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)

 

CONNECTED TO THE OFFEROR

(e) Date dealing undertaken:  

20 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            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 80,000 0.02% 14,460 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 130,800 0.04% 178,900 0.05%
           
(4)
TOTAL: 210,800 0.06% 193,360 0.06%
0

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 4 168.7500 USD
USD 0.01 Class A common Purchase 7 168.8550 USD
USD 0.01 Class A common Purchase 12 168.8600 USD
USD 0.01 Class A common Purchase 16 168.8800 USD
USD 0.01 Class A common Purchase 19 168.5800 USD
USD 0.01 Class A common Purchase 90 169.0400 USD
USD 0.01 Class A common Purchase 100 168.9199 USD
USD 0.01 Class A common Purchase 100 168.5000 USD
USD 0.01 Class A common Purchase 100 168.4600 USD
USD 0.01 Class A common Purchase 100 168.9300 USD
USD 0.01 Class A common Purchase 107 168.8758 USD
USD 0.01 Class A common Purchase 126 168.8879 USD
USD 0.01 Class A common Purchase 126 168.6047 USD
USD 0.01 Class A common Purchase 200 168.7137 USD
USD 0.01 Class A common Purchase 200 168.7725 USD
USD 0.01 Class A common Purchase 200 168.8050 USD
USD 0.01 Class A common Purchase 227 168.6634 USD
USD 0.01 Class A common Purchase 300 168.6250 USD
USD 0.01 Class A common Purchase 300 168.9233 USD
USD 0.01 Class A common Purchase 700 168.4285 USD
USD 0.01 Class A common Purchase 755 168.9814 USD
USD 0.01 Class A common Purchase 800 168.5796 USD
USD 0.01 Class A common Purchase 900 168.9068 USD
USD 0.01 Class A common Purchase 1,254 168.6191 USD
USD 0.01 Class A common Purchase 1,887 168.7197 USD
USD 0.01 Class A common Purchase 5,499 168.9053 USD
USD 0.01 Class A common Purchase 7,085 168.9551 USD
USD 0.01 Class A common Purchase 7,405 168.8511 USD
USD 0.01 Class A common Purchase 18,400 168.3800 USD
USD 0.01 Class A common Purchase 42,102 169.0000 USD
USD 0.01 Class A common Sale 14 168.2600 USD
USD 0.01 Class A common Sale 26 168.8800 USD
USD 0.01 Class A common Sale 55 168.8300 USD
USD 0.01 Class A common Sale 102 168.8280 USD
USD 0.01 Class A common Sale 104 168.8900 USD
USD 0.01 Class A common Sale 163 168.5800 USD
USD 0.01 Class A common Sale 178 168.7404 USD
USD 0.01 Class A common Sale 193 168.6637 USD
USD 0.01 Class A common Sale 200 168.9207 USD
USD 0.01 Class A common Sale 243 168.9152 USD
USD 0.01 Class A common Sale 245 168.4250 USD
USD 0.01 Class A common Sale 300 168.6875 USD
USD 0.01 Class A common Sale 400 168.9175 USD
USD 0.01 Class A common Sale 400 168.2418 USD
USD 0.01 Class A common Sale 653 168.6345 USD
USD 0.01 Class A common Sale 659 168.9891 USD
USD 0.01 Class A common Sale 814 168.6934 USD
USD 0.01 Class A common Sale 900 168.5836 USD
USD 0.01 Class A common Sale 983 168.5722 USD
USD 0.01 Class A common Sale 1,408 168.7184 USD
USD 0.01 Class A common Sale 5,296 168.9106 USD
USD 0.01 Class A common Sale 6,922 168.9639 USD
USD 0.01 Class A common Sale 7,902 168.8534 USD
USD 0.01 Class A common Sale 60,288 169.0000 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 of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(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:  

23 JULY 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

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)

Product   Writing,   Number   Exercise   Type   Expiry
description purchasing, of price date
selling, securities per unit
varying etc to which
option
    relates      
Call Options Purchased 9,700 160.0000 American 21 Sep 2018
Call Options Purchased 2,600 200.0000 American 21 Dec 2018
Call Options Purchased 1,000 210.0000 American 21 Dec 2018
Call Options Purchased 900 130.0000 American 18 Jan 2019
Call Options Purchased 500 160.0000 American 21 Dec 2018
Call Options Purchased 100 240.0000 American 17 Jan 2020
Call Options Purchased 100 165.0000 American 18 Jan 2019
Put Options Purchased -100 115.0000 American 18 Jan 2019
Put Options Purchased -200 135.0000 American 18 Jan 2019
Put Options Purchased -500 125.0000 American 21 Dec 2018
Call Options Written -700 155.0000 American 21 Sep 2018
Call Options Written -1,000 210.0000 American 18 Jan 2019
Call Options Written -1,000 168.0000 American 27 Jul 2018
Put Options Purchased -4,800 65.0000 American 18 Jan 2019
Put Options Written 3,100 135.0000 American 20 Jul 2018
Call Options Purchased 2,700 190.0000 American 21 Sep 2018
Put Options Written 2,600 115.0000 American 21 Dec 2018
Put Options Written 2,600 155.0000 American 20 Jul 2018
Call Options Purchased 2,500 160.0000 American 18 Jan 2019
Call Options Purchased 1,700 150.0000 American 18 Jan 2019
Put Options Written 1,500 135.0000 American 21 Sep 2018
Call Options Purchased 500 155.0000 American 18 Jan 2019
Call Options Purchased 200 135.0000 American 18 Jan 2019
Call Options Purchased 200 175.0000 American 17 Aug 2018
Put Options Written 200 70.0000 American 17 Jan 2020
Put Options Written 200 150.0000 American 18 Jan 2019
Call Options Purchased 100 115.0000 American 18 Jan 2019
Put Options Written 100 175.0000 American 17 Jan 2020
Call Options Written -100 200.0000 American 20 Jul 2018
Call Options Written -3,100 170.0000 American 20 Jul 2018
Put Options Purchased -3,500 85.0000 American 18 Jan 2019
Put Options Purchased -5,000 60.0000 American 18 Jan 2019
Call Options Written -7,000 170.0000 American 18 Jan 2019
Call Options Written -10,800 165.0000 American 20 Jul 2018
Call Options Purchased 8,000 175.0000 American 21 Sep 2018
Put Options Written 1,500 170.0000 American 21 Sep 2018
Put Options Written 1,200 115.0000 American 20 Jul 2018
Put Options Written 900 125.0000 American 18 Jan 2019
Put Options Written 600 145.0000 American 20 Jul 2018
Call Options Purchased 100 150.0000 American 17 Jan 2020
Put Options Purchased -100 160.0000 American 17 Aug 2018
Put Options Purchased -100 150.0000 American 20 Jul 2018
Call Options Written -300 195.0000 American 31 Aug 2018
Put Options Purchased -300 90.0000 American 17 Jan 2020
Put Options Purchased -1,100 95.0000 American 18 Jan 2019
Put Options Purchased -1,100 140.0000 American 21 Sep 2018
Call Options Written -1,600 175.0000 American 20 Jul 2018
Call Options Written -3,700 180.0000 American 20 Jul 2018
Call Options Purchased 2,300 165.0000 American 21 Sep 2018
Put Options Written 2,200 160.0000 American 20 Jul 2018
Put Options Written 2,100 145.0000 American 18 Jan 2019
Put Options Written 1,500 185.0000 American 18 Jan 2019
Put Options Written 1,300 130.0000 American 21 Sep 2018
Call Options Purchased 800 168.0000 American 20 Jul 2018
Put Options Written 800 105.0000 American 18 Jan 2019
Put Options Purchased -500 155.0000 American 21 Dec 2018
Put Options Purchased -600 75.0000 American 18 Jan 2019
Call Options Written -1,200 200.0000 American 21 Sep 2018
Put Options Purchased -2,200 90.0000 American 18 Jan 2019
Call Options Purchased 1,300 165.0000 American 17 Aug 2018
Call Options Purchased 1,000 105.0000 American 18 Jan 2019
Call Options Purchased 1,000 180.0000 American 21 Sep 2018
Call Options Purchased 700 200.0000 American 17 Jan 2020
Call Options Purchased 100 120.0000 American 18 Jan 2019
Put Options Written 100 175.0000 American 18 Jan 2019
Put Options Purchased -100 165.0000 American 18 Jan 2019
Put Options Purchased -100 165.0000 American 21 Dec 2018
Call Options Written -300 183.0000 American 20 Jul 2018
Call Options Written -400 180.0000 American 18 Jan 2019
Put Options Purchased -400 145.0000 American 21 Dec 2018
Put Options Purchased -800 110.0000 American 18 Jan 2019
Put Options Purchased -1,100 130.0000 American 18 Jan 2019
Put Options Purchased -100,000 145.0000 American 21 Sep 2018
Put Options Written 50,000 155.0000 American 21 Sep 2018
Call Options Purchased 100 125.0000 American 18 Jan 2019
Put Options Written 100 190.0000 American 18 Jan 2019
Call Options Written -800 165.0000 American 27 Jul 2018
Put Options Purchased -1,900 155.0000 American 21 Sep 2018
Put Options Purchased -4,000 160.0000 American 18 Jan 2019
Call Options Purchased 3,500 173.0000 American 20 Jul 2018
Put Options Written 2,200 160.0000 American 21 Sep 2018
Put Options Written 1,000 168.0000 American 27 Jul 2018
Call Options Purchased 600 155.0000 American 21 Dec 2018
Call Options Purchased 400 145.0000 American 17 Jan 2020
Call Options Purchased 200 145.0000 American 18 Jan 2019
Put Options Written 100 140.0000 American 20 Jul 2018
Put Options Purchased -100 85.0000 American 17 Jan 2020
Put Options Purchased -100 153.0000 American 27 Jul 2018
Put Options Purchased -200 175.0000 American 21 Sep 2018
Put Options Purchased -500 180.0000 American 21 Sep 2018
Put Options Purchased -500 125.0000 American 17 Aug 2018
Put Options Purchased -1,200 100.0000 American 18 Jan 2019
Call Options Written -1,300 160.0000 American 17 Jan 2020
Put Options Purchased -2,500 140.0000 American 18 Jan 2019
Call Options Written -3,200 140.0000 American 18 Jan 2019
Put Options Purchased -3,600 170.0000 American 20 Jul 2018
Call Options Purchased 7,600 160.0000 American 20 Jul 2018
Put Options Written 2,700 165.0000 American 21 Sep 2018
Call Options Purchased 1,200 185.0000 American 21 Sep 2018
Call Options Purchased 500 220.0000 American 18 Jan 2019
Put Options Purchased -100 70.0000 American 18 Jan 2019
Put Options Purchased -100 165.0000 American 17 Aug 2018
Put Options Purchased -200 165.0000 American 20 Jul 2018
Put Options Purchased -700 120.0000 American 18 Jan 2019
Call Options Written -1,100 200.0000 American 18 Jan 2019
Call Options Written -1,400 170.0000 American 21 Sep 2018
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: 652032
Time of Receipt (offset from UTC): 20180723T113028+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC