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: 23 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: 80,030 0.02% 17,894 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 110,100 0.03% 155,700 0.05%
           
(4)
TOTAL: 190,130 0.06% 173,594 0.05%

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 10 169.0700 USD
USD 0.01 Class A common Purchase 100 169.2000 USD
USD 0.01 Class A common Purchase 100 169.4300 USD
USD 0.01 Class A common Purchase 115 169.2600 USD
USD 0.01 Class A common Purchase 199 169.2200 USD
USD 0.01 Class A common Purchase 200 169.1100 USD
USD 0.01 Class A common Purchase 200 169.1400 USD
USD 0.01 Class A common Purchase 200 169.2150 USD
USD 0.01 Class A common Purchase 200 169.0800 USD
USD 0.01 Class A common Purchase 300 168.9000 USD
USD 0.01 Class A common Purchase 400 168.9409 USD
USD 0.01 Class A common Purchase 474 169.0853 USD
USD 0.01 Class A common Purchase 500 169.0860 USD
USD 0.01 Class A common Purchase 700 169.1946 USD
USD 0.01 Class A common Purchase 800 168.9750 USD
USD 0.01 Class A common Purchase 816 169.2981 USD
USD 0.01 Class A common Purchase 1,110 169.2100 USD
USD 0.01 Class A common Purchase 1,700 169.2114 USD
USD 0.01 Class A common Purchase 2,440 169.1800 USD
USD 0.01 Class A common Purchase 2,953 169.2670 USD
USD 0.01 Class A common Purchase 4,133 169.2592 USD
USD 0.01 Class A common Purchase 5,800 169.1517 USD
USD 0.01 Class A common Purchase 8,440 169.2028 USD
USD 0.01 Class A common Purchase 28,628 169.2750 USD
USD 0.01 Class A common Purchase 48,719 169.3000 USD
USD 0.01 Class A common Purchase 81,623 169.2229 USD
USD 0.01 Class A common Sale 15 169.2700 USD
USD 0.01 Class A common Sale 40 169.2550 USD
USD 0.01 Class A common Sale 40 169.0801 USD
USD 0.01 Class A common Sale 60 168.9700 USD
USD 0.01 Class A common Sale 100 169.2000 USD
USD 0.01 Class A common Sale 102 169.2331 USD
USD 0.01 Class A common Sale 198 168.9699 USD
USD 0.01 Class A common Sale 200 169.0900 USD
USD 0.01 Class A common Sale 200 168.7919 USD
USD 0.01 Class A common Sale 200 169.1400 USD
USD 0.01 Class A common Sale 207 169.1210 USD
USD 0.01 Class A common Sale 210 169.2604 USD
USD 0.01 Class A common Sale 215 168.9986 USD
USD 0.01 Class A common Sale 260 169.2861 USD
USD 0.01 Class A common Sale 300 169.1966 USD
USD 0.01 Class A common Sale 300 169.2533 USD
USD 0.01 Class A common Sale 300 169.3900 USD
USD 0.01 Class A common Sale 300 168.9200 USD
USD 0.01 Class A common Sale 400 169.0243 USD
USD 0.01 Class A common Sale 400 168.9750 USD
USD 0.01 Class A common Sale 432 169.2200 USD
USD 0.01 Class A common Sale 670 169.1273 USD
USD 0.01 Class A common Sale 719 169.0961 USD
USD 0.01 Class A common Sale 1,000 169.1190 USD
USD 0.01 Class A common Sale 1,094 169.2488 USD
USD 0.01 Class A common Sale 1,200 169.2010 USD
USD 0.01 Class A common Sale 2,000 169.2430 USD
USD 0.01 Class A common Sale 2,099 169.1364 USD
USD 0.01 Class A common Sale 2,853 169.2686 USD
USD 0.01 Class A common Sale 3,720 169.2897 USD
USD 0.01 Class A common Sale 3,800 169.1198 USD
USD 0.01 Class A common Sale 4,400 169.1329 USD
USD 0.01 Class A common Sale 8,477 169.1979 USD
USD 0.01 Class A common Sale 28,032 169.1204 USD
USD 0.01 Class A common Sale 49,003 169.3000 USD
USD 0.01 Class A common Sale 74,928 169.2907 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 400 165 USD American 21 Sep 2018 7.7500 USD
USD 0.01 Class A common Call Options Purchasing 600 200 USD American 21 Dec 2018 0.4500 USD
USD 0.01 Class A common Call Options Selling 200 173 USD American 27 Jul 2018 0.9300 USD
USD 0.01 Class A common Put Options Purchasing 100 165 USD American 27 Jul 2018 0.8000 USD
USD 0.01 Class A common Put Options Purchasing 100 165 USD American 21 Sep 2018 3.5000 USD
USD 0.01 Class A common Put Options Selling 100 168 USD American 27 Jul 2018 1.4500 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: 24 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 3,200 200.0000 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 -100 165.0000 American 27 Jul 2018
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 Call Options Written -1,000 168.0000 American 27 Jul 2018
USD 0.01 Class A common Put Options Purchased -4,800 65.0000 American 18 Jan 2019
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 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 Put Options Written 1,500 135.0000 American 21 Sep 2018
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 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 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 Purchased 8,000 175.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 1,500 170.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 900 125.0000 American 18 Jan 2019
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 -100 160.0000 American 17 Aug 2018
USD 0.01 Class A common Call Options Written -300 195.0000 American 31 Aug 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 -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 Purchased 2,700 165.0000 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 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 -600 75.0000 American 18 Jan 2019
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 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 Put Options Written 2,200 160.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 1,100 168.0000 American 27 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 Purchased -100 85.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 153.0000 American 27 Jul 2018
USD 0.01 Class A common Call Options Written -200 173.0000 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 Written 2,600 165.0000 American 21 Sep 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 -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: 652113
Time of Receipt (offset from UTC): 20180724T110907+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC