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 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: 03 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: 80,265 0.02% 2,723 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 111,100 0.03% 182,000 0.05%
           
(4)
TOTAL: 191,365 0.06% 184,723 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 14 164.4200 USD
USD 0.01 Class A common stock Purchase 44 164.6200 USD
USD 0.01 Class A common stock Purchase 50 163.5600 USD
USD 0.01 Class A common stock Purchase 50 163.3200 USD
USD 0.01 Class A common stock Purchase 87 164.5200 USD
USD 0.01 Class A common stock Purchase 88 164.4998 USD
USD 0.01 Class A common stock Purchase 100 161.8250 USD
USD 0.01 Class A common stock Purchase 100 164.9199 USD
USD 0.01 Class A common stock Purchase 100 161.7000 USD
USD 0.01 Class A common stock Purchase 100 164.4800 USD
USD 0.01 Class A common stock Purchase 100 163.7900 USD
USD 0.01 Class A common stock Purchase 120 162.6733 USD
USD 0.01 Class A common stock Purchase 123 164.8972 USD
USD 0.01 Class A common stock Purchase 125 163.7580 USD
USD 0.01 Class A common stock Purchase 150 164.7066 USD
USD 0.01 Class A common stock Purchase 195 161.6320 USD
USD 0.01 Class A common stock Purchase 200 163.3350 USD
USD 0.01 Class A common stock Purchase 200 163.3050 USD
USD 0.01 Class A common stock Purchase 215 164.3595 USD
USD 0.01 Class A common stock Purchase 250 160.9440 USD
USD 0.01 Class A common stock Purchase 265 162.9411 USD
USD 0.01 Class A common stock Purchase 279 163.8625 USD
USD 0.01 Class A common stock Purchase 300 164.6048 USD
USD 0.01 Class A common stock Purchase 300 161.7675 USD
USD 0.01 Class A common stock Purchase 315 164.4162 USD
USD 0.01 Class A common stock Purchase 343 164.1528 USD
USD 0.01 Class A common stock Purchase 370 162.9935 USD
USD 0.01 Class A common stock Purchase 400 162.3524 USD
USD 0.01 Class A common stock Purchase 400 162.5287 USD
USD 0.01 Class A common stock Purchase 500 164.3280 USD
USD 0.01 Class A common stock Purchase 560 160.9479 USD
USD 0.01 Class A common stock Purchase 574 162.5468 USD
USD 0.01 Class A common stock Purchase 615 162.0156 USD
USD 0.01 Class A common stock Purchase 700 163.7064 USD
USD 0.01 Class A common stock Purchase 744 162.1519 USD
USD 0.01 Class A common stock Purchase 1,102 162.9819 USD
USD 0.01 Class A common stock Purchase 1,184 162.3842 USD
USD 0.01 Class A common stock Purchase 1,200 163.1864 USD
USD 0.01 Class A common stock Purchase 1,927 160.9657 USD
USD 0.01 Class A common stock Purchase 2,000 162.1505 USD
USD 0.01 Class A common stock Purchase 2,122 162.8222 USD
USD 0.01 Class A common stock Purchase 2,211 162.9269 USD
USD 0.01 Class A common stock Purchase 2,400 161.9017 USD
USD 0.01 Class A common stock Purchase 3,048 163.1212 USD
USD 0.01 Class A common stock Purchase 3,107 163.8672 USD
USD 0.01 Class A common stock Purchase 5,136 163.7985 USD
USD 0.01 Class A common stock Purchase 6,487 162.4617 USD
USD 0.01 Class A common stock Purchase 7,250 162.6152 USD
USD 0.01 Class A common stock Sale 32 162.4650 USD
USD 0.01 Class A common stock Sale 97 163.1300 USD
USD 0.01 Class A common stock Sale 100 160.9100 USD
USD 0.01 Class A common stock Sale 100 164.6790 USD
USD 0.01 Class A common stock Sale 100 164.5250 USD
USD 0.01 Class A common stock Sale 100 164.4100 USD
USD 0.01 Class A common stock Sale 100 163.4500 USD
USD 0.01 Class A common stock Sale 100 163.2700 USD
USD 0.01 Class A common stock Sale 100 163.0901 USD
USD 0.01 Class A common stock Sale 100 162.9400 USD
USD 0.01 Class A common stock Sale 101 163.1598 USD
USD 0.01 Class A common stock Sale 130 163.7153 USD
USD 0.01 Class A common stock Sale 144 163.9800 USD
USD 0.01 Class A common stock Sale 200 164.4225 USD
USD 0.01 Class A common stock Sale 200 162.3650 USD
USD 0.01 Class A common stock Sale 226 161.4517 USD
USD 0.01 Class A common stock Sale 266 161.5291 USD
USD 0.01 Class A common stock Sale 270 162.6985 USD
USD 0.01 Class A common stock Sale 288 162.9285 USD
USD 0.01 Class A common stock Sale 300 164.5041 USD
USD 0.01 Class A common stock Sale 303 163.2087 USD
USD 0.01 Class A common stock Sale 330 163.5060 USD
USD 0.01 Class A common stock Sale 400 170.0000 USD
USD 0.01 Class A common stock Sale 400 161.7506 USD
USD 0.01 Class A common stock Sale 427 160.8314 USD
USD 0.01 Class A common stock Sale 500 162.3880 USD
USD 0.01 Class A common stock Sale 500 161.1200 USD
USD 0.01 Class A common stock Sale 515 163.2908 USD
USD 0.01 Class A common stock Sale 515 163.6909 USD
USD 0.01 Class A common stock Sale 600 163.1864 USD
USD 0.01 Class A common stock Sale 648 164.4652 USD
USD 0.01 Class A common stock Sale 900 164.2511 USD
USD 0.01 Class A common stock Sale 1,000 162.8442 USD
USD 0.01 Class A common stock Sale 1,000 161.8407 USD
USD 0.01 Class A common stock Sale 1,100 161.6204 USD
USD 0.01 Class A common stock Sale 1,400 161.0107 USD
USD 0.01 Class A common stock Sale 2,111 163.0210 USD
USD 0.01 Class A common stock Sale 2,300 163.0148 USD
USD 0.01 Class A common stock Sale 4,192 162.8539 USD
USD 0.01 Class A common stock Sale 7,055 162.4630 USD
USD 0.01 Class A common stock Sale 9,161 163.8457 USD
USD 0.01 Class A common stock Sale 9,564 162.5303 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 21 Sep 2018 5.3000 USD
USD 0.01 Class A common stock Call Options Selling 200 160 USD American 21 Sep 2018 8.0000 USD
USD 0.01 Class A common stock Call Options Selling 1,000 173 USD American 6 Jul 2018 0.0500 USD
USD 0.01 Class A common stock Put Options Selling 600 115 USD American 20 Jul 2018 0.0500 USD
USD 0.01 Class A common stock Put Options Selling 400 170 USD American 6 Jul 2018 6.6000 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: 4 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 9,600 160.0000 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 -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 1,000 115.0000 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 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 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 Call Options Written -500 165.0000 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 -900 173.0000 American 6 Jul 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: 650888
Time of Receipt (offset from UTC): 20180704T113142+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC