Form 8 (DD) - CME GROUP INC - AMENDMENT

LONDON--()--

FORM 8 (DD) AMENDMENT TO SALES AND PURCHASES

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: 18 June 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: 80,244 0.02% 26,488 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 107,500 0.03% 175,700 0.05%
           
 
TOTAL: 187,744 0.06% 202,188 0.06%

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 20 169.0600 USD
USD 0.01 Class A common stock Purchase 25 169.2600 USD
USD 0.01 Class A common stock Purchase 53 168.9400 USD
USD 0.01 Class A common stock Purchase 100 169.1400 USD
USD 0.01 Class A common stock Purchase 100 169.0200 USD
USD 0.01 Class A common stock Purchase 100 168.9300 USD
USD 0.01 Class A common stock Purchase 100 168.9900 USD
USD 0.01 Class A common stock Purchase 100 168.6900 USD
USD 0.01 Class A common stock Purchase 100 169.2900 USD
USD 0.01 Class A common stock Purchase 180 169.0533 USD
USD 0.01 Class A common stock Purchase 200 168.9262 USD
USD 0.01 Class A common stock Purchase 200 168.6700 USD
USD 0.01 Class A common stock Purchase 209 169.0061 USD
USD 0.01 Class A common stock Purchase 238 169.0510 USD
USD 0.01 Class A common stock Purchase 300 168.9675 USD
USD 0.01 Class A common stock Purchase 301 168.8089 USD
USD 0.01 Class A common stock Purchase 307 168.6532 USD
USD 0.01 Class A common stock Purchase 320 168.8301 USD
USD 0.01 Class A common stock Purchase 400 169.0550 USD
USD 0.01 Class A common stock Purchase 505 169.1308 USD
USD 0.01 Class A common stock Purchase 532 169.3241 USD
USD 0.01 Class A common stock Purchase 565 169.1714 USD
USD 0.01 Class A common stock Purchase 575 169.0365 USD
USD 0.01 Class A common stock Purchase 867 168.8515 USD
USD 0.01 Class A common stock Purchase 1,096 169.2000 USD
USD 0.01 Class A common stock Purchase 1,292 169.0830 USD
USD 0.01 Class A common stock Purchase 1,419 169.1980 USD
USD 0.01 Class A common stock Purchase 1,800 168.9419 USD
USD 0.01 Class A common stock Purchase 2,200 168.9800 USD
USD 0.01 Class A common stock Purchase 2,303 169.1790 USD
USD 0.01 Class A common stock Purchase 3,100 169.1230 USD
USD 0.01 Class A common stock Purchase 4,200 168.9691 USD
USD 0.01 Class A common stock Purchase 4,317 169.0980 USD
USD 0.01 Class A common stock Purchase 6,800 169.1425 USD
USD 0.01 Class A common stock Sale 18 168.8300 USD
USD 0.01 Class A common stock Sale 68 169.3123 USD
USD 0.01 Class A common stock Sale 100 169.2300 USD
USD 0.01 Class A common stock Sale 100 168.9550 USD
USD 0.01 Class A common stock Sale 132 169.3111 USD
USD 0.01 Class A common stock Sale 200 168.8700 USD
USD 0.01 Class A common stock Sale 200 168.8550 USD
USD 0.01 Class A common stock Sale 200 169.0200 USD
USD 0.01 Class A common stock Sale 200 169.2050 USD
USD 0.01 Class A common stock Sale 214 168.6915 USD
USD 0.01 Class A common stock Sale 225 168.8277 USD
USD 0.01 Class A common stock Sale 300 169.1816 USD
USD 0.01 Class A common stock Sale 320 168.8301 USD
USD 0.01 Class A common stock Sale 332 169.3318 USD
USD 0.01 Class A common stock Sale 357 168.8271 USD
USD 0.01 Class A common stock Sale 400 168.9800 USD
USD 0.01 Class A common stock Sale 400 169.1787 USD
USD 0.01 Class A common stock Sale 400 169.3325 USD
USD 0.01 Class A common stock Sale 467 168.8420 USD
USD 0.01 Class A common stock Sale 538 169.0463 USD
USD 0.01 Class A common stock Sale 600 169.0708 USD
USD 0.01 Class A common stock Sale 607 168.6883 USD
USD 0.01 Class A common stock Sale 700 169.0600 USD
USD 0.01 Class A common stock Sale 700 169.2114 USD
USD 0.01 Class A common stock Sale 700 169.2200 USD
USD 0.01 Class A common stock Sale 710 168.9180 USD
USD 0.01 Class A common stock Sale 990 169.1966 USD
USD 0.01 Class A common stock Sale 1,700 169.0382 USD
USD 0.01 Class A common stock Sale 2,501 169.2000 USD
USD 0.01 Class A common stock Sale 2,700 168.9225 USD
USD 0.01 Class A common stock Sale 2,817 169.1279 USD
USD 0.01 Class A common stock Sale 3,400 168.9482 USD
USD 0.01 Class A common stock Sale 4,865 169.1386 USD
USD 0.01 Class A common stock Sale 7,010 169.1149 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 1,000 163 USD American 20 Jul 2018 8.2000 USD
USD 0.01 Class A common stock Call Options Purchasing 1,800 170 USD American 22 Jun 2018 1.0500 USD
USD 0.01 Class A common stock Call Options Purchasing 200 175 USD American 17 Aug 2018 3.0700 USD
USD 0.01 Class A common stock Call Options Purchasing 600 175 USD American 21 Sep 2018 4.2200 USD
USD 0.01 Class A common stock Call Options Purchasing 1,600 185 USD American 21 Sep 2018 1.5400 USD
USD 0.01 Class A common stock Call Options Purchasing 500 190 USD American 21 Sep 2018 0.8600 USD
USD 0.01 Class A common stock Call Options Selling 100 165 USD American 20 Jul 2018 6.5000 USD
USD 0.01 Class A common stock Call Options Selling 100 170 USD American 29 Jun 2018 2.4000 USD
USD 0.01 Class A common stock Call Options Selling 600 170 USD American 21 Sep 2018 6.5200 USD
USD 0.01 Class A common stock Put Options Purchasing 500 125 USD American 17 Aug 2018 0.2300 USD
USD 0.01 Class A common stock Put Options Purchasing 500 155 USD American 21 Dec 2018 3.5000 USD
USD 0.01 Class A common stock Put Options Purchasing 1,000 160 USD American 21 Sep 2018 3.2500 USD
USD 0.01 Class A common stock Put Options Selling 1,000 155 USD American 21 Sep 2018 2.2000 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: 20 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

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 9,800 160.0000 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 Call Options Purchased 2,400 170.0000 American 22 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 700 173.0000 American 22 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 Put Options Purchased -5,000 65.0000 American 18 Jan 2019
USD 0.01 Class A common stock Call Options Purchased 3,000 190.0000 American 21 Sep 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 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 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 200 175.0000 American 17 Aug 2018
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 -200 170.0000 American 20 Jul 2018
USD 0.01 Class A common stock Call Options Written -700 175.0000 American 22 Jun 2018
USD 0.01 Class A common stock Put Options Purchased -2,100 165.0000 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 -12,700 165.0000 American 20 Jul 2018
USD 0.01 Class A common stock Call Options Purchased 7,100 175.0000 American 21 Sep 2018
USD 0.01 Class A common stock Call Options Purchased 1,000 163.0000 American 20 Jul 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 Put Options Written 500 158.0000 American 22 Jun 2018
USD 0.01 Class A common stock Put Options Written 400 115.0000 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 Put Options Purchased -300 90.0000 American 17 Jan 2020
USD 0.01 Class A common stock Put Options Purchased -500 140.0000 American 21 Sep 2018
USD 0.01 Class A common stock Put Options Purchased -700 160.0000 American 21 Sep 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 -3,100 175.0000 American 20 Jul 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 1,300 130.0000 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 -500 155.0000 American 21 Dec 2018
USD 0.01 Class A common stock Put Options Purchased -500 163.0000 American 22 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 -1,200 200.0000 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 Purchased 1,000 105.0000 American 18 Jan 2019
USD 0.01 Class A common stock Call Options Purchased 1,000 180.0000 American 21 Sep 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 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 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 -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 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 -2,300 155.0000 American 21 Sep 2018
USD 0.01 Class A common stock Put Options Purchased -4,000 160.0000 American 18 Jan 2019
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 Call Options Written -100 165.0000 American 21 Sep 2018
USD 0.01 Class A common stock Call Options Written -100 170.0000 American 29 Jun 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 Put Options Purchased -200 175.0000 American 21 Sep 2018
USD 0.01 Class A common stock Put Options Purchased -500 125.0000 American 17 Aug 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 -2,500 140.0000 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 -3,600 170.0000 American 20 Jul 2018
USD 0.01 Class A common stock Call Options Purchased 600 185.0000 American 21 Sep 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 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 -2,300 170.0000 American 21 Sep 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: 649861
Time of Receipt (offset from UTC): 20180620T145910+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC