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: 11 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: 80,160 0.02% 5,598 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% 187,600 0.06%
           
(4)
TOTAL: 201,160 0.06% 193,198 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 2 165.2500 USD
USD 0.01 Class A common Purchase 5 165.5300 USD
USD 0.01 Class A common Purchase 16 162.8700 USD
USD 0.01 Class A common Purchase 22 165.3600 USD
USD 0.01 Class A common Purchase 35 164.8700 USD
USD 0.01 Class A common Purchase 98 165.3341 USD
USD 0.01 Class A common Purchase 100 163.5550 USD
USD 0.01 Class A common Purchase 100 165.4700 USD
USD 0.01 Class A common Purchase 178 165.6500 USD
USD 0.01 Class A common Purchase 200 165.5400 USD
USD 0.01 Class A common Purchase 200 165.5150 USD
USD 0.01 Class A common Purchase 217 164.5205 USD
USD 0.01 Class A common Purchase 285 165.5145 USD
USD 0.01 Class A common Purchase 300 165.4766 USD
USD 0.01 Class A common Purchase 300 165.6133 USD
USD 0.01 Class A common Purchase 314 165.0913 USD
USD 0.01 Class A common Purchase 400 165.6200 USD
USD 0.01 Class A common Purchase 530 163.3450 USD
USD 0.01 Class A common Purchase 566 165.4595 USD
USD 0.01 Class A common Purchase 1,262 165.1086 USD
USD 0.01 Class A common Purchase 1,462 165.3545 USD
USD 0.01 Class A common Purchase 1,595 165.0676 USD
USD 0.01 Class A common Purchase 2,020 165.4591 USD
USD 0.01 Class A common Purchase 2,319 165.4300 USD
USD 0.01 Class A common Purchase 2,792 164.7625 USD
USD 0.01 Class A common Purchase 2,914 165.4481 USD
USD 0.01 Class A common Purchase 3,028 165.4749 USD
USD 0.01 Class A common Purchase 3,500 165.4780 USD
USD 0.01 Class A common Purchase 6,457 165.1519 USD
USD 0.01 Class A common Purchase 7,600 165.3758 USD
USD 0.01 Class A common Purchase 7,600 164.9608 USD
USD 0.01 Class A common Purchase 8,140 165.2506 USD
USD 0.01 Class A common Purchase 10,322 165.4699 USD
USD 0.01 Class A common Purchase 10,894 165.1640 USD
USD 0.01 Class A common Purchase 11,900 165.4645 USD
USD 0.01 Class A common Purchase 12,600 165.1238 USD
USD 0.01 Class A common Purchase 20,500 165.4463 USD
USD 0.01 Class A common Purchase 74,051 165.4769 USD
USD 0.01 Class A common Sale 3 164.7700 USD
USD 0.01 Class A common Sale 5 165.3600 USD
USD 0.01 Class A common Sale 15 163.1800 USD
USD 0.01 Class A common Sale 19 163.9700 USD
USD 0.01 Class A common Sale 19 165.0400 USD
USD 0.01 Class A common Sale 21 163.5033 USD
USD 0.01 Class A common Sale 35 164.8700 USD
USD 0.01 Class A common Sale 45 163.2300 USD
USD 0.01 Class A common Sale 51 165.5200 USD
USD 0.01 Class A common Sale 58 163.2500 USD
USD 0.01 Class A common Sale 62 164.0400 USD
USD 0.01 Class A common Sale 88 163.1200 USD
USD 0.01 Class A common Sale 100 165.2800 USD
USD 0.01 Class A common Sale 100 165.1300 USD
USD 0.01 Class A common Sale 100 163.5550 USD
USD 0.01 Class A common Sale 100 164.8000 USD
USD 0.01 Class A common Sale 100 163.8900 USD
USD 0.01 Class A common Sale 100 164.3700 USD
USD 0.01 Class A common Sale 103 163.1900 USD
USD 0.01 Class A common Sale 135 163.2257 USD
USD 0.01 Class A common Sale 174 165.6700 USD
USD 0.01 Class A common Sale 200 165.0800 USD
USD 0.01 Class A common Sale 200 165.6050 USD
USD 0.01 Class A common Sale 200 165.5400 USD
USD 0.01 Class A common Sale 252 163.6558 USD
USD 0.01 Class A common Sale 300 164.9333 USD
USD 0.01 Class A common Sale 322 165.0553 USD
USD 0.01 Class A common Sale 400 164.5950 USD
USD 0.01 Class A common Sale 400 165.0900 USD
USD 0.01 Class A common Sale 781 165.0907 USD
USD 0.01 Class A common Sale 786 164.7572 USD
USD 0.01 Class A common Sale 795 165.0628 USD
USD 0.01 Class A common Sale 800 164.8850 USD
USD 0.01 Class A common Sale 878 165.6238 USD
USD 0.01 Class A common Sale 1,900 165.3659 USD
USD 0.01 Class A common Sale 2,143 165.4300 USD
USD 0.01 Class A common Sale 2,200 165.0009 USD
USD 0.01 Class A common Sale 2,300 165.4626 USD
USD 0.01 Class A common Sale 2,700 164.8222 USD
USD 0.01 Class A common Sale 3,028 165.4749 USD
USD 0.01 Class A common Sale 4,100 165.0669 USD
USD 0.01 Class A common Sale 4,185 164.8950 USD
USD 0.01 Class A common Sale 5,725 165.3785 USD
USD 0.01 Class A common Sale 6,357 165.1642 USD
USD 0.01 Class A common Sale 6,627 165.2625 USD
USD 0.01 Class A common Sale 7,788 165.3197 USD
USD 0.01 Class A common Sale 24,000 165.2930 USD
USD 0.01 Class A common Sale 114,300 165.4676 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        
ORD Call Options Purchasing 3,400 165 USD American 20 Jul 2018 2.0064 USD
USD 0.01 Class A common Call Options Purchasing 100 165 USD American 21 Sep 2018 6.2000 USD
USD 0.01 Class A common Call Options Purchasing 100 168 USD American 20 Jul 2018 1.0700 USD
USD 0.01 Class A common Call Options Selling 1,000 163 USD American 20 Jul 2018 3.5500 USD
USD 0.01 Class A common Call Options Selling 100 170 USD American 17 Aug 2018 2.0000 USD
USD 0.01 Class A common Call Options Selling 300 183 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: 12 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 Put Options Written 500 135.0000 American 21 Sep 2018
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 70.0000 American 17 Jan 2020
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 -10,300 165.0000 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 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 2,300 165.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 2,200 160.0000 American 20 Jul 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 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 Call Options Purchased 100 168.0000 American 20 Jul 2018
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 -300 183.0000 American 20 Jul 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 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 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 -200 165.0000 American 20 Jul 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: 651306
Time of Receipt (offset from UTC): 20180712T112155+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC