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 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: 09 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
Interests   Short Positions
    Number   (%) Number   (%)
(1) Relevant securities owned
and/or controlled: 80,800 0.02% 5,220 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 121,000 0.04% 190,600 0.06%
           
(4)
TOTAL: 201,800 0.06% 195,820 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 Purchase 8 162.9200 USD
USD 0.01 Class A common Purchase 76 162.9500 USD
USD 0.01 Class A common Purchase 100 163.2800 USD
USD 0.01 Class A common Purchase 100 161.7700 USD
USD 0.01 Class A common Purchase 100 163.4800 USD
USD 0.01 Class A common Purchase 147 162.9712 USD
USD 0.01 Class A common Purchase 173 162.1300 USD
USD 0.01 Class A common Purchase 200 161.6000 USD
USD 0.01 Class A common Purchase 300 163.4883 USD
USD 0.01 Class A common Purchase 300 163.4516 USD
USD 0.01 Class A common Purchase 306 162.9222 USD
USD 0.01 Class A common Purchase 348 162.4633 USD
USD 0.01 Class A common Purchase 450 163.2884 USD
USD 0.01 Class A common Purchase 607 162.9621 USD
USD 0.01 Class A common Purchase 651 162.4423 USD
USD 0.01 Class A common Purchase 718 163.4793 USD
USD 0.01 Class A common Purchase 755 163.1732 USD
USD 0.01 Class A common Purchase 800 163.3800 USD
USD 0.01 Class A common Purchase 847 162.6261 USD
USD 0.01 Class A common Purchase 900 162.6108 USD
USD 0.01 Class A common Purchase 900 163.0602 USD
USD 0.01 Class A common Purchase 1,500 163.0541 USD
USD 0.01 Class A common Purchase 1,600 163.0865 USD
USD 0.01 Class A common Purchase 1,894 163.4586 USD
USD 0.01 Class A common Purchase 2,100 162.7933 USD
USD 0.01 Class A common Purchase 2,157 163.0068 USD
USD 0.01 Class A common Purchase 2,700 163.1351 USD
USD 0.01 Class A common Purchase 3,679 161.2044 USD
USD 0.01 Class A common Purchase 4,600 163.0834 USD
USD 0.01 Class A common Purchase 4,760 162.9380 USD
USD 0.01 Class A common Purchase 5,090 163.0845 USD
USD 0.01 Class A common Purchase 5,517 163.0223 USD
USD 0.01 Class A common Sale 15 162.5100 USD
USD 0.01 Class A common Sale 48 162.3900 USD
USD 0.01 Class A common Sale 51 162.7184 USD
USD 0.01 Class A common Sale 75 163.3000 USD
USD 0.01 Class A common Sale 80 162.2400 USD
USD 0.01 Class A common Sale 98 161.0003 USD
USD 0.01 Class A common Sale 100 163.4000 USD
USD 0.01 Class A common Sale 100 163.3100 USD
USD 0.01 Class A common Sale 100 162.4900 USD
USD 0.01 Class A common Sale 125 162.7423 USD
USD 0.01 Class A common Sale 140 163.2325 USD
USD 0.01 Class A common Sale 200 162.2850 USD
USD 0.01 Class A common Sale 200 163.0750 USD
USD 0.01 Class A common Sale 225 163.7000 USD
USD 0.01 Class A common Sale 252 161.7371 USD
USD 0.01 Class A common Sale 300 163.2816 USD
USD 0.01 Class A common Sale 300 162.4750 USD
USD 0.01 Class A common Sale 325 162.1853 USD
USD 0.01 Class A common Sale 500 162.7840 USD
USD 0.01 Class A common Sale 600 163.0837 USD
USD 0.01 Class A common Sale 724 162.5268 USD
USD 0.01 Class A common Sale 800 163.3800 USD
USD 0.01 Class A common Sale 850 162.6211 USD
USD 0.01 Class A common Sale 1,415 163.4802 USD
USD 0.01 Class A common Sale 1,828 163.4870 USD
USD 0.01 Class A common Sale 2,200 163.1031 USD
USD 0.01 Class A common Sale 2,600 162.8911 USD
USD 0.01 Class A common Sale 3,000 163.4402 USD
USD 0.01 Class A common Sale 3,581 161.2100 USD
USD 0.01 Class A common Sale 3,600 163.0993 USD
USD 0.01 Class A common Sale 4,200 163.0784 USD
USD 0.01 Class A common Sale 5,060 162.8621 USD
USD 0.01 Class A common Sale 10,683 162.9497 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 Call Options Purchasing 700 165 USD American 21 Sep 2018 4.6500 USD
USD 0.01 Class A common Call Options Purchasing 1,500 175 USD American 20 Jul 2018 0.5500 USD
USD 0.01 Class A common Call Options Purchasing 1,000 210 USD American 21 Dec 2018 0.1500 USD
USD 0.01 Class A common Call Options Selling 700 170 USD American 13 Jul 2018 0.0500 USD
USD 0.01 Class A common Call Options Selling 1,000 210 USD American 18 Jan 2019 0.2100 USD
USD 0.01 Class A common Put Options Purchasing 400 160 USD American 21 Sep 2018 4.9900 USD
USD 0.01 Class A common Put Options Selling 200 65 USD American 18 Jan 2019 0.0800 USD
USD 0.01 Class A common Put Options Selling 400 155 USD American 21 Sep 2018 3.3200 USD
USD 0.01 Class A common Put Options Selling 100 163 USD American 13 Jul 2018 1.5500 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: 10 Jul 2018
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213

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 Call Options Purchased 9,700 160.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Purchased 2,600 200.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 1,000 210.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 900 130.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 500 160.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 100 240.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 100 165.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 115.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -200 135.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -500 125.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -700 155.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Written -1,000 210.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -4,800 65.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 3,100 135.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 2,700 190.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 2,600 115.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 2,600 155.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 2,500 160.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 1,700 150.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 500 155.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 300 173.0000 American 13 Jul 2018
USD 0.01 Class A common Call Options Purchased 200 135.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 200 175.0000 American 17 Aug 2018
USD 0.01 Class A common Put Options Written 200 150.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 100 115.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 100 175.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Written -100 200.0000 American 20 Jul 2018
USD 0.01 Class A common Put Options Purchased -2,300 165.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Purchased -3,500 85.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -5,000 60.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -7,000 170.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -7,100 170.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Written -13,700 165.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 8,000 175.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 1,200 115.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 1,000 163.0000 American 20 Jul 2018
USD 0.01 Class A common Put Options Written 900 125.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 600 145.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 100 150.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 170.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Purchased -100 160.0000 American 17 Aug 2018
USD 0.01 Class A common Put Options Purchased -100 150.0000 American 20 Jul 2018
USD 0.01 Class A common Put Options Purchased -300 90.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -500 155.0000 American 13 Jul 2018
USD 0.01 Class A common Put Options Purchased -1,100 95.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,100 140.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Written -1,600 175.0000 American 20 Jul 2018
USD 0.01 Class A common Put Options Purchased -2,500 160.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Written -3,700 180.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 2,200 165.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 2,100 145.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 2,000 160.0000 American 20 Jul 2018
USD 0.01 Class A common Put Options Written 1,500 185.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 1,300 130.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 800 105.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -500 155.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -500 153.0000 American 13 Jul 2018
USD 0.01 Class A common Put Options Purchased -600 75.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -700 170.0000 American 13 Jul 2018
USD 0.01 Class A common Call Options Written -1,200 200.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Purchased -2,200 90.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 1,300 165.0000 American 17 Aug 2018
USD 0.01 Class A common Call Options Purchased 1,000 105.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 1,000 180.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Purchased 700 200.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 100 120.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 100 175.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 165.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 165.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -400 180.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -400 145.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -800 110.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,100 130.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100,000 145.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 50,000 155.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Purchased 100 125.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 100 170.0000 American 17 Aug 2018
USD 0.01 Class A common Put Options Written 100 190.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -800 165.0000 American 27 Jul 2018
USD 0.01 Class A common Put Options Purchased -1,900 155.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Purchased -4,000 160.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 2,500 173.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 600 155.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 400 145.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 200 145.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 100 140.0000 American 20 Jul 2018
USD 0.01 Class A common Put Options Written 100 163.0000 American 13 Jul 2018
USD 0.01 Class A common Put Options Purchased -100 153.0000 American 27 Jul 2018
USD 0.01 Class A common Put Options Purchased -200 175.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Purchased -500 180.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Purchased -500 125.0000 American 17 Aug 2018
USD 0.01 Class A common Put Options Purchased -1,200 100.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -1,300 160.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -2,500 140.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -3,200 140.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -3,600 170.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 7,500 160.0000 American 20 Jul 2018
USD 0.01 Class A common Call Options Purchased 1,200 185.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Purchased 500 220.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 70.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 70.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 165.0000 American 17 Aug 2018
USD 0.01 Class A common Put Options Purchased -700 120.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -1,100 200.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -1,400 170.0000 American 21 Sep 2018
USD 0.01 Class A common 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: 651165
Time of Receipt (offset from UTC): 20180710T111449+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC