Form 8 (DD) - CME GROUP INC - Amendment

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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: 25 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: 81,349 0.02% 17,783 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 113,100 0.03% 181,400 0.05%
           
 
TOTAL: 194,449 0.06% 199,183 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 3 165.5700 USD
USD 0.01 Class A common stock Purchase 8 165.6200 USD
USD 0.01 Class A common stock Purchase 10 165.5400 USD
USD 0.01 Class A common stock Purchase 10 166.0300 USD
USD 0.01 Class A common stock Purchase 20 166.9999 USD
USD 0.01 Class A common stock Purchase 25 166.2400 USD
USD 0.01 Class A common stock Purchase 27 165.8562 USD
USD 0.01 Class A common stock Purchase 41 166.4041 USD
USD 0.01 Class A common stock Purchase 100 166.5700 USD
USD 0.01 Class A common stock Purchase 100 166.5900 USD
USD 0.01 Class A common stock Purchase 100 166.3600 USD
USD 0.01 Class A common stock Purchase 100 166.7300 USD
USD 0.01 Class A common stock Purchase 100 165.4800 USD
USD 0.01 Class A common stock Purchase 150 165.9366 USD
USD 0.01 Class A common stock Purchase 150 166.0000 USD
USD 0.01 Class A common stock Purchase 200 167.5805 USD
USD 0.01 Class A common stock Purchase 200 167.5550 USD
USD 0.01 Class A common stock Purchase 233 167.9929 USD
USD 0.01 Class A common stock Purchase 260 166.4527 USD
USD 0.01 Class A common stock Purchase 291 166.3913 USD
USD 0.01 Class A common stock Purchase 300 166.6100 USD
USD 0.01 Class A common stock Purchase 300 167.5766 USD
USD 0.01 Class A common stock Purchase 400 166.5680 USD
USD 0.01 Class A common stock Purchase 500 167.6780 USD
USD 0.01 Class A common stock Purchase 650 166.7509 USD
USD 0.01 Class A common stock Purchase 673 166.5372 USD
USD 0.01 Class A common stock Purchase 806 166.4900 USD
USD 0.01 Class A common stock Purchase 959 166.4196 USD
USD 0.01 Class A common stock Purchase 1,300 166.4511 USD
USD 0.01 Class A common stock Purchase 1,899 166.5240 USD
USD 0.01 Class A common stock Purchase 3,071 166.9361 USD
USD 0.01 Class A common stock Purchase 3,289 166.6681 USD
USD 0.01 Class A common stock Purchase 3,341 166.5095 USD
USD 0.01 Class A common stock Purchase 3,723 166.5276 USD
USD 0.01 Class A common stock Purchase 4,400 166.3813 USD
USD 0.01 Class A common stock Purchase 6,300 166.3498 USD
USD 0.01 Class A common stock Purchase 8,900 166.4000 USD
USD 0.01 Class A common stock Purchase 21,800 166.7242 USD
USD 0.01 Class A common stock Sale 10 166.0300 USD
USD 0.01 Class A common stock Sale 45 165.5687 USD
USD 0.01 Class A common stock Sale 46 167.0586 USD
USD 0.01 Class A common stock Sale 56 166.5600 USD
USD 0.01 Class A common stock Sale 58 166.0100 USD
USD 0.01 Class A common stock Sale 60 166.1201 USD
USD 0.01 Class A common stock Sale 86 166.9800 USD
USD 0.01 Class A common stock Sale 90 166.0200 USD
USD 0.01 Class A common stock Sale 100 166.0050 USD
USD 0.01 Class A common stock Sale 100 165.2246 USD
USD 0.01 Class A common stock Sale 128 166.4500 USD
USD 0.01 Class A common stock Sale 191 166.0867 USD
USD 0.01 Class A common stock Sale 200 165.2300 USD
USD 0.01 Class A common stock Sale 269 166.6572 USD
USD 0.01 Class A common stock Sale 300 165.9400 USD
USD 0.01 Class A common stock Sale 300 166.5450 USD
USD 0.01 Class A common stock Sale 300 166.6100 USD
USD 0.01 Class A common stock Sale 300 166.6433 USD
USD 0.01 Class A common stock Sale 350 167.5471 USD
USD 0.01 Class A common stock Sale 400 166.5681 USD
USD 0.01 Class A common stock Sale 500 166.6280 USD
USD 0.01 Class A common stock Sale 500 166.5015 USD
USD 0.01 Class A common stock Sale 548 166.7828 USD
USD 0.01 Class A common stock Sale 550 167.0681 USD
USD 0.01 Class A common stock Sale 550 166.4900 USD
USD 0.01 Class A common stock Sale 600 166.5308 USD
USD 0.01 Class A common stock Sale 699 166.5392 USD
USD 0.01 Class A common stock Sale 800 166.0743 USD
USD 0.01 Class A common stock Sale 1,050 166.6328 USD
USD 0.01 Class A common stock Sale 1,100 166.8554 USD
USD 0.01 Class A common stock Sale 1,210 166.2754 USD
USD 0.01 Class A common stock Sale 1,347 167.0187 USD
USD 0.01 Class A common stock Sale 2,320 166.2071 USD
USD 0.01 Class A common stock Sale 2,600 165.9815 USD
USD 0.01 Class A common stock Sale 3,241 166.4898 USD
USD 0.01 Class A common stock Sale 3,900 166.4787 USD
USD 0.01 Class A common stock Sale 4,504 167.1719 USD
USD 0.01 Class A common stock Sale 5,200 166.5671 USD
USD 0.01 Class A common stock Sale 5,800 166.5242 USD
USD 0.01 Class A common stock Sale 6,273 166.4993 USD
USD 0.01 Class A common stock Sale 8,950 166.7869 USD
USD 0.01 Class A common stock Sale 9,600 166.6211 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 1,000 165 USD American 17 Aug 2018 7.2500 USD
USD 0.01 Class A common stock Call Options Purchasing 300 173 USD American 13 Jul 2018 1.0100 USD
USD 0.01 Class A common stock Call Options Purchasing 2,500 173 USD American 20 Jul 2018 1.3588 USD
USD 0.01 Class A common stock Call Options Purchasing 100 175 USD American 21 Sep 2018 3.5900 USD
USD 0.01 Class A common stock Call Options Selling 1,000 165 USD American 20 Jul 2018 5.2500 USD
USD 0.01 Class A common stock Call Options Selling 2,500 180 USD American 20 Jul 2018 0.2988 USD
USD 0.01 Class A common stock Put Options Purchasing 100 150 USD American 20 Jul 2018 0.5000 USD
USD 0.01 Class A common stock Put Options Selling 100 140 USD American 20 Jul 2018 0.2000 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: 27 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

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 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 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 -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 300 173.0000 American 13 Jul 2018
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 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 -13,700 165.0000 American 20 Jul 2018
USD 0.01 Class A common stock Call Options Purchased 8,000 175.0000 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 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 -100 150.0000 American 20 Jul 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 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 Call Options Written -3,600 180.0000 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 -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 1,000 165.0000 American 17 Aug 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 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 2,500 173.0000 American 20 Jul 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 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 Put Options Written 100 140.0000 American 20 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 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: 650386
Time of Receipt (offset from UTC): 20180627T143221+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC