Source - RNS
RNS Number : 3544X
Goldman Sachs & Co. LLC
09 August 2018
 

 

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:

GOLDMAN SACHS & CO. LLC

(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)

Advisor to NEX GROUP PLC

(e) Date dealing undertaken:

08 August 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


Interests

Short positions


Number

%

Number

%

(1) Relevant securities owned and/or controlled:

697,020.032

0.20

751,955.032

0.22

(2) Cash-settled derivatives:

400,578

0.11

186,793

0.05

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

1,200

0.00

4,800

0.00

 

     TOTAL:

1,098,798.032

0.32

943,548.032

0.27

 

 

 

All interests and all short positions should be disclosed.

 

Details of any open stock-settled derivative positions (included 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 security

Purchase/sale

 

Number of securities

Price per unit





 

(ii)        Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected advisor

 

Class of relevant security

Purchases/ sales

 

Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

USD 0.01 Class A common

Purchases

165,672

164.0000 USD

162.2000 USD

USD 0.01 Class A common

Sales

188,767

164.0400 USD

162.5900 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

USD 0.01 Class A common

CFD

Increasing a short position

19

162.8532 USD

USD 0.01 Class A common

CFD

Increasing a short position

78

162.8776 USD

USD 0.01 Class A common

CFD

Increasing a long position

100

162.8820 USD

USD 0.01 Class A common

CFD

Increasing a short position

86

162.8893 USD

USD 0.01 Class A common

CFD

Increasing a short position

70

162.8944 USD

USD 0.01 Class A common

CFD

Increasing a short position

34

162.8999 USD

USD 0.01 Class A common

CFD

Reducing a long position

45

162.9800 USD

USD 0.01 Class A common

CFD

Reducing a short position

392

163.4000 USD

USD 0.01 Class A common

CFD

Reducing a short position

65

163.6441 USD

USD 0.01 Class A common

CFD

Reducing a long position

436

163.7400 USD

USD 0.01 Class A common

CFD

Reducing a short position

17

163.7400 USD

USD 0.01 Class A common

CFD

Opening a long position

119

163.7400 USD

USD 0.01 Class A common

CFD

Reducing a short position

40

163.7400 USD

USD 0.01 Class A common

CFD

Increasing a long position

108

163.7400 USD

USD 0.01 Class A common

CFD

Reducing a short position

67

163.7400 USD

USD 0.01 Class A common

CFD

Opening a short position

392

163.7400 USD

USD 0.01 Class A common

SWAP

Reducing a short position

290

163.6442 USD

 

 

(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









 

(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:

09 August 2018

Contact name:

Kashif Rafiq and Papa Lette

Telephone number:

+44(20) 7051 0547 / +44(20) 7774 7442

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected].  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.

 

 

SUPPLEMENTAL FORM 8(OPEN POSITIONS)

 

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENT 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:

GOLDMAN SACHS & CO. LLC

     Name of offeror/offeree in relation to whose relevant securities 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

USD 0.01 Class A common

Call Option

Sold

100

120.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Call Option

Sold

2,200

175.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Put Option

Purchased

100

140.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Put Option

Purchased

100

150.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Put Option

Sold

300

95.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Put Option

Purchased

300

100.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Put Option

Sold

900

125.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Put Option

Purchased

1,000

85.0000 USD

AMER

18/01/2019

USD 0.01 Class A common

Put Option

Purchased

1,000

175.0000 USD

AMER

18/01/2019

 

 

3.         AGREEMENTS TO PURCHASE OR SELL

 

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 Supplement form (Open Positions) with regard to cash-settled derivatives.

 

 The currency of all pieces 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.


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