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: 01 August 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: 82,100 0.02% 13,702 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% 159,100 0.05%
           
 
TOTAL: 184,500 0.05% 172,802 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 10 162.0100 USD
USD 0.01 Class A common Purchase 23 162.2668 USD
USD 0.01 Class A common Purchase 51 161.9300 USD
USD 0.01 Class A common Purchase 79 163.3800 USD
USD 0.01 Class A common Purchase 100 163.3500 USD
USD 0.01 Class A common Purchase 100 163.0300 USD
USD 0.01 Class A common Purchase 100 161.6300 USD
USD 0.01 Class A common Purchase 100 161.4400 USD
USD 0.01 Class A common Purchase 200 161.9100 USD
USD 0.01 Class A common Purchase 350 162.0300 USD
USD 0.01 Class A common Purchase 400 161.9900 USD
USD 0.01 Class A common Purchase 541 161.6332 USD
USD 0.01 Class A common Purchase 700 162.1614 USD
USD 0.01 Class A common Purchase 800 161.9725 USD
USD 0.01 Class A common Purchase 1,239 162.7751 USD
USD 0.01 Class A common Purchase 1,513 161.4471 USD
USD 0.01 Class A common Purchase 1,528 161.7692 USD
USD 0.01 Class A common Purchase 1,900 161.5982 USD
USD 0.01 Class A common Purchase 2,043 161.4300 USD
USD 0.01 Class A common Purchase 2,100 161.8800 USD
USD 0.01 Class A common Purchase 2,323 162.9176 USD
USD 0.01 Class A common Purchase 2,825 161.8270 USD
USD 0.01 Class A common Purchase 3,500 162.2685 USD
USD 0.01 Class A common Purchase 3,682 161.6757 USD
USD 0.01 Class A common Purchase 5,100 162.4133 USD
USD 0.01 Class A common Purchase 6,174 161.5248 USD
USD 0.01 Class A common Purchase 6,600 162.0845 USD
USD 0.01 Class A common Purchase 8,388 161.9420 USD
USD 0.01 Class A common Purchase 21,924 162.1389 USD
USD 0.01 Class A common Sale 10 162.0100 USD
USD 0.01 Class A common Sale 10 162.5500 USD
USD 0.01 Class A common Sale 51 161.9300 USD
USD 0.01 Class A common Sale 55 161.4900 USD
USD 0.01 Class A common Sale 55 163.5200 USD
USD 0.01 Class A common Sale 68 161.2301 USD
USD 0.01 Class A common Sale 79 163.3800 USD
USD 0.01 Class A common Sale 95 161.1950 USD
USD 0.01 Class A common Sale 100 161.1800 USD
USD 0.01 Class A common Sale 100 161.4400 USD
USD 0.01 Class A common Sale 100 162.9400 USD
USD 0.01 Class A common Sale 100 161.6800 USD
USD 0.01 Class A common Sale 107 161.2873 USD
USD 0.01 Class A common Sale 122 161.7194 USD
USD 0.01 Class A common Sale 159 162.4308 USD
USD 0.01 Class A common Sale 199 161.6442 USD
USD 0.01 Class A common Sale 200 161.3600 USD
USD 0.01 Class A common Sale 200 163.2225 USD
USD 0.01 Class A common Sale 200 163.0300 USD
USD 0.01 Class A common Sale 200 162.7025 USD
USD 0.01 Class A common Sale 200 162.6150 USD
USD 0.01 Class A common Sale 200 161.9600 USD
USD 0.01 Class A common Sale 200 161.8600 USD
USD 0.01 Class A common Sale 227 161.2411 USD
USD 0.01 Class A common Sale 279 161.5943 USD
USD 0.01 Class A common Sale 300 161.6433 USD
USD 0.01 Class A common Sale 300 161.9233 USD
USD 0.01 Class A common Sale 300 161.9833 USD
USD 0.01 Class A common Sale 300 161.9701 USD
USD 0.01 Class A common Sale 400 162.2500 USD
USD 0.01 Class A common Sale 428 161.6633 USD
USD 0.01 Class A common Sale 457 161.5954 USD
USD 0.01 Class A common Sale 499 162.4949 USD
USD 0.01 Class A common Sale 700 162.0235 USD
USD 0.01 Class A common Sale 700 162.2000 USD
USD 0.01 Class A common Sale 700 161.9542 USD
USD 0.01 Class A common Sale 750 162.0087 USD
USD 0.01 Class A common Sale 910 161.4033 USD
USD 0.01 Class A common Sale 957 161.5932 USD
USD 0.01 Class A common Sale 1,039 162.7890 USD
USD 0.01 Class A common Sale 1,110 162.3674 USD
USD 0.01 Class A common Sale 1,128 161.5987 USD
USD 0.01 Class A common Sale 1,513 161.4471 USD
USD 0.01 Class A common Sale 1,628 163.0405 USD
USD 0.01 Class A common Sale 2,043 161.4300 USD
USD 0.01 Class A common Sale 2,100 161.8800 USD
USD 0.01 Class A common Sale 2,249 161.8668 USD
USD 0.01 Class A common Sale 2,600 161.7201 USD
USD 0.01 Class A common Sale 2,621 161.4777 USD
USD 0.01 Class A common Sale 2,918 161.8635 USD
USD 0.01 Class A common Sale 3,000 162.3276 USD
USD 0.01 Class A common Sale 3,000 162.4235 USD
USD 0.01 Class A common Sale 3,323 161.8196 USD
USD 0.01 Class A common Sale 3,782 161.7031 USD
USD 0.01 Class A common Sale 6,800 162.2087 USD
USD 0.01 Class A common Sale 7,866 161.9436 USD
USD 0.01 Class A common Sale 13,956 162.2281 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 100 155 USD American 21 Sep 2018 10.0000 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: 2 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 -600 155.0000 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: 652698
Time of Receipt (offset from UTC): 20180802T112549+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC