Form 8 (DD) - CME GROUP INC

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:  

27 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: 80,851 0.02% 10,123 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 113,500 0.03% 181,100 0.05%
           
(4)
TOTAL: 194,351 0.06% 191,223 0.06%
0

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 14 165.8500 USD
USD 0.01 Class A common stock Purchase 20 165.6500 USD
USD 0.01 Class A common stock Purchase 20 164.7500 USD
USD 0.01 Class A common stock Purchase 50 163.9500 USD
USD 0.01 Class A common stock Purchase 50 166.2100 USD
USD 0.01 Class A common stock Purchase 100 165.8900 USD
USD 0.01 Class A common stock Purchase 100 163.2750 USD
USD 0.01 Class A common stock Purchase 100 165.6900 USD
USD 0.01 Class A common stock Purchase 100 164.1800 USD
USD 0.01 Class A common stock Purchase 100 165.2850 USD
USD 0.01 Class A common stock Purchase 127 164.1421 USD
USD 0.01 Class A common stock Purchase 132 165.7570 USD
USD 0.01 Class A common stock Purchase 200 164.1950 USD
USD 0.01 Class A common stock Purchase 300 163.5200 USD
USD 0.01 Class A common stock Purchase 341 164.5524 USD
USD 0.01 Class A common stock Purchase 360 165.1738 USD
USD 0.01 Class A common stock Purchase 400 165.8200 USD
USD 0.01 Class A common stock Purchase 400 163.3813 USD
USD 0.01 Class A common stock Purchase 400 163.6700 USD
USD 0.01 Class A common stock Purchase 400 163.7462 USD
USD 0.01 Class A common stock Purchase 400 163.3812 USD
USD 0.01 Class A common stock Purchase 574 166.0801 USD
USD 0.01 Class A common stock Purchase 610 164.6730 USD
USD 0.01 Class A common stock Purchase 1,000 164.2849 USD
USD 0.01 Class A common stock Purchase 1,386 166.0378 USD
USD 0.01 Class A common stock Purchase 1,789 163.6610 USD
USD 0.01 Class A common stock Purchase 2,010 163.1900 USD
USD 0.01 Class A common stock Purchase 2,021 164.4182 USD
USD 0.01 Class A common stock Purchase 2,200 164.5295 USD
USD 0.01 Class A common stock Purchase 2,911 165.1066 USD
USD 0.01 Class A common stock Purchase 3,596 165.2598 USD
USD 0.01 Class A common stock Purchase 3,722 164.3925 USD
USD 0.01 Class A common stock Purchase 5,039 165.6843 USD
USD 0.01 Class A common stock Purchase 5,200 164.3168 USD
USD 0.01 Class A common stock Purchase 6,381 163.7591 USD
USD 0.01 Class A common stock Purchase 8,323 164.0023 USD
USD 0.01 Class A common stock Sale 14 165.8500 USD
USD 0.01 Class A common stock Sale 20 164.7500 USD
USD 0.01 Class A common stock Sale 20 165.6500 USD
USD 0.01 Class A common stock Sale 25 163.3000 USD
USD 0.01 Class A common stock Sale 50 166.2100 USD
USD 0.01 Class A common stock Sale 89 163.4500 USD
USD 0.01 Class A common stock Sale 91 163.7154 USD
USD 0.01 Class A common stock Sale 92 165.6302 USD
USD 0.01 Class A common stock Sale 93 164.4434 USD
USD 0.01 Class A common stock Sale 93 164.3700 USD
USD 0.01 Class A common stock Sale 100 163.2750 USD
USD 0.01 Class A common stock Sale 100 165.9400 USD
USD 0.01 Class A common stock Sale 100 166.1450 USD
USD 0.01 Class A common stock Sale 100 163.6700 USD
USD 0.01 Class A common stock Sale 100 163.6800 USD
USD 0.01 Class A common stock Sale 100 163.5100 USD
USD 0.01 Class A common stock Sale 100 163.4900 USD
USD 0.01 Class A common stock Sale 100 165.6000 USD
USD 0.01 Class A common stock Sale 100 164.1800 USD
USD 0.01 Class A common stock Sale 110 165.6509 USD
USD 0.01 Class A common stock Sale 200 163.9449 USD
USD 0.01 Class A common stock Sale 200 163.6550 USD
USD 0.01 Class A common stock Sale 200 166.0700 USD
USD 0.01 Class A common stock Sale 200 164.9825 USD
USD 0.01 Class A common stock Sale 200 164.8500 USD
USD 0.01 Class A common stock Sale 203 165.7503 USD
USD 0.01 Class A common stock Sale 263 165.9238 USD
USD 0.01 Class A common stock Sale 300 164.8916 USD
USD 0.01 Class A common stock Sale 300 163.4166 USD
USD 0.01 Class A common stock Sale 300 163.5534 USD
USD 0.01 Class A common stock Sale 300 165.5000 USD
USD 0.01 Class A common stock Sale 300 165.0566 USD
USD 0.01 Class A common stock Sale 400 163.3812 USD
USD 0.01 Class A common stock Sale 410 164.4428 USD
USD 0.01 Class A common stock Sale 420 164.8021 USD
USD 0.01 Class A common stock Sale 420 163.1900 USD
USD 0.01 Class A common stock Sale 496 164.3764 USD
USD 0.01 Class A common stock Sale 600 165.5333 USD
USD 0.01 Class A common stock Sale 700 164.8242 USD
USD 0.01 Class A common stock Sale 800 164.0284 USD
USD 0.01 Class A common stock Sale 1,000 163.7105 USD
USD 0.01 Class A common stock Sale 1,100 165.1513 USD
USD 0.01 Class A common stock Sale 1,576 165.3091 USD
USD 0.01 Class A common stock Sale 1,900 164.1432 USD
USD 0.01 Class A common stock Sale 1,939 165.5912 USD
USD 0.01 Class A common stock Sale 2,000 164.6216 USD
USD 0.01 Class A common stock Sale 2,460 166.0063 USD
USD 0.01 Class A common stock Sale 2,551 164.2626 USD
USD 0.01 Class A common stock Sale 2,911 165.1066 USD
USD 0.01 Class A common stock Sale 3,081 164.3219 USD
USD 0.01 Class A common stock Sale 3,395 164.7366 USD
USD 0.01 Class A common stock Sale 4,000 164.3239 USD
USD 0.01 Class A common stock Sale 5,295 163.5591 USD
USD 0.01 Class A common stock Sale 8,832 164.0639 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 of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(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:  

28 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)

Product   Writing,   Number   Exercise   Type   Expiry
description purchasing, of price date
selling, securities per unit
varying etc to which
option
    relates      
Call Options Purchased 9,800 160.0000 American 21 Sep 2018
Call Options Purchased 2,600 200.0000 American 21 Dec 2018
Put Options Written 1,000 160.0000 American 29 Jun 2018
Call Options Purchased 900 130.0000 American 18 Jan 2019
Call Options Purchased 500 160.0000 American 21 Dec 2018
Call Options Purchased 500 168.0000 American 6 Jul 2018
Call Options Purchased 100 240.0000 American 17 Jan 2020
Call Options Purchased 100 165.0000 American 18 Jan 2019
Put Options Purchased -100 115.0000 American 18 Jan 2019
Put Options Purchased -200 135.0000 American 18 Jan 2019
Put Options Purchased -400 170.0000 American 6 Jul 2018
Put Options Purchased -500 125.0000 American 21 Dec 2018
Call Options Written -700 155.0000 American 21 Sep 2018
Put Options Purchased -5,000 65.0000 American 18 Jan 2019
Put Options Written 3,100 135.0000 American 20 Jul 2018
Call Options Purchased 2,700 190.0000 American 21 Sep 2018
Put Options Written 2,600 115.0000 American 21 Dec 2018
Put Options Written 2,600 155.0000 American 20 Jul 2018
Call Options Purchased 2,500 160.0000 American 18 Jan 2019
Call Options Purchased 1,700 150.0000 American 18 Jan 2019
Call Options Purchased 500 155.0000 American 18 Jan 2019
Call Options Purchased 300 173.0000 American 13 Jul 2018
Call Options Purchased 200 135.0000 American 18 Jan 2019
Call Options Purchased 200 175.0000 American 17 Aug 2018
Put Options Written 200 150.0000 American 18 Jan 2019
Call Options Purchased 100 115.0000 American 18 Jan 2019
Put Options Written 100 175.0000 American 17 Jan 2020
Call Options Written -200 170.0000 American 20 Jul 2018
Put Options Purchased -2,300 165.0000 American 21 Sep 2018
Put Options Purchased -3,500 85.0000 American 18 Jan 2019
Put Options Purchased -5,000 60.0000 American 18 Jan 2019
Call Options Written -7,000 170.0000 American 18 Jan 2019
Call Options Written -13,700 165.0000 American 20 Jul 2018
Call Options Purchased 8,000 175.0000 American 21 Sep 2018
Call Options Purchased 1,000 163.0000 American 20 Jul 2018
Put Options Written 900 125.0000 American 18 Jan 2019
Put Options Written 600 145.0000 American 20 Jul 2018
Put Options Written 400 115.0000 American 20 Jul 2018
Call Options Purchased 100 150.0000 American 17 Jan 2020
Call Options Purchased 100 175.0000 American 29 Jun 2018
Put Options Purchased -100 170.0000 American 21 Sep 2018
Put Options Purchased -100 160.0000 American 17 Aug 2018
Put Options Purchased -100 150.0000 American 20 Jul 2018
Put Options Purchased -300 90.0000 American 17 Jan 2020
Put Options Purchased -500 160.0000 American 21 Sep 2018
Put Options Purchased -500 140.0000 American 21 Sep 2018
Put Options Purchased -1,100 95.0000 American 18 Jan 2019
Call Options Written -3,100 175.0000 American 20 Jul 2018
Call Options Written -3,600 180.0000 American 20 Jul 2018
Put Options Written 2,100 145.0000 American 18 Jan 2019
Put Options Written 2,000 160.0000 American 20 Jul 2018
Put Options Written 1,500 185.0000 American 18 Jan 2019
Put Options Written 1,300 130.0000 American 21 Sep 2018
Put Options Written 800 105.0000 American 18 Jan 2019
Put Options Written 400 168.0000 American 6 Jul 2018
Put Options Purchased -500 155.0000 American 21 Dec 2018
Put Options Purchased -600 75.0000 American 18 Jan 2019
Call Options Written -1,200 200.0000 American 21 Sep 2018
Put Options Purchased -2,200 90.0000 American 18 Jan 2019
Call Options Purchased 1,000 105.0000 American 18 Jan 2019
Call Options Purchased 1,000 180.0000 American 21 Sep 2018
Call Options Purchased 1,000 165.0000 American 17 Aug 2018
Call Options Purchased 700 200.0000 American 17 Jan 2020
Call Options Purchased 100 120.0000 American 18 Jan 2019
Put Options Written 100 175.0000 American 18 Jan 2019
Put Options Written 100 165.0000 American 29 Jun 2018
Put Options Purchased -100 165.0000 American 18 Jan 2019
Put Options Purchased -100 165.0000 American 21 Dec 2018
Call Options Written -400 180.0000 American 18 Jan 2019
Put Options Purchased -400 145.0000 American 21 Dec 2018
Put Options Purchased -800 110.0000 American 18 Jan 2019
Put Options Purchased -1,100 130.0000 American 18 Jan 2019
Put Options Purchased -100,000 145.0000 American 21 Sep 2018
Put Options Written 50,000 155.0000 American 21 Sep 2018
Call Options Purchased 2,000 170.0000 American 29 Jun 2018
Call Options Purchased 100 125.0000 American 18 Jan 2019
Call Options Purchased 100 170.0000 American 17 Aug 2018
Put Options Written 100 190.0000 American 18 Jan 2019
Put Options Purchased -2,300 155.0000 American 21 Sep 2018
Put Options Purchased -4,000 160.0000 American 18 Jan 2019
Call Options Purchased 2,500 173.0000 American 20 Jul 2018
Call Options Purchased 600 155.0000 American 21 Dec 2018
Call Options Purchased 400 145.0000 American 17 Jan 2020
Call Options Purchased 200 145.0000 American 18 Jan 2019
Call Options Purchased 100 173.0000 American 6 Jul 2018
Put Options Written 100 140.0000 American 20 Jul 2018
Call Options Written -200 163.0000 American 6 Jul 2018
Put Options Purchased -200 175.0000 American 21 Sep 2018
Put Options Purchased -500 180.0000 American 21 Sep 2018
Put Options Purchased -500 125.0000 American 17 Aug 2018
Call Options Written -1,100 165.0000 American 21 Sep 2018
Put Options Purchased -1,200 100.0000 American 18 Jan 2019
Call Options Written -1,300 160.0000 American 17 Jan 2020
Put Options Purchased -2,500 140.0000 American 18 Jan 2019
Call Options Written -3,200 140.0000 American 18 Jan 2019
Put Options Purchased -3,600 170.0000 American 20 Jul 2018
Call Options Purchased 900 185.0000 American 21 Sep 2018
Call Options Purchased 500 220.0000 American 18 Jan 2019
Call Options Purchased 400 160.0000 American 20 Jul 2018
Put Options Purchased -100 70.0000 American 17 Jan 2020
Put Options Purchased -100 70.0000 American 18 Jan 2019
Put Options Purchased -700 120.0000 American 18 Jan 2019
Call Options Written -1,100 200.0000 American 18 Jan 2019
Call Options Written -1,500 170.0000 American 21 Sep 2018
Call Options Written -1,600 185.0000 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: 650433
Time of Receipt (offset from UTC): 20180628T104257+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC