Source - BUS

Form 8 (DD) - CME GROUP INC

BARCLAYS PLC

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 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.

   
(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) Status of person making the disclosure:

e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)

 

CONNECTED TO THE OFFEROR

(e) Date dealing undertaken:  

17 May 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”

 

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

Class of relevant security:       USD 0.01 CLASS A COMMON STOCK        
Interests     Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 88,789 0.03% 22,274 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 205,200 0.06% 380,800 0.11%
           
(4)
TOTAL: 293,989 0.09% 403,074 0.12%

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 STOCK Purchase 25 160.5000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 87 160.7400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 96 159.9500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 159.6950 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.6400 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.6000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.5300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 179 160.6327 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 160.4200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 160.3575 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 160.0640 USD
USD 0.01 CLASS A COMMON STOCK Purchase 529 160.5870 USD
USD 0.01 CLASS A COMMON STOCK Purchase 575 160.3300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,082 160.6210 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,300 160.5134 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,396 160.4020 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,405 160.6343 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,525 160.7100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,700 160.4276 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,232 160.5223 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,297 160.6564 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,700 160.5828 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,300 160.6200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 9,444 160.7000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 12,200 160.8300 USD
USD 0.01 CLASS A COMMON STOCK Sale 25 160.5000 USD
USD 0.01 CLASS A COMMON STOCK Sale 87 160.7400 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.4200 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.5200 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.6950 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.5564 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.5400 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.6400 USD
USD 0.01 CLASS A COMMON STOCK Sale 129 160.6941 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 160.6237 USD
USD 0.01 CLASS A COMMON STOCK Sale 224 160.2046 USD
USD 0.01 CLASS A COMMON STOCK Sale 276 159.9500 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 160.5525 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 160.6480 USD
USD 0.01 CLASS A COMMON STOCK Sale 575 160.3300 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 160.4804 USD
USD 0.01 CLASS A COMMON STOCK Sale 830 160.5301 USD
USD 0.01 CLASS A COMMON STOCK Sale 900 160.3488 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,200 160.4054 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,492 160.5870 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,525 160.7100 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,528 160.4169 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,900 160.5178 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,297 160.6564 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,745 160.4775 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,796 160.5668 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,100 160.8300 USD
USD 0.01 CLASS A COMMON STOCK Sale 8,300 160.6200 USD
USD 0.01 CLASS A COMMON STOCK Sale 9,334 160.7000 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 STOCK Call Options Purchasing 100 155 USD American 25 May 2018 6.0000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 200 160 USD American 18 May 2018 0.8900 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:  

18 May 2018

Contact name:

Femi Badmos

Telephone number:

020 3555 1125

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

Full name of person making disclosure:  

Barclays PLC.

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

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Product   Writing,   Number   Exercise   Type   Expiry
description purchasing, of price date
selling, securities per unit
varying etc to which
option
    relates      
Put Options Purchased -5,000 60.0000 American 18 Jan 2019
Call Options Purchased 700 200.0000 American 17 Jan 2020
Put Options Purchased -100,000 145.0000 American 21 Sep 2018
Call Options Written -300 160.0000 American 17 Jan 2020
Call Options Purchased 2,200 170.0000 American 15 Jun 2018
Put Options Purchased -500 140.0000 American 21 Sep 2018
Put Options Purchased -1,000 110.0000 American 18 Jan 2019
Put Options Written 2,800 130.0000 American 15 Jun 2018
Call Options Written -500 135.0000 American 15 Jun 2018
Call Options Written -1,000 180.0000 American 15 Jun 2018
Call Options Written -5,600 150.0000 American 15 Jun 2018
Put Options Purchased -400 120.0000 American 15 Jun 2018
Call Options Purchased 100 165.0000 American 18 Jan 2019
Put Options Purchased -2,200 90.0000 American 18 Jan 2019
Call Options Purchased 200 145.0000 American 18 Jan 2019
Put Options Purchased -2,300 140.0000 American 18 Jan 2019
Call Options Written -1,600 185.0000 American 18 Jan 2019
Call Options Purchased 900 130.0000 American 18 Jan 2019
Call Options Written -400 180.0000 American 18 Jan 2019
Put Options Purchased -100 125.0000 American 18 Jan 2019
Put Options Written 200 150.0000 American 18 Jan 2019
Call Options Purchased 13,000 175.0000 American 15 Jun 2018
Call Options Purchased 700 185.0000 American 15 Jun 2018
Put Options Written 4,300 115.0000 American 18 May 2018
Put Options Purchased -200 135.0000 American 18 Jan 2019
Put Options Purchased -5,000 65.0000 American 18 Jan 2019
Call Options Purchased 200 135.0000 American 18 Jan 2019
Call Options Purchased 1,700 150.0000 American 18 Jan 2019
Call Options Purchased 100 150.0000 American 17 Jan 2020
Put Options Written 1,600 158.0000 American 18 May 2018
Put Options Purchased -100 70.0000 American 18 Jan 2019
Put Options Written 136,000 160.0000 American 15 Jun 2018
Call Options Purchased 100 130.0000 American 15 Jun 2018
Put Options Written 100 175.0000 American 18 Jan 2019
Put Options Written 2,100 145.0000 American 15 Jun 2018
Call Options Written -8,700 160.0000 American 15 Jun 2018
Call Options Purchased 1,300 190.0000 American 21 Sep 2018
Call Options Purchased 200 140.0000 American 15 Jun 2018
Put Options Purchased -203,000 150.0000 American 15 Jun 2018
Call Options Purchased 100 115.0000 American 18 Jan 2019
Put Options Purchased -2,300 165.0000 American 21 Sep 2018
Put Options Purchased -100 160.0000 American 18 May 2018
Call Options Written -900 155.0000 American 21 Sep 2018
Call Options Purchased 100 240.0000 American 17 Jan 2020
Put Options Written 1,500 140.0000 American 8 Jun 2018
Put Options Purchased -200 120.0000 American 18 Jan 2019
Put Options Purchased -400 145.0000 American 21 Dec 2018
Put Options Written 1,000 155.0000 American 18 May 2018
Put Options Written 5,400 140.0000 American 15 Jun 2018
Call Options Written -200 180.0000 American 18 May 2018
Call Options Written -1,200 185.0000 American 18 May 2018
Call Options Purchased 8,600 160.0000 American 21 Sep 2018
Call Options Purchased 100 155.0000 American 25 May 2018
Call Options Written -1,100 200.0000 American 18 Jan 2019
Put Options Purchased -3,500 85.0000 American 18 Jan 2019
Call Options Purchased 300 160.0000 American 18 May 2018
Put Options Purchased -1,400 115.0000 American 15 Jun 2018
Call Options Written -800 145.0000 American 15 Jun 2018
Call Options Purchased 2,500 160.0000 American 18 Jan 2019
Call Options Written -1,800 165.0000 American 15 Jun 2018
Call Options Written -500 185.0000 American 25 May 2018
Put Options Written 100 150.0000 American 18 May 2018
Call Options Purchased 100 120.0000 American 18 Jan 2019
Put Options Purchased -1,400 145.0000 American 8 Jun 2018
Put Options Written 1,500 185.0000 American 18 Jan 2019
Put Options Purchased -1,200 100.0000 American 18 Jan 2019
Put Options Written 600 165.0000 American 15 Jun 2018
Call Options Purchased 100 175.0000 American 21 Sep 2018
Call Options Written -1,400 170.0000 American 18 May 2018
Call Options Written -600 175.0000 American 18 May 2018
Put Options Written 200 149.0000 American 18 May 2018
Call Options Purchased 1,000 105.0000 American 18 Jan 2019
Call Options Written -3,200 140.0000 American 18 Jan 2019
Call Options Written -2,000 173.0000 American 18 May 2018
Call Options Purchased 5,800 170.0000 American 21 Sep 2018
Call Options Purchased 100 125.0000 American 18 Jan 2019
Put Options Purchased -100 115.0000 American 18 Jan 2019
Call Options Purchased 600 155.0000 American 21 Dec 2018
Put Options Purchased -500 125.0000 American 21 Dec 2018
Put Options Written 600 155.0000 American 15 Jun 2018
Put Options Written 800 105.0000 American 18 Jan 2019
Call Options Written -1,500 155.0000 American 15 Jun 2018
Call Options Written -1,000 210.0000 American 18 May 2018
Call Options Written -200 158.0000 American 18 May 2018
Call Options Purchased 1,400 165.0000 American 18 May 2018
Call Options Written -1,500 200.0000 American 15 Jun 2018
Put Options Written 100 175.0000 American 17 Jan 2020
Call Options Written -2,000 190.0000 American 18 May 2018
Put Options Written 2,100 145.0000 American 18 Jan 2019
Put Options Written 1,000 160.0000 American 29 Jun 2018
Put Options Purchased -1,500 130.0000 American 21 Sep 2018
Call Options Written -1,400 163.0000 American 18 May 2018
Put Options Purchased -600 75.0000 American 18 Jan 2019
Put Options Purchased -100 165.0000 American 21 Dec 2018
Call Options Written -100 165.0000 American 21 Sep 2018
Call Options Written -7,000 170.0000 American 18 Jan 2019
Put Options Purchased -1,100 95.0000 American 18 Jan 2019
Put Options Written 100 190.0000 American 18 Jan 2019
Call Options Purchased 500 220.0000 American 18 Jan 2019
Call Options Purchased 400 145.0000 American 17 Jan 2020
Put Options Purchased -100 70.0000 American 0 Jan 1900

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.