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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

CME GROUP INC

(d) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

 

CONNECTED TO THE OFFEROR

(e) Date dealing undertaken:  

04 June 2018

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

NO

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: 91,332 0.03% 30,448 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 274,600 0.08% 398,400 0.12%
           
(4)
TOTAL: 365,932 0.11% 428,848 0.13%

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 2 169.2400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 16 170.3900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 25 170.3800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 28 169.1000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 49 170.2906 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 169.7100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 169.0700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 168.2200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 168.1800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 170.2850 USD
USD 0.01 CLASS A COMMON STOCK Purchase 116 169.8800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 122 170.3457 USD
USD 0.01 CLASS A COMMON STOCK Purchase 169 170.1111 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 170.2700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 233 170.3785 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 170.2533 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 169.7233 USD
USD 0.01 CLASS A COMMON STOCK Purchase 347 168.6200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 359 170.3177 USD
USD 0.01 CLASS A COMMON STOCK Purchase 378 167.8850 USD
USD 0.01 CLASS A COMMON STOCK Purchase 398 170.2662 USD
USD 0.01 CLASS A COMMON STOCK Purchase 442 170.0064 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 170.1680 USD
USD 0.01 CLASS A COMMON STOCK Purchase 632 167.6700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 800 170.2900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 896 168.9964 USD
USD 0.01 CLASS A COMMON STOCK Purchase 900 169.9388 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,300 169.9211 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,367 169.5740 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,503 170.3095 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,268 169.3135 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,268 169.9450 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,371 169.4456 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,537 170.3000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,035 169.5949 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,251 170.2535 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,400 169.2585 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,700 170.0200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 7,378 169.3268 USD
USD 0.01 CLASS A COMMON STOCK Purchase 7,400 169.4071 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,965 169.9206 USD
USD 0.01 CLASS A COMMON STOCK Purchase 11,652 169.8226 USD
USD 0.01 CLASS A COMMON STOCK Purchase 16,243 169.4143 USD
USD 0.01 CLASS A COMMON STOCK Purchase 17,536 169.3318 USD
USD 0.01 CLASS A COMMON STOCK Purchase 17,583 169.9218 USD
USD 0.01 CLASS A COMMON STOCK Sale 2 169.2400 USD
USD 0.01 CLASS A COMMON STOCK Sale 12 167.6700 USD
USD 0.01 CLASS A COMMON STOCK Sale 28 169.1000 USD
USD 0.01 CLASS A COMMON STOCK Sale 43 170.1000 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 169.7100 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 169.9900 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 170.2500 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 170.2600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 169.1350 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 167.6100 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 169.8900 USD
USD 0.01 CLASS A COMMON STOCK Sale 154 169.0224 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 168.5100 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 169.0300 USD
USD 0.01 CLASS A COMMON STOCK Sale 258 169.4299 USD
USD 0.01 CLASS A COMMON STOCK Sale 269 170.3497 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 168.9283 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 169.9116 USD
USD 0.01 CLASS A COMMON STOCK Sale 368 167.8908 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 169.6175 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 168.7050 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 169.0825 USD
USD 0.01 CLASS A COMMON STOCK Sale 900 169.6616 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,060 170.3002 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,199 169.3313 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,212 169.1254 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,409 170.2831 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,592 169.1433 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,615 169.7691 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,863 169.3487 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,800 169.7017 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,700 170.0200 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,200 169.3934 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,578 169.4009 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,825 169.5048 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,100 169.4785 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,738 169.9168 USD
USD 0.01 CLASS A COMMON STOCK Sale 7,783 170.3000 USD
USD 0.01 CLASS A COMMON STOCK Sale 12,133 169.3850 USD
USD 0.01 CLASS A COMMON STOCK Sale 16,686 169.9534 USD
USD 0.01 CLASS A COMMON STOCK Sale 19,849 169.3915 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 500 130 USD American 15 Jun 2018 39.9700 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 200 155 USD American 21 Sep 2018 17.5300 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 400 170 USD American 8 Jun 2018 1.3000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 1,600 170 USD American 21 Sep 2018 7.2000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 175 USD American 29 Jun 2018 1.2500 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 175 USD American 20 Jul 2018 2.7400 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 200 175 USD American 21 Sep 2018 4.8700 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 180 USD American 20 Jul 2018 1.4000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 2,600 200 USD American 21 Dec 2018 1.1500 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 200 160 USD American 21 Sep 2018 13.6300 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 10,900 165 USD American 20 Jul 2018 8.1933 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 200 170 USD American 21 Sep 2018 7.2200 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 165 USD American 15 Jun 2018 1.1200 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 2,600 115 USD American 21 Dec 2018 0.7500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 300 125 USD American 15 Jun 2018 0.0300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 900 130 USD American 21 Sep 2018 0.5500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 3,000 135 USD American 15 Jun 2018 0.0300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 800 135 USD American 20 Jul 2018 0.2000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 400 155 USD American 15 Jun 2018 0.2175 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 155 USD American 20 Jul 2018 1.0000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 600 163 USD American 15 Jun 2018 0.5500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 400 165 USD American 15 Jun 2018 0.9000 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: 5 Jun 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.

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

Full name of person making disclosure:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

CME GROUP INC

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 100 165.0000 American 18 Jan 2019
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 200 168.0000 American 6 Jul 2018
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 600 163.0000 American 15 Jun 2018
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 900 130.0000 American 18 Jan 2019
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 Put Options Written 2,600 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 2,600 200.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 9,700 160.0000 American 21 Sep 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 Written -700 155.0000 American 21 Sep 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 Put Options Purchased -200 145.0000 American 22 Jun 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 Written 100 175.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 180.0000 American 20 Jul 2018
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 200 150.0000 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 Call Options Purchased 400 170.0000 American 8 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 Put Options Written 800 135.0000 American 20 Jul 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,000 163.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,200 155.0000 American 15 Jun 2018
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 1,700 150.0000 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 Put Options Written 2,600 155.0000 American 20 Jul 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,600 115.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -11,300 165.0000 American 20 Jul 2018
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 Purchased -5,000 60.0000 American 18 Jan 2019
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 -2,300 165.0000 American 21 Sep 2018
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 Call Options Written -100 160.0000 American 8 Jun 2018
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 Purchased 100 175.0000 American 29 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 300 175.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 600 145.0000 American 20 Jul 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 600 130.0000 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 3,900 170.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 6,700 140.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -3,300 175.0000 American 20 Jul 2018
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 Put Options Purchased -1,100 95.0000 American 18 Jan 2019
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 Put Options Purchased -500 140.0000 American 21 Sep 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 Written 800 105.0000 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 1,500 185.0000 American 18 Jan 2019
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 Call Options Purchased 2,000 165.0000 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 9,900 175.0000 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 Call Options Written -5,600 150.0000 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 Purchased -1,400 115.0000 American 15 Jun 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 -600 130.0000 American 21 Sep 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 Put Options Written 100 165.0000 American 29 Jun 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 100 120.0000 American 18 Jan 2019
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 200 140.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 500 148.0000 American 15 Jun 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 1,000 163.0000 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 2,800 130.0000 American 15 Jun 2018
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 -1,000 110.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -800 130.0000 American 18 Jan 2019
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 -400 120.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -400 145.0000 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 -100 153.0000 American 15 Jun 2018
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 -100 125.0000 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 Purchased 100 125.0000 American 18 Jan 2019
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 700 185.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 800 125.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 3,000 135.0000 American 15 Jun 2018
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 Written -9,400 168.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -3,300 155.0000 American 21 Sep 2018
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 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 600 155.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 6,700 170.0000 American 15 Jun 2018
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 -3,200 140.0000 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 -1,300 160.0000 American 17 Jan 2020
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 Call Options Written -500 135.0000 American 15 Jun 2018
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 -200 163.0000 American 6 Jul 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 Put Options Written 300 153.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 400 160.0000 American 20 Jul 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 Written 136,100 160.0000 American 15 Jun 2018
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 -1,100 200.0000 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

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: 648777
Time of Receipt (offset from UTC): 20180605T114043+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC