TIDM0HR2
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 CME GROUP INC
in relation to whose
relevant securities this form relates:
(d) Status of person making the disclosure: CONNECTED TO THE OFFEROR
(e) Date position held/dealing undertaken: 02 May 2018
(f) In addition to the company in 1(c) NO
above, is the discloser making
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 USD 0.01 CLASS A COMMON STOCK
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities
owned
and/or controlled: 81,337 0.02% 29,757 0.01%
(2) Cash-settled
derivatives:
0 0.00% 0 0.00%
(3) Stock-settled
derivatives
(including options)
and agreements to 200,300 0.06% 278,800 0.08%
purchase/sell:
(4)
TOTAL: 281,637 0.08% 308,557 0.09%
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 14 156.0200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 29 157.9100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 93 156.2101 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 158.0000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 156.3300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 157.9900 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 157.5300 USD
USD 0.01 CLASS A COMMON STOCK Purchase 131 156.5081 USD
USD 0.01 CLASS A COMMON STOCK Purchase 150 157.9000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 185 157.2777 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 156.3150 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 157.8800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 157.2050 USD
USD 0.01 CLASS A COMMON STOCK Purchase 200 156.9000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 300 157.1433 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 157.2712 USD
USD 0.01 CLASS A COMMON STOCK Purchase 700 156.7685 USD
USD 0.01 CLASS A COMMON STOCK Purchase 729 156.9488 USD
USD 0.01 CLASS A COMMON STOCK Purchase 831 156.5856 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,517 157.5184 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,048 156.7991 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,307 156.5171 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,400 156.5391 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,700 157.1965 USD
USD 0.01 CLASS A COMMON STOCK Purchase 2,890 156.8461 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,095 156.6461 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,216 157.0773 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,608 156.5800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,700 156.3856 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,800 157.1723 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,433 156.6983 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,654 157.3512 USD
USD 0.01 CLASS A COMMON STOCK Purchase 5,448 157.0240 USD
USD 0.01 CLASS A COMMON STOCK Purchase 13,383 156.7698 USD
USD 0.01 CLASS A COMMON STOCK Purchase 20,280 156.3800 USD
USD 0.01 CLASS A COMMON STOCK Purchase 28,075 156.9466 USD
USD 0.01 CLASS A COMMON STOCK Sale 85 156.6399 USD
USD 0.01 CLASS A COMMON STOCK Sale 93 156.2101 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 156.1600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 156.7250 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 156.3200 USD
USD 0.01 CLASS A COMMON STOCK Sale 195 156.1492 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 156.4025 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 156.9000 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 156.2187 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 157.7100 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 156.3150 USD
USD 0.01 CLASS A COMMON STOCK Sale 384 157.8726 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 157.7425 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 156.3900 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 156.7325 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 157.7000 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 157.6280 USD
USD 0.01 CLASS A COMMON STOCK Sale 574 156.3712 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 156.7175 USD
USD 0.01 CLASS A COMMON STOCK Sale 772 157.7457 USD
USD 0.01 CLASS A COMMON STOCK Sale 831 156.5856 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,800 156.4797 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,100 157.4247 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,579 156.8259 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,608 156.5800 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,200 156.6541 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,592 156.4825 USD
USD 0.01 CLASS A COMMON STOCK Sale 20,050 156.3800 USD
USD 0.01 CLASS A COMMON STOCK Sale 28,696 156.9263 USD
USD 0.01 CLASS A COMMON STOCK Sale 36,357 156.9560 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 Purchases/ sales Total number of Highest price Lowest price
relevant securities per unit per unit
security paid/received paid/received
(b) Cash-settled derivative transactions
Class of relevant Product Nature of Number of reference Price per unit
security description dealing securities
e.g. CFD e.g.
opening/closing
a long/short
position,
increasing/reducing
a long/short
position
(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 Call Selling 1,000 173 USD American 11 May 2018 0.0500 USD
CLASS Options
A COMMON
STOCK
USD 0.01 Call Selling 100 185 USD American 15 Jun 2018 0.1100 USD
CLASS Options
A COMMON
STOCK
USD 0.01 Put Selling 200 149 USD American 18 May 2018 0.7200 USD
CLASS Options
A COMMON
STOCK
USD 0.01 Put Selling 300 155 USD American 15 Jun 2018 4.1900 USD
CLASS Options
A COMMON
STOCK
(ii) Exercise
Class of relevant Product Exercising/ Number Exercise price
security description exercised of securities per unit
e.g. call against
option
(d) Other dealings (including subscribing for new
securities)
Class of relevant Nature of dealing Details Price per unit (if
security e.g. subscription, applicable)
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 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: 3 May 2018
Contact name: Jay Supaya
Telephone number: 020 7773 0635
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 Call Purchased 8,400 160.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 2,100 145.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 900 130.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 600 165.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 240.0000 American 17 Jan 2020
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -100 115.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -200 135.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -500 125.0000 American 21 Dec 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -700 155.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -2,000 190.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -5,000 65.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 2,500 160.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 1,700 150.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 1,300 190.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 600 155.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 200 135.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 200 150.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 115.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 100 175.0000 American 17 Jan 2020
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,000 200.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,800 165.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -2,400 160.0000 American 11 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -3,500 85.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -5,000 60.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -7,000 170.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 5,800 170.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 5,400 140.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 150.0000 American 17 Jan 2020
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 175.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 130.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 160.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -500 140.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -900 180.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -1,100 95.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -1,400 145.0000 American 8 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 13,000 175.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 2,100 145.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 1,500 185.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 1,400 140.0000 American 8 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 1,000 163.0000 American 4 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 800 105.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 200 149.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 100 160.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -100 160.0000 American 4 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -200 180.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -500 175.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -600 75.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -800 145.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,400 170.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -1,400 115.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -1,500 130.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -2,200 90.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -5,600 150.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -8,400 160.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 1,000 105.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 1,000 155.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 700 200.0000 American 17 Jan 2020
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 400 130.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 200 140.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 120.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 100 175.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -100 125.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -100 165.0000 American 21 Dec 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -400 180.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -400 120.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,000 210.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -1,000 110.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 4,300 115.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 1,000 165.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 900 185.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 600 165.0000 American 4 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 100 125.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 100 190.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -200 158.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,000 173.0000 American 11 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,200 185.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -2,000 155.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 2,200 170.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 400 145.0000 American 17 Jan 2020
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 200 145.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -100 165.0000 American 21 Sep 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -300 160.0000 American 17 Jan 2020
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -500 135.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -203,000 150.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -1,200 100.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -2,100 140.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -3,200 140.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Written 136,000 160.0000 American 15 Jun 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Call Purchased 500 220.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -100 158.0000 American 4 May 2018
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -100 70.0000 American 17 Jan 2020
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -100 70.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Put Purchased -200 120.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,100 200.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -1,600 185.0000 American 18 Jan 2019
CLASS Options
A COMMON
STOCK
USD 0.01 Call Written -2,000 173.0000 American 18 May 2018
CLASS Options
A COMMON
STOCK
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.
View source version on businesswire.com:
https://www.businesswire.com/news/home/20180503005665/en/
This information is provided by Business Wire
(END) Dow Jones Newswires
May 03, 2018 05:58 ET (09:58 GMT)
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