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)

 

NEX GROUP PLC

(e) Date dealing undertaken:  

05 JULY 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: 80,000 0.02% 4,468 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 119,400 0.04% 191,500 0.06%
           
(4)
TOTAL: 199,400 0.06% 195,968 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 6 160.6399 USD
USD 0.01 Class A common stock Purchase 10 160.2300 USD
USD 0.01 Class A common stock Purchase 13 160.6300 USD
USD 0.01 Class A common stock Purchase 20 160.9600 USD
USD 0.01 Class A common stock Purchase 41 160.5500 USD
USD 0.01 Class A common stock Purchase 54 160.6100 USD
USD 0.01 Class A common stock Purchase 100 160.3200 USD
USD 0.01 Class A common stock Purchase 100 160.1900 USD
USD 0.01 Class A common stock Purchase 100 159.9150 USD
USD 0.01 Class A common stock Purchase 100 159.9550 USD
USD 0.01 Class A common stock Purchase 100 160.9400 USD
USD 0.01 Class A common stock Purchase 119 160.3900 USD
USD 0.01 Class A common stock Purchase 150 160.3633 USD
USD 0.01 Class A common stock Purchase 162 160.3413 USD
USD 0.01 Class A common stock Purchase 165 160.9027 USD
USD 0.01 Class A common stock Purchase 186 159.9745 USD
USD 0.01 Class A common stock Purchase 190 160.3847 USD
USD 0.01 Class A common stock Purchase 200 160.2200 USD
USD 0.01 Class A common stock Purchase 200 160.5662 USD
USD 0.01 Class A common stock Purchase 200 160.2099 USD
USD 0.01 Class A common stock Purchase 200 160.9250 USD
USD 0.01 Class A common stock Purchase 200 160.7450 USD
USD 0.01 Class A common stock Purchase 200 160.7000 USD
USD 0.01 Class A common stock Purchase 205 160.3759 USD
USD 0.01 Class A common stock Purchase 205 160.3809 USD
USD 0.01 Class A common stock Purchase 205 160.3602 USD
USD 0.01 Class A common stock Purchase 235 160.7593 USD
USD 0.01 Class A common stock Purchase 257 160.3661 USD
USD 0.01 Class A common stock Purchase 266 161.4400 USD
USD 0.01 Class A common stock Purchase 280 159.7514 USD
USD 0.01 Class A common stock Purchase 289 160.0203 USD
USD 0.01 Class A common stock Purchase 382 159.9948 USD
USD 0.01 Class A common stock Purchase 400 160.7775 USD
USD 0.01 Class A common stock Purchase 400 160.4712 USD
USD 0.01 Class A common stock Purchase 400 160.5987 USD
USD 0.01 Class A common stock Purchase 400 160.2000 USD
USD 0.01 Class A common stock Purchase 425 160.0365 USD
USD 0.01 Class A common stock Purchase 834 160.4204 USD
USD 0.01 Class A common stock Purchase 987 160.3880 USD
USD 0.01 Class A common stock Purchase 1,556 160.6124 USD
USD 0.01 Class A common stock Purchase 1,700 160.4125 USD
USD 0.01 Class A common stock Purchase 1,776 160.2426 USD
USD 0.01 Class A common stock Purchase 2,100 160.3479 USD
USD 0.01 Class A common stock Purchase 2,700 160.3655 USD
USD 0.01 Class A common stock Purchase 3,602 160.3571 USD
USD 0.01 Class A common stock Purchase 5,729 160.3000 USD
USD 0.01 Class A common stock Purchase 18,026 160.3018 USD
USD 0.01 Class A common stock Sale 20 160.6900 USD
USD 0.01 Class A common stock Sale 25 160.0200 USD
USD 0.01 Class A common stock Sale 51 160.1800 USD
USD 0.01 Class A common stock Sale 54 160.6100 USD
USD 0.01 Class A common stock Sale 56 160.4200 USD
USD 0.01 Class A common stock Sale 85 159.9011 USD
USD 0.01 Class A common stock Sale 100 159.3600 USD
USD 0.01 Class A common stock Sale 100 160.9700 USD
USD 0.01 Class A common stock Sale 100 160.3170 USD
USD 0.01 Class A common stock Sale 102 160.5790 USD
USD 0.01 Class A common stock Sale 115 160.3186 USD
USD 0.01 Class A common stock Sale 119 160.3900 USD
USD 0.01 Class A common stock Sale 186 160.8400 USD
USD 0.01 Class A common stock Sale 190 159.9552 USD
USD 0.01 Class A common stock Sale 200 160.6625 USD
USD 0.01 Class A common stock Sale 200 160.7250 USD
USD 0.01 Class A common stock Sale 200 160.4775 USD
USD 0.01 Class A common stock Sale 300 161.2066 USD
USD 0.01 Class A common stock Sale 320 160.9318 USD
USD 0.01 Class A common stock Sale 400 160.3662 USD
USD 0.01 Class A common stock Sale 400 160.2900 USD
USD 0.01 Class A common stock Sale 400 160.0931 USD
USD 0.01 Class A common stock Sale 400 160.0375 USD
USD 0.01 Class A common stock Sale 586 159.9685 USD
USD 0.01 Class A common stock Sale 590 160.2696 USD
USD 0.01 Class A common stock Sale 600 160.7158 USD
USD 0.01 Class A common stock Sale 800 160.3362 USD
USD 0.01 Class A common stock Sale 900 160.3502 USD
USD 0.01 Class A common stock Sale 900 160.2958 USD
USD 0.01 Class A common stock Sale 1,100 160.5150 USD
USD 0.01 Class A common stock Sale 1,390 160.4417 USD
USD 0.01 Class A common stock Sale 2,500 160.3020 USD
USD 0.01 Class A common stock Sale 2,744 160.3977 USD
USD 0.01 Class A common stock Sale 3,007 160.3750 USD
USD 0.01 Class A common stock Sale 3,162 160.3091 USD
USD 0.01 Class A common stock Sale 8,032 160.3000 USD
USD 0.01 Class A common stock Sale 18,651 160.3182 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 6,900 160 USD American 20 Jul 2018 2.7200 USD
USD 0.01 Class A common stock Call Options Purchasing 100 160 USD American 21 Sep 2018 6.7000 USD
USD 0.01 Class A common stock Call Options Purchasing 100 165 USD American 17 Aug 2018 3.2000 USD
USD 0.01 Class A common stock Call Options Purchasing 1,900 165 USD American 21 Sep 2018 4.2878 USD
USD 0.01 Class A common stock Call Options Purchasing 100 170 USD American 21 Sep 2018 2.8000 USD
USD 0.01 Class A common stock Call Options Selling 6,900 170 USD American 20 Jul 2018 0.2200 USD
USD 0.01 Class A common stock Put Options Purchasing 600 140 USD American 21 Sep 2018 1.1500 USD
USD 0.01 Class A common stock Put Options Purchasing 500 153 USD American 13 Jul 2018 0.2500 USD
USD 0.01 Class A common stock Put Options Purchasing 100 153 USD American 27 Jul 2018 1.3500 USD
USD 0.01 Class A common stock Put Options Purchasing 500 155 USD American 13 Jul 2018 0.5000 USD
USD 0.01 Class A common stock Put Options Purchasing 1,500 160 USD American 21 Sep 2018 6.0580 USD
USD 0.01 Class A common stock Put Options Purchasing 400 168 USD American 6 Jul 2018 5.7000 USD
USD 0.01 Class A common stock Put Options Selling 200 115 USD American 20 Jul 2018 0.0500 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:  

6 JULY 2018

Contact name:

Femi Badmos

Telephone number:

020 3555 1125

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 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 Call Options Purchased 9,700 160.0000 American 21 Sep 2018
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 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 -7,100 170.0000 American 20 Jul 2018
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 Put Options Written 1,200 115.0000 American 20 Jul 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 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 -500 155.0000 American 13 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 Put Options Purchased -1,100 140.0000 American 21 Sep 2018
USD 0.01 Class A common stock Put Options Purchased -2,000 160.0000 American 21 Sep 2018
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 Call Options Purchased 1,400 165.0000 American 21 Sep 2018
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 Purchased -500 155.0000 American 21 Dec 2018
USD 0.01 Class A common stock Put Options Purchased -500 153.0000 American 13 Jul 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 1,300 165.0000 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 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 Put Options Written 50,000 155.0000 American 21 Sep 2018
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 Put Options Purchased -100 153.0000 American 27 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 -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 7,300 160.0000 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 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 -1,400 170.0000 American 21 Sep 2018
USD 0.01 Class A common stock 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: 651027
Time of Receipt (offset from UTC): 20180706T121051+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC