Form 8 (DD) - CME GROUP INC - AMENDMENT

LONDON--()--

FORM 8 (DD) AMENDMENT TO 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: 19 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: 80,270 0.02% 24,275 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 109,600 0.03% 178,400 0.05%
           
 
TOTAL: 189,870 0.06% 202,675 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 76 167.4300 USD
USD 0.01 Class A common stock Purchase 92 166.8000 USD
USD 0.01 Class A common stock Purchase 100 166.6700 USD
USD 0.01 Class A common stock Purchase 100 167.4100 USD
USD 0.01 Class A common stock Purchase 100 167.5900 USD
USD 0.01 Class A common stock Purchase 100 166.8675 USD
USD 0.01 Class A common stock Purchase 105 166.8700 USD
USD 0.01 Class A common stock Purchase 130 167.2500 USD
USD 0.01 Class A common stock Purchase 140 166.9385 USD
USD 0.01 Class A common stock Purchase 149 166.8175 USD
USD 0.01 Class A common stock Purchase 173 166.7500 USD
USD 0.01 Class A common stock Purchase 200 166.6850 USD
USD 0.01 Class A common stock Purchase 200 167.1699 USD
USD 0.01 Class A common stock Purchase 236 166.6814 USD
USD 0.01 Class A common stock Purchase 300 167.1900 USD
USD 0.01 Class A common stock Purchase 300 167.6883 USD
USD 0.01 Class A common stock Purchase 300 167.1600 USD
USD 0.01 Class A common stock Purchase 382 167.4727 USD
USD 0.01 Class A common stock Purchase 400 166.8025 USD
USD 0.01 Class A common stock Purchase 600 167.9695 USD
USD 0.01 Class A common stock Purchase 764 167.2868 USD
USD 0.01 Class A common stock Purchase 774 167.4044 USD
USD 0.01 Class A common stock Purchase 1,000 167.2647 USD
USD 0.01 Class A common stock Purchase 1,000 166.9916 USD
USD 0.01 Class A common stock Purchase 1,557 167.2180 USD
USD 0.01 Class A common stock Purchase 1,562 167.4152 USD
USD 0.01 Class A common stock Purchase 1,575 167.2774 USD
USD 0.01 Class A common stock Purchase 2,330 167.1320 USD
USD 0.01 Class A common stock Purchase 2,803 166.9600 USD
USD 0.01 Class A common stock Purchase 2,900 167.3034 USD
USD 0.01 Class A common stock Purchase 3,196 166.9662 USD
USD 0.01 Class A common stock Purchase 3,445 166.5359 USD
USD 0.01 Class A common stock Purchase 5,000 167.6564 USD
USD 0.01 Class A common stock Purchase 6,629 167.2095 USD
USD 0.01 Class A common stock Purchase 7,100 167.5509 USD
USD 0.01 Class A common stock Purchase 13,016 167.0758 USD
USD 0.01 Class A common stock Purchase 13,152 167.0749 USD
USD 0.01 Class A common stock Purchase 23,708 167.2696 USD
USD 0.01 Class A common stock Purchase 112,628 167.2706 USD
USD 0.01 Class A common stock Sale 40 167.4600 USD
USD 0.01 Class A common stock Sale 100 166.4000 USD
USD 0.01 Class A common stock Sale 100 166.5900 USD
USD 0.01 Class A common stock Sale 100 166.7400 USD
USD 0.01 Class A common stock Sale 100 166.8000 USD
USD 0.01 Class A common stock Sale 100 166.8400 USD
USD 0.01 Class A common stock Sale 100 166.8675 USD
USD 0.01 Class A common stock Sale 100 167.1400 USD
USD 0.01 Class A common stock Sale 100 167.9900 USD
USD 0.01 Class A common stock Sale 100 168.0900 USD
USD 0.01 Class A common stock Sale 105 166.8700 USD
USD 0.01 Class A common stock Sale 154 167.1446 USD
USD 0.01 Class A common stock Sale 200 166.5425 USD
USD 0.01 Class A common stock Sale 300 168.3983 USD
USD 0.01 Class A common stock Sale 400 167.1450 USD
USD 0.01 Class A common stock Sale 400 166.8025 USD
USD 0.01 Class A common stock Sale 530 166.9697 USD
USD 0.01 Class A common stock Sale 545 166.5500 USD
USD 0.01 Class A common stock Sale 600 167.2533 USD
USD 0.01 Class A common stock Sale 600 166.8200 USD
USD 0.01 Class A common stock Sale 700 166.9328 USD
USD 0.01 Class A common stock Sale 700 167.1139 USD
USD 0.01 Class A common stock Sale 800 166.4890 USD
USD 0.01 Class A common stock Sale 843 166.9944 USD
USD 0.01 Class A common stock Sale 868 167.1066 USD
USD 0.01 Class A common stock Sale 1,000 167.0407 USD
USD 0.01 Class A common stock Sale 1,127 166.9224 USD
USD 0.01 Class A common stock Sale 1,200 167.1483 USD
USD 0.01 Class A common stock Sale 1,415 166.8389 USD
USD 0.01 Class A common stock Sale 1,612 167.4858 USD
USD 0.01 Class A common stock Sale 1,700 166.5574 USD
USD 0.01 Class A common stock Sale 1,880 166.9852 USD
USD 0.01 Class A common stock Sale 1,946 167.1283 USD
USD 0.01 Class A common stock Sale 2,030 167.0619 USD
USD 0.01 Class A common stock Sale 2,359 166.7548 USD
USD 0.01 Class A common stock Sale 3,100 167.4429 USD
USD 0.01 Class A common stock Sale 3,400 167.8143 USD
USD 0.01 Class A common stock Sale 3,690 167.3979 USD
USD 0.01 Class A common stock Sale 3,947 166.9808 USD
USD 0.01 Class A common stock Sale 5,400 167.7021 USD
USD 0.01 Class A common stock Sale 5,959 166.9600 USD
USD 0.01 Class A common stock Sale 7,504 167.2220 USD
USD 0.01 Class A common stock Sale 8,376 167.1617 USD
USD 0.01 Class A common stock Sale 9,497 167.3253 USD
USD 0.01 Class A common stock Sale 13,082 167.3853 USD
USD 0.01 Class A common stock Sale 13,864 167.0887 USD
USD 0.01 Class A common stock Sale 20,416 167.3754 USD
USD 0.01 Class A common stock Sale 38,660 167.2034 USD
USD 0.01 Class A common stock Sale 44,234 167.2957 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 100 170 USD American 29 Jun 2018 1.2500 USD
USD 0.01 Class A common stock Call Options Purchasing 100 173 USD American 6 Jul 2018 0.7000 USD
USD 0.01 Class A common stock Call Options Purchasing 200 175 USD American 21 Sep 2018 3.5600 USD
USD 0.01 Class A common stock Call Options Selling 200 170 USD American 21 Sep 2018 5.5700 USD
USD 0.01 Class A common stock Call Options Selling 1,300 180 USD American 20 Jul 2018 0.3500 USD
USD 0.01 Class A common stock Call Options Selling 300 185 USD American 21 Sep 2018 1.4666 USD
USD 0.01 Class A common stock Put Options Purchasing 500 120 USD American 18 Jan 2019 1.0400 USD
USD 0.01 Class A common stock Put Options Purchasing 300 130 USD American 18 Jan 2019 1.6500 USD
USD 0.01 Class A common stock Put Options Purchasing 100 160 USD American 17 Aug 2018 2.6000 USD
USD 0.01 Class A common stock Put Options Purchasing 100 170 USD American 21 Sep 2018 8.2000 USD
USD 0.01 Class A common stock Put Options Purchasing 500 180 USD American 21 Sep 2018 14.6000 USD
USD 0.01 Class A common stock Put Options Selling 2,300 135 USD American 20 Jul 2018 0.1700 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: 21 Jun 2018
Contact name: Femi Badmos
Telephone number: 020 3555 1125

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 Put Options Written 3,100 135.0000 American 20 Jul 2018
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 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 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 7,300 175.0000 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 -100 170.0000 American 21 Sep 2018
USD 0.01 Class A common stock Put Options Purchased -100 160.0000 American 17 Aug 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 Call Options Written -1,100 180.0000 American 20 Jul 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 -800 110.0000 American 18 Jan 2019
USD 0.01 Class A common stock Put Options Purchased -1,100 130.0000 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 Purchased 100 173.0000 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 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 -500 180.0000 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 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 Call Options Purchased 300 185.0000 American 21 Sep 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 -700 120.0000 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 -2,500 170.0000 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: 649949
Time of Receipt (offset from UTC): 20180621T171116+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC