4183 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 164.3950 USD
USD 0.01 CLASS A COMMON STOCK Purchase 736 165.3637 USD
USD 0.01 CLASS A COMMON STOCK Purchase 800 165.3937 USD
USD 0.01 CLASS A COMMON STOCK Purchase 865 165.3753 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,000 163.2200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,134 163.3090 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,189 161.7680 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,236 165.3306 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,300 164.5196 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,693 164.1931 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,700 163.7436 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,873 163.3930 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,900 165.2866 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,980 165.7456 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,300 165.3235 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,400 165.4975 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,100 165.0200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,811 164.3463 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,835 165.3132 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,950 165.3441 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,700 164.1838 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,833 163.8352 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,000 163.9613 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,000 165.0233 USD
USD 0.01 CLASS A COMMON STOCK Purchase 9,376 165.4807 USD
USD 0.01 CLASS A COMMON STOCK Purchase 12,000 164.2854 USD
USD 0.01 CLASS A COMMON STOCK Purchase 15,243 164.1519 USD
USD 0.01 CLASS A COMMON STOCK Purchase 18,042 164.5302 USD
USD 0.01 CLASS A COMMON STOCK Purchase 19,966 165.4900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 29,658 163.1109 USD
USD 0.01 CLASS A COMMON STOCK Sale 1 163.4900 USD
USD 0.01 CLASS A COMMON STOCK Sale 5 165.4100 USD
USD 0.01 CLASS A COMMON STOCK Sale 8 160.3100 USD
USD 0.01 CLASS A COMMON STOCK Sale 27 165.2400 USD
USD 0.01 CLASS A COMMON STOCK Sale 34 161.0655 USD
USD 0.01 CLASS A COMMON STOCK Sale 54 160.3600 USD
USD 0.01 CLASS A COMMON STOCK Sale 105 165.7702 USD
USD 0.01 CLASS A COMMON STOCK Sale 105 162.8171 USD
USD 0.01 CLASS A COMMON STOCK Sale 130 162.7919 USD
USD 0.01 CLASS A COMMON STOCK Sale 131 165.2493 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 162.9350 USD
USD 0.01 CLASS A COMMON STOCK Sale 220 163.0586 USD
USD 0.01 CLASS A COMMON STOCK Sale 252 161.6986 USD
USD 0.01 CLASS A COMMON STOCK Sale 297 161.8057 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 159.7400 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 163.6450 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 165.7500 USD
USD 0.01 CLASS A COMMON STOCK Sale 309 161.3623 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 161.3480 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 165.6980 USD
USD 0.01 CLASS A COMMON STOCK Sale 513 165.7884 USD
USD 0.01 CLASS A COMMON STOCK Sale 562 165.7873 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 163.7083 USD
USD 0.01 CLASS A COMMON STOCK Sale 750 165.3027 USD
USD 0.01 CLASS A COMMON STOCK Sale 763 164.5261 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,000 164.6015 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,095 164.8050 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,200 161.8191 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,362 164.8833 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,746 161.7299 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,800 163.1827 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,400 165.4975 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,616 163.3027 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,636 162.2031 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,100 165.0200 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,600 164.1902 USD
USD 0.01 CLASS A COMMON STOCK Sale 9,800 164.5552 USD
USD 0.01 CLASS A COMMON STOCK Sale 11,800 164.6190 USD
USD 0.01 CLASS A COMMON STOCK Sale 14,129 164.1385 USD
USD 0.01 CLASS A COMMON STOCK Sale 14,822 165.3393 USD
USD 0.01 CLASS A COMMON STOCK Sale 22,460 163.3509 USD
USD 0.01 CLASS A COMMON STOCK Sale 29,107 165.4900 USD
USD 0.01 CLASS A COMMON STOCK Sale 34,386 164.2485 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 400 160 USD American 20 Jul 2018 6.3825 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 160 USD American 21 Sep 2018 11.0000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 163 USD American 1 Jun 2018 0.5500 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 200 168 USD American 1 Jun 2018 0.3250 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 400 165 USD American 20 Jul 2018 3.6325 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 400 145 USD American 20 Jul 2018 0.6800 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 155 USD American 29 Jun 2018 1.7700 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 155 USD American 29 Jun 2018 1.4500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 400 155 USD American 20 Jul 2018 1.7200 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 50,000 155 USD American 21 Sep 2018 3.5500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 200 160 USD American 8 Jun 2018 0.6000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 2,000 160 USD American 20 Jul 2018 2.6000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 165 USD American 29 Jun 2018 6.2200 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: 31 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 9,900 160.0000 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 Put Options Written 1,000 160.0000 American 29 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 500 160.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 300 165.0000 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 Call Options Purchased 100 165.0000 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 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 -200 145.0000 American 22 Jun 2018
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 -900 155.0000 American 21 Sep 2018
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 Put Options Written 2,500 155.0000 American 20 Jul 2018
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 800 155.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 500 155.0000 American 18 Jan 2019
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 -1,500 200.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,300 165.0000 American 21 Sep 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 Written -100 170.0000 American 20 Jul 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 160.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -400 165.0000 American 20 Jul 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 Put Options Written 5,700 140.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,500 158.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,100 163.0000 American 1 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 400 168.0000 American 1 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 Written -1,000 180.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 165.0000 American 1 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 Written -3,400 175.0000 American 20 Jul 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 158.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -400 145.0000 American 20 Jul 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 Purchased 9,900 175.0000 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 Call Options Purchased 2,000 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,000 160.0000 American 20 Jul 2018
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 1,500 140.0000 American 8 Jun 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 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 -8,300 160.0000 American 15 Jun 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 Put Options Written 2,800 130.0000 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 Call Options Purchased 700 200.0000 American 17 Jan 2020
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 200 155.0000 American 22 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 Written 100 165.0000 American 29 Jun 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 -100,000 145.0000 American 21 Sep 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 -100 165.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 153.0000 American 15 Jun 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 -400 145.0000 American 21 Dec 2018
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 -700 165.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -800 130.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 50,000 155.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 700 185.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 500 125.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 160.0000 American 8 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 Call Options Written -1,500 155.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -4,900 168.0000 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 600 155.0000 American 21 Dec 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 Put Options Purchased -1,200 100.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,300 140.0000 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 -203,400 150.0000 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 -300 160.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Written -500 155.0000 American 20 Jul 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 Written 136,100 160.0000 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 Purchased 400 160.0000 American 20 Jul 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 300 153.0000 American 8 Jun 2018
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 -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

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: 648523
Time of Receipt (offset from UTC): 20180531T101743+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC