FORM 8 (DD) - CME GROUP PLC - AMENDMENT

LONDON--()--

FORM 8 (DD)

AMENDMENTS TO SALES

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: 30 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% 12,814 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 110,800 0.03% 155,800 0.05%
           
(4)
TOTAL: 190,800 0.06% 168,614 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 26 161.8200 USD
USD 0.01 Class A common Purchase 96 162.0300 USD
USD 0.01 Class A common Purchase 100 160.9900 USD
USD 0.01 Class A common Purchase 100 161.5200 USD
USD 0.01 Class A common Purchase 100 161.1700 USD
USD 0.01 Class A common Purchase 109 161.0580 USD
USD 0.01 Class A common Purchase 115 165.0400 USD
USD 0.01 Class A common Purchase 134 161.2112 USD
USD 0.01 Class A common Purchase 144 164.9366 USD
USD 0.01 Class A common Purchase 145 165.0300 USD
USD 0.01 Class A common Purchase 189 164.1800 USD
USD 0.01 Class A common Purchase 200 161.0250 USD
USD 0.01 Class A common Purchase 200 161.1625 USD
USD 0.01 Class A common Purchase 200 161.1000 USD
USD 0.01 Class A common Purchase 200 161.1150 USD
USD 0.01 Class A common Purchase 300 161.0433 USD
USD 0.01 Class A common Purchase 300 162.9366 USD
USD 0.01 Class A common Purchase 300 162.1050 USD
USD 0.01 Class A common Purchase 400 162.0025 USD
USD 0.01 Class A common Purchase 400 162.0199 USD
USD 0.01 Class A common Purchase 500 163.2120 USD
USD 0.01 Class A common Purchase 522 162.0974 USD
USD 0.01 Class A common Purchase 600 162.1000 USD
USD 0.01 Class A common Purchase 600 161.1343 USD
USD 0.01 Class A common Purchase 800 161.5044 USD
USD 0.01 Class A common Purchase 976 162.6012 USD
USD 0.01 Class A common Purchase 1,483 161.8472 USD
USD 0.01 Class A common Purchase 1,580 160.9672 USD
USD 0.01 Class A common Purchase 1,700 161.9852 USD
USD 0.01 Class A common Purchase 1,836 161.8247 USD
USD 0.01 Class A common Purchase 2,345 163.1378 USD
USD 0.01 Class A common Purchase 2,457 161.6080 USD
USD 0.01 Class A common Purchase 3,625 162.0239 USD
USD 0.01 Class A common Purchase 8,945 161.2100 USD
USD 0.01 Class A common Purchase 9,924 161.8667 USD
USD 0.01 Class A common Purchase 17,124 163.8913 USD
USD 0.01 Class A common Sale 13 160.9300 USD
USD 0.01 Class A common Sale 16 161.1200 USD
USD 0.01 Class A common Sale 23 164.5647 USD
USD 0.01 Class A common Sale 61 160.9975 USD
USD 0.01 Class A common Sale 74 161.7367 USD
USD 0.01 Class A common Sale 74 164.2900 USD
USD 0.01 Class A common Sale 100 160.9900 USD
USD 0.01 Class A common Sale 100 161.9900 USD
USD 0.01 Class A common Sale 100 164.9350 USD
USD 0.01 Class A common Sale 100 165.4900 USD
USD 0.01 Class A common Sale 100 161.0100 USD
USD 0.01 Class A common Sale 135 165.5500 USD
USD 0.01 Class A common Sale 189 164.1800 USD
USD 0.01 Class A common Sale 200 160.9600 USD
USD 0.01 Class A common Sale 200 160.9850 USD
USD 0.01 Class A common Sale 269 161.2080 USD
USD 0.01 Class A common Sale 300 160.9733 USD
USD 0.01 Class A common Sale 300 163.5680 USD
USD 0.01 Class A common Sale 300 161.6266 USD
USD 0.01 Class A common Sale 400 161.8562 USD
USD 0.01 Class A common Sale 400 165.0294 USD
USD 0.01 Class A common Sale 400 161.8537 USD
USD 0.01 Class A common Sale 419 164.5634 USD
USD 0.01 Class A common Sale 500 162.0218 USD
USD 0.01 Class A common Sale 600 161.7791 USD
USD 0.01 Class A common Sale 665 165.0651 USD
USD 0.01 Class A common Sale 688 163.6909 USD
USD 0.01 Class A common Sale 706 160.9538 USD
USD 0.01 Class A common Sale 1,200 161.8325 USD
USD 0.01 Class A common Sale 1,260 162.6396 USD
USD 0.01 Class A common Sale 1,400 161.2200 USD
USD 0.01 Class A common Sale 1,400 162.0621 USD
USD 0.01 Class A common Sale 1,483 161.8472 USD
USD 0.01 Class A common Sale 2,000 161.7460 USD
USD 0.01 Class A common Sale 2,178 162.2525 USD
USD 0.01 Class A common Sale 3,146 165.0152 USD
USD 0.01 Class A common Sale 4,884 163.8067 USD
USD 0.01 Class A common Sale 6,510 163.7984 USD
USD 0.01 Class A common Sale 7,413 161.6706 USD
USD 0.01 Class A common Sale 7,659 162.0490 USD
USD 0.01 Class A common Sale 11,092 161.2100 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 100 163 USD American 17 Aug 2018 2.6200 USD
USD 0.01 Class A common Call Options Selling 100 165 USD American 21 Sep 2018 3.1000 USD
USD 0.01 Class A common Put Options Purchasing 1,000 160 USD American 21 Sep 2018 3.8000 USD
USD 0.01 Class A common Put Options Purchasing 1,000 165 USD American 3 Aug 2018 3.8300 USD
USD 0.01 Class A common Put Options Purchasing 500 170 USD American 21 Sep 2018 10.0000 USD
USD 0.01 Class A common Put Options Selling 1,000 160 USD American 3 Aug 2018 0.9800 USD
USD 0.01 Class A common Put Options Selling 500 160 USD American 21 Sep 2018 4.0000 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 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 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 Put Options Purchased -100 115.0000 American 18 Jan 2019
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 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 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 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 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 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 Call Options Purchased 8,000 175.0000 American 21 Sep 2018
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 Put Options Written 800 105.0000 American 18 Jan 2019
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 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 Put Options Purchased -2,200 90.0000 American 18 Jan 2019
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 Purchased 900 180.0000 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 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 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 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 Written 50,000 155.0000 American 21 Sep 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 -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 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 Written 1,700 160.0000 American 21 Sep 2018
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 100 144.0000 American 7 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 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 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: 652722
Time of Receipt (offset from UTC): 20180802T161149+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC