Bank of New York Mellon Corp. (The) Form 8.3 - CME Group Inc. (9216M)
May 02 2018 - 9:36AM
UK Regulatory
TIDM0HR2
RNS Number : 9216M
Bank of New York Mellon Corp. (The)
02 May 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: The Bank of New York Mellon Corporation and its
subsidiaries: 1. BNY Mellon Service
Kapitalanlage-Gesellschaft
mbH, 2. Lockwood Advisors, Inc., 3. BNY Mellon Asset
Management North America Corporation,
4. The Bank of New York Mellon, 5. The Dreyfus
Corporation, 6. BNY Mellon Trust of Delaware,
7. BNY Mellon, National Association, 8. BNY Mellon
Capital Markets, 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 CME Group Inc.
securities this form relates:
Use a separate form for each offeror/offeree
---------------------------------------------------------- ----------------------------------------------------------
(d) If an exempt fund manager connected with an N/A
offeror/offeree, state this and specify identity
of offeror/offeree:
---------------------------------------------------------- ----------------------------------------------------------
(e) Date position held/dealing undertaken: 01 May 2018
For an opening position disclosure, state the latest
practicable date prior to the disclosure
---------------------------------------------------------- ----------------------------------------------------------
(f) In addition to the company in 1(c) above, is the Yes, we have reported in respect to the Offeree NEX Group
discloser making disclosures in respect plc.
of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
---------------------------------------------------------- ----------------------------------------------------------
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: USD 0.01 Class A common stock
----------------------------------------------------------------------- ---------------------------------------------
Interests Short positions
------------------------- ------------------
Number % Number %
----------------------------------------------------------------------- ----------------- ------ -------- --------
(1) Relevant securities owned and/or controlled: 3,740,172 (1, 2) 1.10% 2,990 0.001%
----------------------------------------------------------------------- ----------------- ------ -------- --------
(2) Cash-settled derivatives:
----------------------------------------------------------------------- ----------------- ------ -------- --------
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
----------------------------------------------------------------------- ----------------- ------ -------- --------
TOTAL: 3,740,172 (1, 2) 1.10% 2,990 0.001%
----------------------------------------------------------------------- ----------------- ------ -------- --------
(1) The Bank of New York Mellon Corporation and its subsidiaries
do not have discretion regarding voting decisions in respect of
596,128 shares that are included in the total above.
(2) The change in the holding of 164 shares since the last
disclosure on 01 May 2018 is due to the transfer in of
discretionary holdings.
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:
----------------------------------------------------------------------------
Details, including nature of the rights concerned and relevant percentages:
----------------------------------------------------------------------------
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
--------------------------- -------------- --------------------- ---------------
USD 0.01 Class A Purchase 100 USD 154.44
USD 0.01 Class A Purchase 100 USD 154.56
USD 0.01 Class A Purchase 1 USD 154.63
USD 0.01 Class A Purchase 1 USD 154.65
USD 0.01 Class A Purchase 100 USD 154.68
USD 0.01 Class A Purchase 75 USD 154.71
USD 0.01 Class A Purchase 26 USD 155.34
USD 0.01 Class A Purchase 50 USD 155.37
USD 0.01 Class A Purchase 60 USD 155.43
USD 0.01 Class A Purchase 1,787 USD 155.48
USD 0.01 Class A Purchase 211 USD 155.58
USD 0.01 Class A Purchase 12 USD 155.62
USD 0.01 Class A Purchase 4 USD 155.68
USD 0.01 Class A Purchase 2 USD 155.74
USD 0.01 Class A Purchase 15 USD 155.76
USD 0.01 Class A Purchase 886 USD 155.79
USD 0.01 Class A Purchase 13 USD 155.85
USD 0.01 Class A Purchase 7 USD 155.86
USD 0.01 Class A Purchase 20 USD 157.09
USD 0.01 Class A Purchase 19 USD 157.12
USD 0.01 Class A Purchase 6 USD 157.16
USD 0.01 Class A Purchase 16 USD 157.20
USD 0.01 Class A Purchase 55 USD 157.29
USD 0.01 Class A Purchase 2 USD 157.33
USD 0.01 Class A Purchase 100 USD 157.38
USD 0.01 Class A Purchase 20 USD 157.39
USD 0.01 Class A Purchase 10 USD 157.59
USD 0.01 Class A Sale (26) USD 155.34
USD 0.01 Class A Sale (150) USD 155.35
USD 0.01 Class A Sale (27) USD 155.60
USD 0.01 Class A Sale (4) USD 155.68
USD 0.01 Class A Sale (5) USD 155.70
USD 0.01 Class A Sale (2) USD 155.74
USD 0.01 Class A Sale (71) USD 155.77
USD 0.01 Class A Sale (11) USD 155.80
USD 0.01 Class A Sale (65) USD 155.82
USD 0.01 Class A Sale (7) USD 155.86
USD 0.01 Class A Sale (4) USD 155.97
USD 0.01 Class A Sale (15) USD 155.98
USD 0.01 Class A Sale (56) USD 156.25
USD 0.01 Class A Sale (791) USD 156.97
USD 0.01 Class A Sale (75) USD 157.18
USD 0.01 Class A Sale (80) USD 157.29
USD 0.01 Class A Sale (100) USD 157.30
USD 0.01 Class A Sale (105) USD 157.56
USD 0.01 Class A Purchase 1 USD 155.43
USD 0.01 Class A Purchase 21 USD 155.4197
USD 0.01 Class A Purchase 18 USD 157.56
USD 0.01 Class A Purchase 3,255 USD 156.50
USD 0.01 Class A Purchase 1 USD 156.50
USD 0.01 Class A Purchase 111 USD 156.50
--------------------------- -------------- --------------------- ---------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
------------- ------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
----------------------- -------------------- ----------------------- --------------------- -----------------------
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
--------------------------- ------------------------------- -------- -------------------------------
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"
---------------------------------------------------------------------------------------------
None
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(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"
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None
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? No
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Date of disclosure: 02 May 2018
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Contact name: Ivan Arias
--------------------- -------------
Telephone number: 516 338 3370
--------------------- -------------
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.
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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