Source - RNS
RNS Number : 7355K
Bank of America Merrill Lynch
12 April 2018
 

FORM 8.3

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the "Code")

 

1.         KEY INFORMATION

 

(a) Full name of discloser:

Merrill Lynch, Pierce, Fenner & Smith Inc. (Discretionary PIA)

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

     The naming of nominee or vehicle companies is insufficient.  For a trust, the trustee(s), settlor and beneficiaries must be named.

N/A

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

     Use a separate form for each offeror/offeree

 

CME Group Inc

(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:

 

NEX Group PLC

(e) Date position held/dealing undertaken:

     For an opening position disclosure, state the latest practicable date prior to the disclosure

11/04/2018

(f)  In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

     If it is a cash offer or possible cash offer, state "N/A"

YES / NO / N/A

If YES, specify which: NO

 

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 (if any)

 

Class of relevant security:

Common - US12572Q1058


Interests

Short Positions

Number

%

Number

%

(1)

Relevant securities owned
and/or controlled:

3,563,972

1.047%

0

0 %

(2)

Cash-settled derivatives:

0

0%

0

0%

(3)

Stock-settled derivatives
(including options) and
agreements to purchase/sell:

1,000

0%

13,800

0.004 %

TOTAL:

3,564,972

1.047%

13,800

0.004%

 

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).

 

(b)        Rights to subscribe for new securities (including directors' and other employee options)

 

Class of relevant security in relation to which subscription right exists:

 

N/A

Details, including nature of the rights concerned and relevant percentages:

 

N/A

 

 

3.         DEALINGS (IF ANY) 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

 

Class of relevant security

Purchase/sale

Number of
securities

Price per unit

Common - ISIN US12572Q1058

Purchase

17

161.568 USD

Common - ISIN US12572Q1058

Purchase

2

161.666 USD

 

 

Class of relevant security

Purchase/sale

Number of
securities

Price per unit

Common - ISIN US12572Q1058

Sale

3

160.65 USD

Common - ISIN US12572Q1058

Sale

3

160.66 USD

Common - ISIN US12572Q1058

Sale

4

160.701 USD

Common - ISIN US12572Q1058

Sale

7

160.743 USD

Common - ISIN US12572Q1058

Sale

1

160.763 USD

Common - ISIN US12572Q1058

Sale

44

160.769 USD

Common - ISIN US12572Q1058

Sale

8

160.771 USD

Common - ISIN US12572Q1058

Sale

6

160.796 USD

Common - ISIN US12572Q1058

Sale

2

160.865 USD

Common - ISIN US12572Q1058

Sale

15

160.873 USD

Common - ISIN US12572Q1058

Sale

14

160.916 USD

Common - ISIN US12572Q1058

Sale

25

160.98 USD

Common - ISIN US12572Q1058

Sale

7

161.17 USD

Common - ISIN US12572Q1058

Sale

6

161.178 USD

Common - ISIN US12572Q1058

Sale

63

161.183 USD

Common - ISIN US12572Q1058

Sale

14

161.185 USD

Common - ISIN US12572Q1058

Sale

11

161.196 USD

Common - ISIN US12572Q1058

Sale

4

161.201 USD

Common - ISIN US12572Q1058

Sale

2

161.204 USD

Common - ISIN US12572Q1058

Sale

9

161.231 USD

Common - ISIN US12572Q1058

Sale

45

161.25 USD

Common - ISIN US12572Q1058

Sale

5

161.258 USD

Common - ISIN US12572Q1058

Sale

18

161.27 USD

Common - ISIN US12572Q1058

Sale

1

161.325 USD

Common - ISIN US12572Q1058

Sale

5

161.327 USD

Common - ISIN US12572Q1058

Sale

3

161.33 USD

Common - ISIN US12572Q1058

Sale

1

161.335 USD

Common - ISIN US12572Q1058

Sale

11

161.348 USD

Common - ISIN US12572Q1058

Sale

6

161.357 USD

Common - ISIN US12572Q1058

Sale

4

161.363 USD

Common - ISIN US12572Q1058

Sale

3

161.372 USD

Common - ISIN US12572Q1058

Sale

2

161.384 USD

Common - ISIN US12572Q1058

Sale

3

161.385 USD

Common - ISIN US12572Q1058

Sale

2

161.391 USD

Common - ISIN US12572Q1058

Sale

67

161.401 USD

Common - ISIN US12572Q1058

Sale

1

161.415 USD

Common - ISIN US12572Q1058

Sale

10

161.421 USD

Common - ISIN US12572Q1058

Sale

1

161.451 USD

Common - ISIN US12572Q1058

Sale

12

161.478 USD

Common - ISIN US12572Q1058

Sale

6

161.488 USD

Common - ISIN US12572Q1058

Sale

3

161.525 USD

Common - ISIN US12572Q1058

Sale

1

161.562 USD

Common - ISIN US12572Q1058

Sale

4

161.59 USD

Common - ISIN US12572Q1058

Sale

38

161.638 USD

Common - ISIN US12572Q1058

Sale

50

161.643 USD

Common - ISIN US12572Q1058

Sale

1

161.67 USD

Common - ISIN US12572Q1058

Sale

15

161.681 USD

Common - ISIN US12572Q1058

Sale

8

161.7 USD

Common - ISIN US12572Q1058

Sale

74

161.724 USD

Common - ISIN US12572Q1058

Sale

1

161.73 USD

Common - ISIN US12572Q1058

Sale

8

161.735 USD

Common - ISIN US12572Q1058

Sale

9

161.738 USD

Common - ISIN US12572Q1058

Sale

1

161.768 USD

Common - ISIN US12572Q1058

Sale

1

161.805 USD

Common - ISIN US12572Q1058

Sale

23

161.844 USD

Common - ISIN US12572Q1058

Sale

40

161.85 USD

Common - ISIN US12572Q1058

Sale

49

161.876 USD

Common - ISIN US12572Q1058

Sale

3

161.88 USD

Common - ISIN US12572Q1058

Sale

3

161.881 USD

Common - ISIN US12572Q1058

Sale

11

161.89 USD

Common - ISIN US12572Q1058

Sale

7

161.891 USD

Common - ISIN US12572Q1058

Sale

199

161.907 USD

Common - ISIN US12572Q1058

Sale

178

161.91 USD

Common - ISIN US12572Q1058

Sale

7

161.918 USD

Common - ISIN US12572Q1058

Sale

1

161.931 USD

Common - ISIN US12572Q1058

Sale

1

161.957 USD

Common - ISIN US12572Q1058

Sale

5

161.97 USD

Common - ISIN US12572Q1058

Sale

6

161.995 USD

Common - ISIN US12572Q1058

Sale

76

162.003 USD

Common - ISIN US12572Q1058

Sale

72

162.02 USD

Common - ISIN US12572Q1058

Sale

3

162.061 USD

Common - ISIN US12572Q1058

Sale

29

162.083 USD

Common - ISIN US12572Q1058

Sale

10

162.171 USD

Common - ISIN US12572Q1058

Sale

1

162.241 USD

Common - ISIN US12572Q1058

Sale

3

162.254 USD

Common - ISIN US12572Q1058

Sale

1

162.36 USD

Common - ISIN US12572Q1058

Sale

17

162.402 USD

 

 

 

 

(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

N/A

N/A

N/A

N/A

N/A

 

(c)        Stock-settled derivative transactions (including options)

 

(i)         Writing, selling, purchasing or varying

 

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

 

(ii)        Exercise

 

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

N/A

N/A

N/A

N/A

N/A

 

(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)

N/A

N/A

N/A

N/A

 

 

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 person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included.  If there are no such agreements, arrangements or understandings, state "none"

 

N/A

 

 

(b)        Agreements, arrangements or understandings relating to options or derivatives

 

Details of any agreement, arrangement or understanding, formal or informal, between the person 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"

 

N/A

 

 

(c)        Attachments

 

Is a Supplemental Form 8 (Open Positions) attached?

Yes

 

 

Date of disclosure:

12/04/2018

Contact name:

Harshini Gopa

Telephone number:

+44207 996 3410

 

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 disclosure requirements on +44 (0)20 7638 0129.

 

 

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

 

Full name of person making disclosure:

Merrill Lynch, Pierce, Fenner & Smith Inc. (Discretionary PIA)

Name of offeror/offeree in relation to whose
relevant securities the disclosure relates:

CME Group Inc

2.

STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security

Product description
e.g. call
option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type
e.g.
American,
European
etc.

Expiry date

Common - ISIN US12572Q1058

Call Option

Long

1,000

150 USD

AMERICAN

18/01/2019

Common - ISIN US12572Q1058

Call Option

Short

900

155 USD

AMERICAN

15/06/2018

Common - ISIN US12572Q1058

Call Option

Short

1,700

160 USD

AMERICAN

15/06/2018

Common - ISIN US12572Q1058

Call Option

Short

2,000

165 USD

AMERICAN

15/06/2018

Common - ISIN US12572Q1058

Call Option

Short

4,500

170 USD

AMERICAN

15/06/2018

Common - ISIN US12572Q1058

Call Option

Short

100

170 USD

AMERICAN

21/09/2018

Common - ISIN US12572Q1058

Call Option

Short

1,500

175 USD

AMERICAN

20/04/2018

Common - ISIN US12572Q1058

Call Option

Short

100

175 USD

AMERICAN

15/06/2018

Common - ISIN US12572Q1058

Call Option

Short

100

175 USD

AMERICAN

21/09/2018

Common - ISIN US12572Q1058

Call Option

Short

600

180 USD

AMERICAN

15/06/2018

Common - ISIN US12572Q1058

Call Option

Short

300

180 USD

AMERICAN

21/09/2018

Common - ISIN US12572Q1058

Call Option

Short

600

185 USD

AMERICAN

15/06/2018

Common - ISIN US12572Q1058

Call Option

Short

400

185 USD

AMERICAN

21/09/2018

Common - ISIN US12572Q1058

Call Option

Short

200

185 USD

AMERICAN

18/01/2019

Common - ISIN US12572Q1058

Call Option

Short

800

210 USD

AMERICAN

18/01/2019

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:

None

 

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
dealing disclosure requirements on +44(0)20 7638 0129.

The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk.

 

 


This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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