Source - BUS

Form 8 (DD) - CME GROUP PLC

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 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: 02 November 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: 114,558 0.03% 21,291 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 73,100 0.02% 102,500 0.03%
           
 
TOTAL: 187,658 0.06% 123,791 0.04%

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 2 183.6300 USD
USD 0.01 Class A common Purchase 7 183.4200 USD
USD 0.01 Class A common Purchase 42 183.1300 USD
USD 0.01 Class A common Purchase 78 183.9561 USD
USD 0.01 Class A common Purchase 100 183.7800 USD
USD 0.01 Class A common Purchase 100 183.2700 USD
USD 0.01 Class A common Purchase 100 183.6700 USD
USD 0.01 Class A common Purchase 100 183.4050 USD
USD 0.01 Class A common Purchase 101 183.9301 USD
USD 0.01 Class A common Purchase 140 184.0600 USD
USD 0.01 Class A common Purchase 140 183.9504 USD
USD 0.01 Class A common Purchase 200 183.4925 USD
USD 0.01 Class A common Purchase 200 185.5200 USD
USD 0.01 Class A common Purchase 200 184.1050 USD
USD 0.01 Class A common Purchase 200 183.9125 USD
USD 0.01 Class A common Purchase 200 183.8950 USD
USD 0.01 Class A common Purchase 300 183.9900 USD
USD 0.01 Class A common Purchase 300 183.9500 USD
USD 0.01 Class A common Purchase 300 183.9233 USD
USD 0.01 Class A common Purchase 300 183.8633 USD
USD 0.01 Class A common Purchase 365 183.4775 USD
USD 0.01 Class A common Purchase 400 184.2200 USD
USD 0.01 Class A common Purchase 400 183.3900 USD
USD 0.01 Class A common Purchase 500 183.8320 USD
USD 0.01 Class A common Purchase 500 184.5550 USD
USD 0.01 Class A common Purchase 1,177 184.6012 USD
USD 0.01 Class A common Purchase 1,200 184.2297 USD
USD 0.01 Class A common Purchase 1,314 183.9187 USD
USD 0.01 Class A common Purchase 1,482 183.8800 USD
USD 0.01 Class A common Purchase 1,796 183.8600 USD
USD 0.01 Class A common Purchase 1,900 184.1794 USD
USD 0.01 Class A common Purchase 2,954 183.9240 USD
USD 0.01 Class A common Purchase 3,000 184.4507 USD
USD 0.01 Class A common Purchase 3,078 185.8422 USD
USD 0.01 Class A common Purchase 3,449 184.2722 USD
USD 0.01 Class A common Purchase 3,600 184.4275 USD
USD 0.01 Class A common Purchase 3,971 185.1730 USD
USD 0.01 Class A common Purchase 4,567 184.1722 USD
USD 0.01 Class A common Purchase 5,735 184.6789 USD
USD 0.01 Class A common Purchase 5,761 183.8082 USD
USD 0.01 Class A common Purchase 6,166 184.4847 USD
USD 0.01 Class A common Purchase 6,962 183.8900 USD
USD 0.01 Class A common Purchase 10,878 183.5136 USD
USD 0.01 Class A common Purchase 15,012 183.7821 USD
USD 0.01 Class A common Purchase 17,071 184.1822 USD
USD 0.01 Class A common Purchase 42,703 184.8751 USD
USD 0.01 Class A common Sale 1 183.9400 USD
USD 0.01 Class A common Sale 13 183.5000 USD
USD 0.01 Class A common Sale 78 183.9561 USD
USD 0.01 Class A common Sale 87 183.4800 USD
USD 0.01 Class A common Sale 100 183.7900 USD
USD 0.01 Class A common Sale 100 185.8600 USD
USD 0.01 Class A common Sale 100 183.9300 USD
USD 0.01 Class A common Sale 100 183.4850 USD
USD 0.01 Class A common Sale 100 184.1600 USD
USD 0.01 Class A common Sale 100 185.7850 USD
USD 0.01 Class A common Sale 100 184.0100 USD
USD 0.01 Class A common Sale 140 183.9504 USD
USD 0.01 Class A common Sale 140 184.0600 USD
USD 0.01 Class A common Sale 200 184.9850 USD
USD 0.01 Class A common Sale 200 185.0050 USD
USD 0.01 Class A common Sale 200 183.3413 USD
USD 0.01 Class A common Sale 200 183.2050 USD
USD 0.01 Class A common Sale 202 183.8226 USD
USD 0.01 Class A common Sale 243 183.7374 USD
USD 0.01 Class A common Sale 283 185.0721 USD
USD 0.01 Class A common Sale 300 185.5133 USD
USD 0.01 Class A common Sale 300 183.9900 USD
USD 0.01 Class A common Sale 300 183.8833 USD
USD 0.01 Class A common Sale 400 184.8337 USD
USD 0.01 Class A common Sale 500 183.8400 USD
USD 0.01 Class A common Sale 500 185.2800 USD
USD 0.01 Class A common Sale 574 186.5000 USD
USD 0.01 Class A common Sale 590 185.0374 USD
USD 0.01 Class A common Sale 600 184.7750 USD
USD 0.01 Class A common Sale 621 183.9466 USD
USD 0.01 Class A common Sale 713 185.1283 USD
USD 0.01 Class A common Sale 760 183.2306 USD
USD 0.01 Class A common Sale 1,000 183.5275 USD
USD 0.01 Class A common Sale 1,000 184.1250 USD
USD 0.01 Class A common Sale 1,314 183.9187 USD
USD 0.01 Class A common Sale 1,500 184.3915 USD
USD 0.01 Class A common Sale 1,796 183.8600 USD
USD 0.01 Class A common Sale 2,000 183.6142 USD
USD 0.01 Class A common Sale 2,200 184.4560 USD
USD 0.01 Class A common Sale 2,200 184.1186 USD
USD 0.01 Class A common Sale 2,364 185.7093 USD
USD 0.01 Class A common Sale 2,698 183.4329 USD
USD 0.01 Class A common Sale 2,800 184.2835 USD
USD 0.01 Class A common Sale 2,856 183.8908 USD
USD 0.01 Class A common Sale 3,077 183.5297 USD
USD 0.01 Class A common Sale 3,137 184.4871 USD
USD 0.01 Class A common Sale 3,631 183.8933 USD
USD 0.01 Class A common Sale 4,461 183.8994 USD
USD 0.01 Class A common Sale 6,862 183.8900 USD
USD 0.01 Class A common Sale 8,368 183.8954 USD
USD 0.01 Class A common Sale 15,214 183.7836 USD
USD 0.01 Class A common Sale 73,237 184.6843 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 Put Options Purchasing 400 185 USD American 9 Nov 2018 2.7400 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: 5 Nov 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 100 115.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 100 125.0000 American 18 Jan 2019
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 100 230.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 100 183.0000 American 16 Nov 2018
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 100 160.0000 American 15 Mar 2019
USD 0.01 Class A common Call Options Purchased 200 190.0000 American 21 Jun 2019
USD 0.01 Class A common Call Options Purchased 200 190.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 200 175.0000 American 15 Mar 2019
USD 0.01 Class A common Call Options Purchased 200 165.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 200 183.0000 American 2 Nov 2018
USD 0.01 Class A common Call Options Purchased 200 178.0000 American 2 Nov 2018
USD 0.01 Class A common Call Options Purchased 200 185.0000 American 2 Nov 2018
USD 0.01 Class A common Call Options Purchased 200 170.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 300 160.0000 American 16 Nov 2018
USD 0.01 Class A common Call Options Purchased 300 120.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 300 135.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 300 140.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Purchased 400 185.0000 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 500 170.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 500 135.0000 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 500 160.0000 American 21 Dec 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 500 220.0000 American 18 Jan 2019
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 700 145.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 700 150.0000 American 17 Jan 2020
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 900 130.0000 American 18 Jan 2019
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 1,000 90.0000 American 18 Jan 2019
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 Purchased 2,100 180.0000 American 2 Nov 2018
USD 0.01 Class A common Call Options Purchased 2,200 175.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 2,300 175.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 2,700 180.0000 American 16 Nov 2018
USD 0.01 Class A common Call Options Purchased 2,900 150.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 3,000 160.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Purchased 3,200 200.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Purchased 5,200 185.0000 American 16 Nov 2018
USD 0.01 Class A common Call Options Purchased 15,800 175.0000 American 16 Nov 2018
USD 0.01 Class A common Call Options Written -41,200 175.0000 American 16 Nov 2018
USD 0.01 Class A common Call Options Written -6,700 170.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -5,100 190.0000 American 17 Jan 2020
USD 0.01 Class A common Call Options Written -3,200 140.0000 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 Call Options Written -1,100 200.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -1,100 185.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -1,000 195.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -1,000 210.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -900 180.0000 American 21 Dec 2018
USD 0.01 Class A common Call Options Written -900 180.0000 American 18 Jan 2019
USD 0.01 Class A common Call Options Written -100 178.0000 American 9 Nov 2018
USD 0.01 Class A common Put Options Purchased -5,000 60.0000 American 18 Jan 2019
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 Purchased -3,500 85.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -3,400 65.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -2,500 140.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -2,200 90.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,900 200.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,400 145.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -1,400 170.0000 American 16 Nov 2018
USD 0.01 Class A common Put Options Purchased -1,200 100.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -1,100 180.0000 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 -1,100 183.0000 American 16 Nov 2018
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 -1,000 170.0000 American 15 Mar 2019
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 -700 120.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -700 140.0000 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 -500 175.0000 American 16 Nov 2018
USD 0.01 Class A common Put Options Purchased -500 125.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -400 175.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -400 185.0000 American 9 Nov 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 -300 160.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Purchased -300 175.0000 American 2 Nov 2018
USD 0.01 Class A common Put Options Purchased -300 190.0000 American 15 Mar 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 -100 165.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Purchased -100 178.0000 American 9 Nov 2018
USD 0.01 Class A common Put Options Purchased -100 173.0000 American 16 Nov 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 85.0000 American 17 Jan 2020
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 -100 200.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 160.0000 American 2 Nov 2018
USD 0.01 Class A common Put Options Purchased -100 210.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Purchased -100 180.0000 American 2 Nov 2018
USD 0.01 Class A common Put Options Written 100 135.0000 American 17 Jan 2020
USD 0.01 Class A common Put Options Written 100 180.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 100 175.0000 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 100 170.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 100 90.0000 American 15 Mar 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 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 Put Options Written 400 170.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 500 155.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 700 145.0000 American 9 Nov 2018
USD 0.01 Class A common Put Options Written 800 105.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 800 150.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 900 125.0000 American 18 Jan 2019
USD 0.01 Class A common Put Options Written 1,400 185.0000 American 18 Jan 2019
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 2,600 115.0000 American 21 Dec 2018
USD 0.01 Class A common Put Options Written 3,600 90.0000 American 15 Jan 2021
USD 0.01 Class A common Put Options Written 4,900 150.0000 American 17 Jan 2020

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.