Form 8 (DD) - CME GROUP INC

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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:  

22 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: 82,277 0.02% 18,219 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 112,900 0.03% 179,200 0.05%
           
(4)
TOTAL: 195,177 0.06% 197,419 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 1 168.0800 USD
USD 0.01 Class A common stock Purchase 10 168.1700 USD
USD 0.01 Class A common stock Purchase 12 168.2500 USD
USD 0.01 Class A common stock Purchase 25 168.0900 USD
USD 0.01 Class A common stock Purchase 31 167.8900 USD
USD 0.01 Class A common stock Purchase 53 168.1503 USD
USD 0.01 Class A common stock Purchase 59 168.4589 USD
USD 0.01 Class A common stock Purchase 67 168.3199 USD
USD 0.01 Class A common stock Purchase 100 168.1600 USD
USD 0.01 Class A common stock Purchase 100 168.0950 USD
USD 0.01 Class A common stock Purchase 100 168.0400 USD
USD 0.01 Class A common stock Purchase 100 168.4050 USD
USD 0.01 Class A common stock Purchase 101 168.2262 USD
USD 0.01 Class A common stock Purchase 120 168.6366 USD
USD 0.01 Class A common stock Purchase 130 168.7653 USD
USD 0.01 Class A common stock Purchase 200 168.1075 USD
USD 0.01 Class A common stock Purchase 200 168.4575 USD
USD 0.01 Class A common stock Purchase 200 168.4674 USD
USD 0.01 Class A common stock Purchase 200 168.4850 USD
USD 0.01 Class A common stock Purchase 230 168.7389 USD
USD 0.01 Class A common stock Purchase 297 168.6600 USD
USD 0.01 Class A common stock Purchase 349 168.4359 USD
USD 0.01 Class A common stock Purchase 387 168.1319 USD
USD 0.01 Class A common stock Purchase 400 168.3025 USD
USD 0.01 Class A common stock Purchase 534 168.4469 USD
USD 0.01 Class A common stock Purchase 1,100 168.6615 USD
USD 0.01 Class A common stock Purchase 1,700 169.0038 USD
USD 0.01 Class A common stock Purchase 1,817 168.7970 USD
USD 0.01 Class A common stock Purchase 1,941 168.4344 USD
USD 0.01 Class A common stock Purchase 2,023 168.4135 USD
USD 0.01 Class A common stock Purchase 2,279 168.3461 USD
USD 0.01 Class A common stock Purchase 2,333 168.4504 USD
USD 0.01 Class A common stock Purchase 2,701 168.2790 USD
USD 0.01 Class A common stock Purchase 3,843 168.5372 USD
USD 0.01 Class A common stock Purchase 4,300 168.5926 USD
USD 0.01 Class A common stock Purchase 4,600 168.7201 USD
USD 0.01 Class A common stock Purchase 5,055 168.4470 USD
USD 0.01 Class A common stock Purchase 5,745 168.5197 USD
USD 0.01 Class A common stock Purchase 7,214 168.5936 USD
USD 0.01 Class A common stock Purchase 10,049 168.4309 USD
USD 0.01 Class A common stock Purchase 15,052 168.8741 USD
USD 0.01 Class A common stock Purchase 15,222 168.4464 USD
USD 0.01 Class A common stock Purchase 18,321 168.4200 USD
USD 0.01 Class A common stock Sale 9 168.1000 USD
USD 0.01 Class A common stock Sale 10 169.0600 USD
USD 0.01 Class A common stock Sale 22 168.0100 USD
USD 0.01 Class A common stock Sale 30 168.8000 USD
USD 0.01 Class A common stock Sale 30 168.2316 USD
USD 0.01 Class A common stock Sale 31 168.2500 USD
USD 0.01 Class A common stock Sale 42 168.9800 USD
USD 0.01 Class A common stock Sale 100 168.1600 USD
USD 0.01 Class A common stock Sale 100 168.4000 USD
USD 0.01 Class A common stock Sale 100 167.8150 USD
USD 0.01 Class A common stock Sale 100 168.9450 USD
USD 0.01 Class A common stock Sale 100 168.0400 USD
USD 0.01 Class A common stock Sale 100 168.7700 USD
USD 0.01 Class A common stock Sale 100 168.7600 USD
USD 0.01 Class A common stock Sale 100 168.7200 USD
USD 0.01 Class A common stock Sale 100 168.7050 USD
USD 0.01 Class A common stock Sale 100 168.6000 USD
USD 0.01 Class A common stock Sale 100 168.5100 USD
USD 0.01 Class A common stock Sale 200 168.9000 USD
USD 0.01 Class A common stock Sale 200 168.4950 USD
USD 0.01 Class A common stock Sale 200 168.4100 USD
USD 0.01 Class A common stock Sale 200 168.4600 USD
USD 0.01 Class A common stock Sale 200 168.7450 USD
USD 0.01 Class A common stock Sale 200 168.2100 USD
USD 0.01 Class A common stock Sale 200 168.4912 USD
USD 0.01 Class A common stock Sale 230 168.6430 USD
USD 0.01 Class A common stock Sale 267 168.4469 USD
USD 0.01 Class A common stock Sale 300 168.8283 USD
USD 0.01 Class A common stock Sale 307 168.1620 USD
USD 0.01 Class A common stock Sale 324 168.7312 USD
USD 0.01 Class A common stock Sale 367 168.3622 USD
USD 0.01 Class A common stock Sale 400 168.2547 USD
USD 0.01 Class A common stock Sale 444 168.1125 USD
USD 0.01 Class A common stock Sale 470 168.4300 USD
USD 0.01 Class A common stock Sale 584 168.5206 USD
USD 0.01 Class A common stock Sale 600 169.0308 USD
USD 0.01 Class A common stock Sale 700 168.7114 USD
USD 0.01 Class A common stock Sale 779 168.7179 USD
USD 0.01 Class A common stock Sale 906 169.1629 USD
USD 0.01 Class A common stock Sale 1,276 168.7169 USD
USD 0.01 Class A common stock Sale 1,400 168.8700 USD
USD 0.01 Class A common stock Sale 1,534 168.4379 USD
USD 0.01 Class A common stock Sale 2,390 168.4232 USD
USD 0.01 Class A common stock Sale 2,759 168.4527 USD
USD 0.01 Class A common stock Sale 2,819 168.4828 USD
USD 0.01 Class A common stock Sale 4,200 168.5924 USD
USD 0.01 Class A common stock Sale 4,387 168.8852 USD
USD 0.01 Class A common stock Sale 4,585 168.4861 USD
USD 0.01 Class A common stock Sale 5,254 168.6087 USD
USD 0.01 Class A common stock Sale 5,600 168.7258 USD
USD 0.01 Class A common stock Sale 5,934 168.3807 USD
USD 0.01 Class A common stock Sale 9,519 168.4132 USD
USD 0.01 Class A common stock Sale 10,936 168.8531 USD
USD 0.01 Class A common stock Sale 16,388 168.4200 USD
USD 0.01 Class A common stock Sale 18,246 168.4206 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 1,200 170 USD American 29 Jun 2018 1.0000 USD
USD 0.01 Class A common stock Call Options Purchasing 300 185 USD American 21 Sep 2018 1.2400 USD
USD 0.01 Class A common stock Put Options Purchasing 200 165 USD American 21 Sep 2018 5.0500 USD
USD 0.01 Class A common stock Put Options Purchasing 400 170 USD American 6 Jul 2018 3.4000 USD
USD 0.01 Class A common stock Put Options Selling 200 160 USD American 21 Sep 2018 3.4500 USD
USD 0.01 Class A common stock Put Options Selling 400 168 USD American 6 Jul 2018 2.1500 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:  

25 June 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 9,800 160.0000 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 -400 170.0000 American 6 Jul 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 -2,300 165.0000 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 -12,700 165.0000 American 20 Jul 2018
USD 0.01 Class A common stock Call Options Purchased 7,900 175.0000 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 -500 160.0000 American 21 Sep 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 -1,100 180.0000 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 Written 400 168.0000 American 6 Jul 2018
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 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 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 2,000 170.0000 American 29 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 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 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 -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 -2,800 170.0000 American 0 Jan 1900

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: 650202
Time of Receipt (offset from UTC): 20180625T112156+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC