FORM 8 (DD) - CME GROUP PLC

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: 26 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: 80,000 0.02% 13,006 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 111,800 0.03% 157,300 0.05%
           
(4)
TOTAL: 191,800 0.06% 170,306 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 3 169.1300 USD
USD 0.01 Class A common Purchase 11 166.5650 USD
USD 0.01 Class A common Purchase 57 166.5192 USD
USD 0.01 Class A common Purchase 100 166.4800 USD
USD 0.01 Class A common Purchase 100 167.8200 USD
USD 0.01 Class A common Purchase 100 166.6800 USD
USD 0.01 Class A common Purchase 114 166.4836 USD
USD 0.01 Class A common Purchase 185 170.4662 USD
USD 0.01 Class A common Purchase 300 169.2133 USD
USD 0.01 Class A common Purchase 300 171.8733 USD
USD 0.01 Class A common Purchase 360 166.7293 USD
USD 0.01 Class A common Purchase 400 169.1725 USD
USD 0.01 Class A common Purchase 400 166.6600 USD
USD 0.01 Class A common Purchase 600 167.7365 USD
USD 0.01 Class A common Purchase 621 168.6222 USD
USD 0.01 Class A common Purchase 638 169.4497 USD
USD 0.01 Class A common Purchase 900 169.1700 USD
USD 0.01 Class A common Purchase 900 169.4211 USD
USD 0.01 Class A common Purchase 1,000 166.6460 USD
USD 0.01 Class A common Purchase 1,228 169.0399 USD
USD 0.01 Class A common Purchase 1,500 169.0566 USD
USD 0.01 Class A common Purchase 2,100 167.9784 USD
USD 0.01 Class A common Purchase 2,246 169.1613 USD
USD 0.01 Class A common Purchase 2,700 171.2974 USD
USD 0.01 Class A common Purchase 2,801 168.6847 USD
USD 0.01 Class A common Purchase 3,744 169.0952 USD
USD 0.01 Class A common Purchase 4,066 169.4208 USD
USD 0.01 Class A common Purchase 4,079 166.4600 USD
USD 0.01 Class A common Purchase 6,105 167.4077 USD
USD 0.01 Class A common Purchase 8,200 168.2326 USD
USD 0.01 Class A common Purchase 9,547 168.2773 USD
USD 0.01 Class A common Purchase 11,408 169.5896 USD
USD 0.01 Class A common Purchase 14,178 167.0220 USD
USD 0.01 Class A common Purchase 26,824 171.4270 USD
USD 0.01 Class A common Purchase 27,000 168.8735 USD
USD 0.01 Class A common Purchase 33,174 168.6626 USD
USD 0.01 Class A common Sale 3 169.1300 USD
USD 0.01 Class A common Sale 4 170.5000 USD
USD 0.01 Class A common Sale 11 168.7090 USD
USD 0.01 Class A common Sale 12 168.3800 USD
USD 0.01 Class A common Sale 60 166.6700 USD
USD 0.01 Class A common Sale 72 168.0600 USD
USD 0.01 Class A common Sale 90 168.2800 USD
USD 0.01 Class A common Sale 100 168.3700 USD
USD 0.01 Class A common Sale 100 171.3200 USD
USD 0.01 Class A common Sale 100 171.2300 USD
USD 0.01 Class A common Sale 100 168.6000 USD
USD 0.01 Class A common Sale 110 168.9472 USD
USD 0.01 Class A common Sale 110 168.7336 USD
USD 0.01 Class A common Sale 150 166.4800 USD
USD 0.01 Class A common Sale 156 168.1325 USD
USD 0.01 Class A common Sale 181 170.4655 USD
USD 0.01 Class A common Sale 200 169.3700 USD
USD 0.01 Class A common Sale 200 171.2650 USD
USD 0.01 Class A common Sale 210 168.2700 USD
USD 0.01 Class A common Sale 251 169.5733 USD
USD 0.01 Class A common Sale 300 171.8733 USD
USD 0.01 Class A common Sale 329 167.2137 USD
USD 0.01 Class A common Sale 380 169.1563 USD
USD 0.01 Class A common Sale 385 168.4762 USD
USD 0.01 Class A common Sale 390 166.4600 USD
USD 0.01 Class A common Sale 400 167.7850 USD
USD 0.01 Class A common Sale 400 169.9668 USD
USD 0.01 Class A common Sale 434 170.3594 USD
USD 0.01 Class A common Sale 500 168.3530 USD
USD 0.01 Class A common Sale 744 169.3640 USD
USD 0.01 Class A common Sale 800 167.0934 USD
USD 0.01 Class A common Sale 860 166.6913 USD
USD 0.01 Class A common Sale 900 169.1700 USD
USD 0.01 Class A common Sale 915 168.3940 USD
USD 0.01 Class A common Sale 1,100 166.9552 USD
USD 0.01 Class A common Sale 1,141 170.2903 USD
USD 0.01 Class A common Sale 1,180 168.9451 USD
USD 0.01 Class A common Sale 1,200 171.1966 USD
USD 0.01 Class A common Sale 1,300 171.3938 USD
USD 0.01 Class A common Sale 1,403 168.5400 USD
USD 0.01 Class A common Sale 1,500 167.5143 USD
USD 0.01 Class A common Sale 2,300 168.8381 USD
USD 0.01 Class A common Sale 2,806 168.9935 USD
USD 0.01 Class A common Sale 3,121 167.7134 USD
USD 0.01 Class A common Sale 3,205 167.1817 USD
USD 0.01 Class A common Sale 3,305 168.7546 USD
USD 0.01 Class A common Sale 5,400 167.9530 USD
USD 0.01 Class A common Sale 5,819 166.9069 USD
USD 0.01 Class A common Sale 6,789 170.2001 USD
USD 0.01 Class A common Sale 7,500 168.5244 USD
USD 0.01 Class A common Sale 7,792 166.8349 USD
USD 0.01 Class A common Sale 8,460 168.1527 USD
USD 0.01 Class A common Sale 8,665 168.7730 USD
USD 0.01 Class A common Sale 11,024 169.1837 USD
USD 0.01 Class A common Sale 13,412 171.4270 USD
USD 0.01 Class A common Sale 14,189 167.0216 USD
USD 0.01 Class A common Sale 45,711 168.8225 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 200 168 USD American 24 Aug 2018 6.3300 USD
USD 0.01 Class A common Call Options Purchasing 500 195 USD American 18 Jan 2019 1.0200 USD
USD 0.01 Class A common Call Options Selling 100 170 USD American 27 Jul 2018 0.2500 USD
USD 0.01 Class A common Call Options Selling 200 173 USD American 24 Aug 2018 3.0300 USD
USD 0.01 Class A common Call Options Selling 500 195 USD American 21 Dec 2018 0.7200 USD
USD 0.01 Class A common Put Options Purchasing 100 150 USD American 17 Jan 2020 9.5000 USD
USD 0.01 Class A common Put Options Purchasing 100 170 USD American 3 Aug 2018 2.9500 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: 27 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 -1,200 168.0000 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 Put Options Written 1,000 144.0000 American 3 Aug 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 Call Options Written -200 170.0000 American 27 Jul 2018
USD 0.01 Class A common Call Options Written -500 195.0000 American 21 Dec 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 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 500 195.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 200 168.0000 American 24 Aug 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 -100 160.0000 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 -200 173.0000 American 24 Aug 2018
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 -100 150.0000 American 17 Jan 2020
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 -200 180.0000 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 Call Options Written -100 170.0000 American 3 Aug 2018
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 -100 170.0000 American 3 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: 652332
Time of Receipt (offset from UTC): 20180727T110019+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC