Form 8 (DD) - CME GROUP INC - Amendment

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FORM 8 (DD) - AMENDMENT TO SALES AND PURCHASES

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: 06 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?

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: 103,200 0.02% 27,628 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 120,700 0.04% 191,800 0.06%
           
 
TOTAL: 223,900 0.06% 219,428 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 1 160.7000 USD
USD 0.01 Class A common stock Purchase 5 160.0499 USD
USD 0.01 Class A common stock Purchase 62 160.5300 USD
USD 0.01 Class A common stock Purchase 70 159.9900 USD
USD 0.01 Class A common stock Purchase 100 160.2950 USD
USD 0.01 Class A common stock Purchase 100 160.2800 USD
USD 0.01 Class A common stock Purchase 100 160.1200 USD
USD 0.01 Class A common stock Purchase 100 160.4998 USD
USD 0.01 Class A common stock Purchase 100 160.5200 USD
USD 0.01 Class A common stock Purchase 100 159.7500 USD
USD 0.01 Class A common stock Purchase 100 160.8800 USD
USD 0.01 Class A common stock Purchase 139 159.6600 USD
USD 0.01 Class A common stock Purchase 150 160.8340 USD
USD 0.01 Class A common stock Purchase 200 159.5700 USD
USD 0.01 Class A common stock Purchase 200 160.2937 USD
USD 0.01 Class A common stock Purchase 227 160.1207 USD
USD 0.01 Class A common stock Purchase 300 160.1299 USD
USD 0.01 Class A common stock Purchase 460 160.3106 USD
USD 0.01 Class A common stock

Purchase

493 159.9378 USD
USD 0.01 Class A common stock Purchase 553 160.2864 USD
USD 0.01 Class A common stock Purchase 557 160.2901 USD
USD 0.01 Class A common stock Purchase 600 160.1141 USD
USD 0.01 Class A common stock Purchase 852 160.4300 USD
USD 0.01 Class A common stock Purchase 1,000 162.5000 USD
USD 0.01 Class A common stock Purchase 1,127 160.3901 USD
USD 0.01 Class A common stock Purchase 1,175 160.5067 USD
USD 0.01 Class A common stock Purchase 1,214 159.9068 USD
USD 0.01 Class A common stock Purchase 1,768 160.4392 USD
USD 0.01 Class A common stock Purchase 2,800 160.4448 USD
USD 0.01 Class A common stock Purchase 3,934 160.1192 USD
USD 0.01 Class A common stock Purchase 4,200 160.3716 USD
USD 0.01 Class A common stock Purchase 4,500 160.4181 USD
USD 0.01 Class A common stock Purchase 4,540 159.9401 USD
USD 0.01 Class A common stock Purchase 5,419 160.4081 USD
USD 0.01 Class A common stock Purchase 5,471 160.4482 USD
USD 0.01 Class A common stock Purchase 22,300 159.8801 USD
USD 0.01 Class A common stock Sale 1 160.4200 USD
USD 0.01 Class A common stock Sale 1 160.7000 USD
USD 0.01 Class A common stock Sale 3 159.9601 USD
USD 0.01 Class A common stock Sale 27 160.9145 USD
USD 0.01 Class A common stock Sale 59 160.4500 USD
USD 0.01 Class A common stock Sale 100 160.0000 USD
USD 0.01 Class A common stock Sale 100 161.0100 USD
USD 0.01 Class A common stock Sale 100 160.8400 USD
USD 0.01 Class A common stock Sale 100 159.6300 USD
USD 0.01 Class A common stock Sale 116 161.2886 USD
USD 0.01 Class A common stock Sale 120 160.5800 USD
USD 0.01 Class A common stock Sale 200 160.8850 USD
USD 0.01 Class A common stock Sale 200 161.2500 USD
USD 0.01 Class A common stock Sale 252 160.0336 USD
USD 0.01 Class A common stock Sale 254 159.8925 USD
USD 0.01 Class A common stock Sale 300 160.2983 USD
USD 0.01 Class A common stock Sale 316 159.7755 USD
USD 0.01 Class A common stock Sale 383 160.2212 USD
USD 0.01 Class A common stock Sale 400 160.5575 USD
USD 0.01 Class A common stock Sale 400 159.8150 USD
USD 0.01 Class A common stock Sale 431 160.4071 USD
USD 0.01 Class A common stock Sale 500 159.7870 USD
USD 0.01 Class A common stock Sale 624 160.0364 USD
USD 0.01 Class A common stock Sale 700 159.8414 USD
USD 0.01 Class A common stock Sale 700 159.9042 USD
USD 0.01 Class A common stock Sale 800 160.0550 USD
USD 0.01 Class A common stock Sale 900 160.0138 USD
USD 0.01 Class A common stock Sale 900 160.2666 USD
USD 0.01 Class A common stock Sale 1,000 160.4392 USD
USD 0.01 Class A common stock Sale 1,100 159.8740 USD
USD 0.01 Class A common stock Sale 1,313 160.2966 USD
USD 0.01 Class A common stock Sale 1,700 160.4189 USD
USD 0.01 Class A common stock Sale 2,075 160.0759 USD
USD 0.01 Class A common stock Sale 2,282 160.3035 USD
USD 0.01 Class A common stock Sale 2,600 160.5500 USD
USD 0.01 Class A common stock Sale 2,800 160.3631 USD
USD 0.01 Class A common stock Sale 4,100 160.3521 USD
USD 0.01 Class A common stock Sale 4,900 159.8469 USD
USD 0.01 Class A common stock Sale 5,952 160.4300 USD
USD 0.01 Class A common stock Sale 5,974 159.9430 USD
USD 0.01 Class A common stock Sale 6,110 160.4214 USD
USD 0.01 Class A common stock Sale 14,084 159.8984 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 200 160 USD American 20 Jul 2018 2.4500 USD
USD 0.01 Class A common stock Call Options Purchasing 100 165 USD American 21 Sep 2018 3.7000 USD
USD 0.01 Class A common stock Call Options Selling 100 160 USD American 6 Jul 2018 0.3000 USD
USD 0.01 Class A common stock Call Options Selling 100 180 USD American 20 Jul 2018 0.0500 USD
USD 0.01 Class A common stock Put Options Purchasing 100 160 USD American 21 Sep 2018 6.1200 USD
USD 0.01 Class A common stock Put Options Selling 1,000 163 USD American 6 Jul 2018 1.7100 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 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 Call Options Purchased 2,600 200.0000 American 21 Dec 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 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 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 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 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 Call Options Purchased 8,000 175.0000 American 21 Sep 2018
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 -2,100 160.0000 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 -3,700 180.0000 American 20 Jul 2018
USD 0.01 Class A common stock Call Options Purchased 1,500 165.0000 American 21 Sep 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 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 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 Put Options Written 1,000 163.0000 American 6 Jul 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 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 Purchased 2,500 173.0000 American 20 Jul 2018
USD 0.01 Class A common stock Call Options Written -100 160.0000 American 6 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 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 7,500 160.0000 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 -1,400 170.0000 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: 651166
Time of Receipt (offset from UTC): 20180710T115658+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC