Source - RNS
RNS Number : 8827K
Bank of America Merrill Lynch
13 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

12/04/2018

(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:

3,561,761

1.046%

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:

3,562,761

1.046%

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

16

165.596 USD

 

Class of relevant security

Purchase/sale

Number of
securities

Price per unit

Common - ISIN US12572Q1058

Sale

4

162.21 USD

Common - ISIN US12572Q1058

Sale

30

162.231 USD

Common - ISIN US12572Q1058

Sale

19

162.294 USD

Common - ISIN US12572Q1058

Sale

1

162.42 USD

Common - ISIN US12572Q1058

Sale

2

162.45 USD

Common - ISIN US12572Q1058

Sale

41

162.74 USD

Common - ISIN US12572Q1058

Sale

65

162.923 USD

Common - ISIN US12572Q1058

Sale

28

163.025 USD

Common - ISIN US12572Q1058

Sale

9

163.04 USD

Common - ISIN US12572Q1058

Sale

13

163.05 USD

Common - ISIN US12572Q1058

Sale

2

163.067 USD

Common - ISIN US12572Q1058

Sale

1

163.069 USD

Common - ISIN US12572Q1058

Sale

3

163.075 USD

Common - ISIN US12572Q1058

Sale

93

163.08 USD

Common - ISIN US12572Q1058

Sale

30

163.081 USD

Common - ISIN US12572Q1058

Sale

325

163.112 USD

Common - ISIN US12572Q1058

Sale

29

163.13 USD

Common - ISIN US12572Q1058

Sale

35

163.14 USD

Common - ISIN US12572Q1058

Sale

31

163.189 USD

Common - ISIN US12572Q1058

Sale

24

163.195 USD

Common - ISIN US12572Q1058

Sale

2

163.221 USD

Common - ISIN US12572Q1058

Sale

4

163.223 USD

Common - ISIN US12572Q1058

Sale

2

163.255 USD

Common - ISIN US12572Q1058

Sale

47

163.269 USD

Common - ISIN US12572Q1058

Sale

12

163.313 USD

Common - ISIN US12572Q1058

Sale

13

163.42 USD

Common - ISIN US12572Q1058

Sale

5

163.585 USD

Common - ISIN US12572Q1058

Sale

10

163.588 USD

Common - ISIN US12572Q1058

Sale

1

163.6 USD

Common - ISIN US12572Q1058

Sale

2

163.738 USD

Common - ISIN US12572Q1058

Sale

1

163.821 USD

Common - ISIN US12572Q1058

Sale

18

163.884 USD

Common - ISIN US12572Q1058

Sale

1

164.34 USD

Common - ISIN US12572Q1058

Sale

1

164.363 USD

Common - ISIN US12572Q1058

Sale

22

164.37 USD

Common - ISIN US12572Q1058

Sale

56

164.391 USD

Common - ISIN US12572Q1058

Sale

17

164.4 USD

Common - ISIN US12572Q1058

Sale

125

164.411 USD

Common - ISIN US12572Q1058

Sale

3

164.511 USD

Common - ISIN US12572Q1058

Sale

63

164.531 USD

Common - ISIN US12572Q1058

Sale

17

164.604 USD

Common - ISIN US12572Q1058

Sale

6

164.677 USD

Common - ISIN US12572Q1058

Sale

32

164.686 USD

Common - ISIN US12572Q1058

Sale

20

164.7 USD

Common - ISIN US12572Q1058

Sale

33

164.729 USD

Common - ISIN US12572Q1058

Sale

12

164.784 USD

Common - ISIN US12572Q1058

Sale

2

164.804 USD

Common - ISIN US12572Q1058

Sale

5

164.841 USD

Common - ISIN US12572Q1058

Sale

6

164.853 USD

Common - ISIN US12572Q1058

Sale

53

164.872 USD

Common - ISIN US12572Q1058

Sale

57

164.891 USD

Common - ISIN US12572Q1058

Sale

6

164.898 USD

Common - ISIN US12572Q1058

Sale

11

164.92 USD

Common - ISIN US12572Q1058

Sale

4

164.951 USD

Common - ISIN US12572Q1058

Sale

35

164.993 USD

Common - ISIN US12572Q1058

Sale

3

164.995 USD

Common - ISIN US12572Q1058

Sale

36

164.996 USD

Common - ISIN US12572Q1058

Sale

10

164.999 USD

Common - ISIN US12572Q1058

Sale

68

165.017 USD

Common - ISIN US12572Q1058

Sale

13

165.02 USD

Common - ISIN US12572Q1058

Sale

77

165.041 USD

Common - ISIN US12572Q1058

Sale

5

165.045 USD

Common - ISIN US12572Q1058

Sale

20

165.092 USD

Common - ISIN US12572Q1058

Sale

32

165.097 USD

Common - ISIN US12572Q1058

Sale

29

165.103 USD

Common - ISIN US12572Q1058

Sale

2

165.213 USD

Common - ISIN US12572Q1058

Sale

16

165.214 USD

Common - ISIN US12572Q1058

Sale

9

165.247 USD

Common - ISIN US12572Q1058

Sale

1

165.248 USD

Common - ISIN US12572Q1058

Sale

146

165.252 USD

Common - ISIN US12572Q1058

Sale

1

165.264 USD

Common - ISIN US12572Q1058

Sale

5

165.28 USD

Common - ISIN US12572Q1058

Sale

3

165.411 USD

Common - ISIN US12572Q1058

Sale

2

165.415 USD

Common - ISIN US12572Q1058

Sale

8

165.578 USD

Common - ISIN US12572Q1058

Sale

2

165.631 USD

Common - ISIN US12572Q1058

Sale

23

165.82 USD

Common - ISIN US12572Q1058

Sale

2

165.824 USD

Common - ISIN US12572Q1058

Sale

1

165.835 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:

 

13/04/2018

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
 
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