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 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:  

06 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: 106,426 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: 275,400 0.08% 403,200 0.12%
           
(4)
TOTAL: 381,826 0.11% 433,648 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 7 173.9000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 95 173.3553 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 172.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 173.3700 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 173.3100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 104 173.2107 USD
USD 0.01 CLASS A COMMON STOCK Purchase 108 173.0592 USD
USD 0.01 CLASS A COMMON STOCK Purchase 128 173.0578 USD
USD 0.01 CLASS A COMMON STOCK Purchase 130 173.5200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 180 173.3600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 140.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 299 172.9583 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 172.9241 USD
USD 0.01 CLASS A COMMON STOCK Purchase 304 173.0500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 325 174.0383 USD
USD 0.01 CLASS A COMMON STOCK Purchase 383 172.2851 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 173.5125 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 100.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 110.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 130.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 600 173.0499 USD
USD 0.01 CLASS A COMMON STOCK Purchase 687 173.2111 USD
USD 0.01 CLASS A COMMON STOCK Purchase 892 173.5370 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,136 173.0622 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,400 125.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,720 173.1844 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,832 172.9641 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,000 162.5000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,300 173.0819 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,400 170.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,000 173.3400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,018 173.2438 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,330 173.1080 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,461 172.7271 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,900 173.0415 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,511 173.5109 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,500 172.5633 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,200 165.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,581 172.8985 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,820 173.5400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 15,108 172.9723 USD
USD 0.01 CLASS A COMMON STOCK Purchase 16,632 173.3206 USD
USD 0.01 CLASS A COMMON STOCK Sale 87 173.1500 USD
USD 0.01 CLASS A COMMON STOCK Sale 98 173.9000 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 171.5600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 171.8100 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 173.6200 USD
USD 0.01 CLASS A COMMON STOCK Sale 111 173.6000 USD
USD 0.01 CLASS A COMMON STOCK Sale 130 173.5200 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 171.2400 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 172.9200 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 173.5700 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 173.2701 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 173.2650 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 173.9700 USD
USD 0.01 CLASS A COMMON STOCK Sale 202 173.9348 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 173.4708 USD
USD 0.01 CLASS A COMMON STOCK Sale 386 172.2500 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 173.1950 USD
USD 0.01 CLASS A COMMON STOCK Sale 489 173.3276 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 172.5110 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 173.6630 USD
USD 0.01 CLASS A COMMON STOCK Sale 659 173.3863 USD
USD 0.01 CLASS A COMMON STOCK Sale 700 173.8207 USD
USD 0.01 CLASS A COMMON STOCK Sale 892 173.5370 USD
USD 0.01 CLASS A COMMON STOCK Sale 900 172.9319 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,140 173.0517 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,300 172.9450 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,535 173.0406 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,545 172.9343 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,383 172.9900 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,100 173.1675 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,300 173.0668 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,400 173.0976 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,000 173.3400 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,330 173.1080 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,511 173.5109 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,000 172.4800 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,147 172.8829 USD
USD 0.01 CLASS A COMMON STOCK Sale 8,058 173.5400 USD
USD 0.01 CLASS A COMMON STOCK Sale 9,376 173.4268 USD
USD 0.01 CLASS A COMMON STOCK Sale 25,618 172.9782 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 300 100 USD American 15 Jun 2018 73.7400 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 300 110 USD American 15 Jun 2018 63.7700 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 700 125 USD American 15 Jun 2018 48.7700 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 1,600 165 USD American 15 Jun 2018 8.7812 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 1,000 170 USD American 8 Jun 2018 2.3500 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 2,000 173 USD American 8 Jun 2018 0.7750 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 1,300 90 USD American 15 Jun 2018 83.7830 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 600 100 USD American 15 Jun 2018 68.0000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 600 110 USD American 15 Jun 2018 58.0000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 1,400 125 USD American 15 Jun 2018 43.0000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 600 130 USD American 15 Jun 2018 40.2000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 200 140 USD American 15 Jun 2018 26.3000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 1,000 163 USD American 8 Jun 2018 5.6000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 1,000 163 USD American 15 Jun 2018 8.4000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 4,700 165 USD American 8 Jun 2018 5.4000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 3,500 165 USD American 15 Jun 2018 5.8000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 3,400 170 USD American 8 Jun 2018 1.2500 USD
USD 0.01 CLASS A COMMON STOCK Call Options Selling 200 200 USD American 15 Jun 2018 0.0300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 200 110 USD American 18 Jan 2019 0.7000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 1,000 125 USD American 18 Jan 2019 1.1600 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 1,900 130 USD American 21 Sep 2018 0.5000 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 300 160 USD American 21 Sep 2018 3.0000 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: 7 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.

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 9,700 160.0000 American 21 Sep 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 Put Options Written 2,600 145.0000 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 Put Options Written 600 165.0000 American 15 Jun 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 Call Options Purchased 500 160.0000 American 21 Dec 2018
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 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 -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 -700 155.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,300 90.0000 American 15 Jun 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 Put Options Written 2,600 115.0000 American 21 Dec 2018
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 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 1,200 155.0000 American 15 Jun 2018
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 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 Call Options Purchased 200 180.0000 American 20 Jul 2018
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 -100 160.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -200 170.0000 American 20 Jul 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -700 125.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,700 200.0000 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 -12,600 165.0000 American 20 Jul 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 Purchased 5,600 175.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 2,000 173.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,900 158.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 900 125.0000 American 18 Jan 2019
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 100 150.0000 American 17 Jan 2020
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 Written -100 158.0000 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 -1,000 180.0000 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 Written -3,300 175.0000 American 20 Jul 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 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 1,300 130.0000 American 21 Sep 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 -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 Purchased -1,400 115.0000 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 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 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 Put Options Written 500 148.0000 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 -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 Put Options Purchased -800 130.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -800 110.0000 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 Written 50,000 155.0000 American 21 Sep 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 800 125.0000 American 15 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 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 Put Options Purchased -3,300 155.0000 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 Call Options Purchased 5,800 170.0000 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 Put Options Written 300 160.0000 American 21 Sep 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 Written -100 165.0000 American 21 Sep 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 -300 110.0000 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 -500 135.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -700 170.0000 American 8 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 Put Options Purchased -1,200 100.0000 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 -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 Written 136,600 160.0000 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 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 -300 100.0000 American 15 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 -1,500 170.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,600 185.0000 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: 648920
Time of Receipt (offset from UTC): 20180607T104836+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC