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: 31 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% 12,302 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 102,400 0.03% 159,200 0.05%
           
(4)
TOTAL: 182,400 0.05% 171,502 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 2 159.2200 USD
USD 0.01 Class A common Purchase 16 160.0500 USD
USD 0.01 Class A common Purchase 20 159.4300 USD
USD 0.01 Class A common Purchase 50 159.2100 USD
USD 0.01 Class A common Purchase 60 159.0700 USD
USD 0.01 Class A common Purchase 66 159.1600 USD
USD 0.01 Class A common Purchase 90 159.3939 USD
USD 0.01 Class A common Purchase 100 159.0300 USD
USD 0.01 Class A common Purchase 100 159.1800 USD
USD 0.01 Class A common Purchase 100 158.5650 USD
USD 0.01 Class A common Purchase 100 159.2000 USD
USD 0.01 Class A common Purchase 100 159.0200 USD
USD 0.01 Class A common Purchase 111 159.6800 USD
USD 0.01 Class A common Purchase 182 158.6600 USD
USD 0.01 Class A common Purchase 200 159.0900 USD
USD 0.01 Class A common Purchase 200 159.0100 USD
USD 0.01 Class A common Purchase 200 158.4100 USD
USD 0.01 Class A common Purchase 200 158.4750 USD
USD 0.01 Class A common Purchase 200 159.2500 USD
USD 0.01 Class A common Purchase 211 158.5763 USD
USD 0.01 Class A common Purchase 260 159.1848 USD
USD 0.01 Class A common Purchase 275 160.0000 USD
USD 0.01 Class A common Purchase 288 161.4900 USD
USD 0.01 Class A common Purchase 300 159.4716 USD
USD 0.01 Class A common Purchase 397 159.6013 USD
USD 0.01 Class A common Purchase 500 159.3730 USD
USD 0.01 Class A common Purchase 500 159.1244 USD
USD 0.01 Class A common Purchase 500 159.2800 USD
USD 0.01 Class A common Purchase 618 159.1216 USD
USD 0.01 Class A common Purchase 647 159.0993 USD
USD 0.01 Class A common Purchase 724 159.1469 USD
USD 0.01 Class A common Purchase 800 159.3743 USD
USD 0.01 Class A common Purchase 1,096 159.0447 USD
USD 0.01 Class A common Purchase 1,600 159.1541 USD
USD 0.01 Class A common Purchase 1,700 159.1645 USD
USD 0.01 Class A common Purchase 1,745 158.5013 USD
USD 0.01 Class A common Purchase 2,523 159.3041 USD
USD 0.01 Class A common Purchase 2,801 159.3267 USD
USD 0.01 Class A common Purchase 3,121 159.5086 USD
USD 0.01 Class A common Purchase 3,349 159.4200 USD
USD 0.01 Class A common Purchase 3,732 159.2346 USD
USD 0.01 Class A common Purchase 4,294 159.3162 USD
USD 0.01 Class A common Purchase 5,300 159.1641 USD
USD 0.01 Class A common Purchase 6,192 159.1608 USD
USD 0.01 Class A common Purchase 6,486 159.2574 USD
USD 0.01 Class A common Purchase 27,630 159.1062 USD
USD 0.01 Class A common Purchase 27,804 159.1200 USD
USD 0.01 Class A common Sale 13 159.1100 USD
USD 0.01 Class A common Sale 47 159.0801 USD
USD 0.01 Class A common Sale 66 159.1822 USD
USD 0.01 Class A common Sale 74 159.1300 USD
USD 0.01 Class A common Sale 80 159.3600 USD
USD 0.01 Class A common Sale 90 159.3939 USD
USD 0.01 Class A common Sale 95 159.0700 USD
USD 0.01 Class A common Sale 100 158.5650 USD
USD 0.01 Class A common Sale 100 158.9600 USD
USD 0.01 Class A common Sale 100 159.0200 USD
USD 0.01 Class A common Sale 100 159.0699 USD
USD 0.01 Class A common Sale 100 159.1000 USD
USD 0.01 Class A common Sale 100 159.1660 USD
USD 0.01 Class A common Sale 100 159.1800 USD
USD 0.01 Class A common Sale 100 159.2400 USD
USD 0.01 Class A common Sale 100 159.2900 USD
USD 0.01 Class A common Sale 100 159.2950 USD
USD 0.01 Class A common Sale 100 159.3400 USD
USD 0.01 Class A common Sale 100 159.3700 USD
USD 0.01 Class A common Sale 100 159.5400 USD
USD 0.01 Class A common Sale 100 161.1600 USD
USD 0.01 Class A common Sale 100 170.0000 USD
USD 0.01 Class A common Sale 127 159.1900 USD
USD 0.01 Class A common Sale 142 159.1318 USD
USD 0.01 Class A common Sale 151 159.1963 USD
USD 0.01 Class A common Sale 167 159.1850 USD
USD 0.01 Class A common Sale 197 159.4804 USD
USD 0.01 Class A common Sale 200 159.1600 USD
USD 0.01 Class A common Sale 200 159.1125 USD
USD 0.01 Class A common Sale 250 159.2460 USD
USD 0.01 Class A common Sale 252 159.0887 USD
USD 0.01 Class A common Sale 300 159.7333 USD
USD 0.01 Class A common Sale 300 161.0500 USD
USD 0.01 Class A common Sale 397 159.6013 USD
USD 0.01 Class A common Sale 500 159.1620 USD
USD 0.01 Class A common Sale 500 159.1275 USD
USD 0.01 Class A common Sale 600 159.1008 USD
USD 0.01 Class A common Sale 618 159.1216 USD
USD 0.01 Class A common Sale 851 159.0162 USD
USD 0.01 Class A common Sale 900 159.1477 USD
USD 0.01 Class A common Sale 926 159.6378 USD
USD 0.01 Class A common Sale 1,000 159.0420 USD
USD 0.01 Class A common Sale 1,007 159.1220 USD
USD 0.01 Class A common Sale 1,244 159.2265 USD
USD 0.01 Class A common Sale 2,000 159.2577 USD
USD 0.01 Class A common Sale 2,208 159.2318 USD
USD 0.01 Class A common Sale 2,300 159.0747 USD
USD 0.01 Class A common Sale 3,170 159.5250 USD
USD 0.01 Class A common Sale 3,900 159.1804 USD
USD 0.01 Class A common Sale 7,325 159.0888 USD
USD 0.01 Class A common Sale 8,898 159.3006 USD
USD 0.01 Class A common Sale 10,264 159.1445 USD
USD 0.01 Class A common Sale 24,691 159.1077 USD
USD 0.01 Class A common Sale 29,428 159.1200 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 Selling 2,100 168 USD American 17 Aug 2018 0.4000 USD
USD 0.01 Class A common Call Options Selling 100 170 USD American 17 Aug 2018 0.3000 USD
USD 0.01 Class A common Call Options Selling 7,000 175 USD American 21 Sep 2018 0.4828 USD
USD 0.01 Class A common Call Options Selling 1,300 180 USD American 21 Sep 2018 0.2000 USD
USD 0.01 Class A common Put Options Purchasing 500 155 USD American 21 Sep 2018 2.9500 USD
USD 0.01 Class A common Put Options Purchasing 100 158 USD American 3 Aug 2018 0.5300 USD
USD 0.01 Class A common Put Options Purchasing 200 160 USD American 17 Aug 2018 3.0000 USD
USD 0.01 Class A common Put Options Purchasing 600 160 USD American 21 Sep 2018 5.0000 USD
USD 0.01 Class A common Put Options Purchasing 100 160 USD American 21 Dec 2018 7.1100 USD
USD 0.01 Class A common Put Options Selling 100 155 USD American 3 Aug 2018 0.2700 USD
USD 0.01 Class A common Put Options Selling 100 170 USD American 3 Aug 2018 6.5000 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: 1 Aug 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 -100 160.0000 American 21 Dec 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 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 200 170.0000 American 24 Aug 2018
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 -100 170.0000 American 17 Aug 2018
USD 0.01 Class A common Call Options Written -200 165.0000 American 24 Aug 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 1,000 175.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 1,000 170.0000 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 Written 100 155.0000 American 3 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 -300 160.0000 American 17 Aug 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 Purchased 2,600 165.0000 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 Call Options Written -400 180.0000 American 21 Sep 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 -600 75.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,000 165.0000 American 3 Aug 2018
USD 0.01 Class A common Call Options Written -1,200 200.0000 American 21 Sep 2018
USD 0.01 Class A common Call Options Written -2,100 168.0000 American 17 Aug 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 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 Call Options Written -100 163.0000 American 17 Aug 2018
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 Put Options Purchased -100 158.0000 American 3 Aug 2018
USD 0.01 Class A common Call Options Written -200 173.0000 American 24 Aug 2018
USD 0.01 Class A common Put Options Purchased -2,400 155.0000 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 1,100 160.0000 American 21 Sep 2018
USD 0.01 Class A common Put Options Written 1,000 160.0000 American 3 Aug 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 -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 Written 100 144.0000 American 7 Sep 2018
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 -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: 652603
Time of Receipt (offset from UTC): 20180801T111031+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC