Form 8 (DD) - CME Group Plc

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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 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: 02 July 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: 80,084 0.02% 2,733 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 110,800 0.03% 181,700 0.05%
           
 
TOTAL: 190,884 0.06% 184,433 0.05%

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 20 163.6800 USD
USD 0.01 Class A common stock Purchase 20 163.3300 USD
USD 0.01 Class A common stock Purchase 26 163.8500 USD
USD 0.01 Class A common stock Purchase 69 163.3100 USD
USD 0.01 Class A common stock Purchase 100 163.7700 USD
USD 0.01 Class A common stock Purchase 100 163.7600 USD
USD 0.01 Class A common stock Purchase 110 163.4427 USD
USD 0.01 Class A common stock Purchase 125 163.4580 USD
USD 0.01 Class A common stock Purchase 127 163.5940 USD
USD 0.01 Class A common stock Purchase 144 163.5450 USD
USD 0.01 Class A common stock Purchase 188 163.6500 USD
USD 0.01 Class A common stock Purchase 189 163.9866 USD
USD 0.01 Class A common stock Purchase 200 163.4575 USD
USD 0.01 Class A common stock Purchase 205 163.4200 USD
USD 0.01 Class A common stock Purchase 214 163.9000 USD
USD 0.01 Class A common stock Purchase 282 163.6148 USD
USD 0.01 Class A common stock Purchase 300 163.4866 USD
USD 0.01 Class A common stock Purchase 500 163.8300 USD
USD 0.01 Class A common stock Purchase 500 163.3656 USD
USD 0.01 Class A common stock Purchase 517 163.5423 USD
USD 0.01 Class A common stock Purchase 1,158 163.6568 USD
USD 0.01 Class A common stock Purchase 2,015 163.5897 USD
USD 0.01 Class A common stock Purchase 2,100 163.5489 USD
USD 0.01 Class A common stock Purchase 2,269 163.5894 USD
USD 0.01 Class A common stock Purchase 2,600 163.5216 USD
USD 0.01 Class A common stock Purchase 2,952 163.7389 USD
USD 0.01 Class A common stock Purchase 3,638 163.5203 USD
USD 0.01 Class A common stock Purchase 3,950 163.5815 USD
USD 0.01 Class A common stock Purchase 4,288 163.9900 USD
USD 0.01 Class A common stock Purchase 8,602 163.7157 USD
USD 0.01 Class A common stock Sale 1 163.3600 USD
USD 0.01 Class A common stock Sale 22 163.8200 USD
USD 0.01 Class A common stock Sale 25 163.2901 USD
USD 0.01 Class A common stock Sale 39 163.5461 USD
USD 0.01 Class A common stock Sale 44 163.5190 USD
USD 0.01 Class A common stock Sale 46 163.4200 USD
USD 0.01 Class A common stock Sale 49 163.8800 USD
USD 0.01 Class A common stock Sale 98 163.8400 USD
USD 0.01 Class A common stock Sale 100 163.7800 USD
USD 0.01 Class A common stock Sale 100 163.5564 USD
USD 0.01 Class A common stock Sale 100 163.3900 USD
USD 0.01 Class A common stock Sale 100 163.8000 USD
USD 0.01 Class A common stock Sale 100 163.2600 USD
USD 0.01 Class A common stock Sale 100 163.4700 USD
USD 0.01 Class A common stock Sale 102 163.9184 USD
USD 0.01 Class A common stock Sale 188 163.6500 USD
USD 0.01 Class A common stock Sale 190 163.4158 USD
USD 0.01 Class A common stock Sale 200 163.3950 USD
USD 0.01 Class A common stock Sale 200 163.7625 USD
USD 0.01 Class A common stock Sale 200 163.9000 USD
USD 0.01 Class A common stock Sale 200 163.7500 USD
USD 0.01 Class A common stock Sale 200 163.8300 USD
USD 0.01 Class A common stock Sale 224 163.5066 USD
USD 0.01 Class A common stock Sale 254 163.2722 USD
USD 0.01 Class A common stock Sale 300 163.4183 USD
USD 0.01 Class A common stock Sale 300 163.4866 USD
USD 0.01 Class A common stock Sale 366 163.3540 USD
USD 0.01 Class A common stock Sale 426 163.8007 USD
USD 0.01 Class A common stock Sale 600 163.6283 USD
USD 0.01 Class A common stock Sale 663 163.3246 USD
USD 0.01 Class A common stock Sale 700 163.5757 USD
USD 0.01 Class A common stock Sale 900 163.4550 USD
USD 0.01 Class A common stock Sale 1,100 163.5179 USD
USD 0.01 Class A common stock Sale 1,776 163.4678 USD
USD 0.01 Class A common stock Sale 1,936 163.7365 USD
USD 0.01 Class A common stock Sale 2,200 163.5523 USD
USD 0.01 Class A common stock Sale 2,652 163.7892 USD
USD 0.01 Class A common stock Sale 2,919 163.5932 USD
USD 0.01 Class A common stock Sale 3,172 163.5204 USD
USD 0.01 Class A common stock Sale 4,204 163.9900 USD
USD 0.01 Class A common stock Sale 9,946 163.7049 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 200 165 USD American 17 Aug 2018 4.8000 USD
USD 0.01 Class A common stock Call Options Selling 100 200 USD American 20 Jul 2018 0.0300 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: 3 Jul 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 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 500 168.0000 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 2,700 190.0000 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 -100 200.0000 American 20 Jul 2018
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 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 1,200 165.0000 American 17 Aug 2018
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 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 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 100 125.0000 American 18 Jan 2019
USD 0.01 Class A common stock Call Options Purchased 100 170.0000 American 17 Aug 2018
USD 0.01 Class A common stock Put Options Written 100 190.0000 American 18 Jan 2019
USD 0.01 Class A common stock Call Options Written -800 165.0000 American 27 Jul 2018
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 -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 Call Options Written -700 165.0000 American 21 Sep 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 1,200 185.0000 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 -100 165.0000 American 17 Aug 2018
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 -1,500 170.0000 American 21 Sep 2018
USD 0.01 Class A common stock Call Options Written -1,600 185.0000 American 18 Jan 2019

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: 650794
Time of Receipt (offset from UTC): 20180703T104809+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC