Barclays PLC — Director's Dealing 2018

Aug 21, 2018

National Storage Mechanism | Additional information

You don't have Javascript enabled. For full functionality this page requires javascript to be enabled.

Form 8 (DD) - CME GROUP INC

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)		NEX GROUP PLC
(e) Date dealing undertaken:		20 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:		80,000		0.02%		10,665		0.00%
(2)		Cash-settled derivatives:
				0		0.00%		0		0.00%
(3)		Stock-settled derivatives (including options)
		and agreements to purchase/sell:		105,700		0.03%		154,900		0.05%
(4)
		TOTAL:		185,700		0.05%		165,565		0.05%

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		3		169.7000 USD
USD 0.01 Class A common		Purchase		4		169.7700 USD
USD 0.01 Class A common		Purchase		10		169.9000 USD
USD 0.01 Class A common		Purchase		32		169.9900 USD
USD 0.01 Class A common		Purchase		40		169.7600 USD
USD 0.01 Class A common		Purchase		55		169.8300 USD
USD 0.01 Class A common		Purchase		100		169.9200 USD
USD 0.01 Class A common		Purchase		100		170.0800 USD
USD 0.01 Class A common		Purchase		100		169.8650 USD
USD 0.01 Class A common		Purchase		100		169.6600 USD
USD 0.01 Class A common		Purchase		100		169.9300 USD
USD 0.01 Class A common		Purchase		100		169.9800 USD
USD 0.01 Class A common		Purchase		123		169.9413 USD
USD 0.01 Class A common		Purchase		124		169.9417 USD
USD 0.01 Class A common		Purchase		161		170.0339 USD
USD 0.01 Class A common		Purchase		170		169.8788 USD
USD 0.01 Class A common		Purchase		177		170.3682 USD
USD 0.01 Class A common		Purchase		200		170.0325 USD
USD 0.01 Class A common		Purchase		200		170.1650 USD
USD 0.01 Class A common		Purchase		265		170.0321 USD
USD 0.01 Class A common		Purchase		282		169.7064 USD
USD 0.01 Class A common		Purchase		300		169.9700 USD
USD 0.01 Class A common		Purchase		300		169.9600 USD
USD 0.01 Class A common		Purchase		490		169.8493 USD
USD 0.01 Class A common		Purchase		491		169.8542 USD
USD 0.01 Class A common		Purchase		500		170.0455 USD
USD 0.01 Class A common		Purchase		537		169.7872 USD
USD 0.01 Class A common		Purchase		900		169.9427 USD
USD 0.01 Class A common		Purchase		988		169.9400 USD
USD 0.01 Class A common		Purchase		1,400		170.0426 USD
USD 0.01 Class A common		Purchase		1,500		169.9038 USD
USD 0.01 Class A common		Purchase		1,700		169.8639 USD
USD 0.01 Class A common		Purchase		2,119		170.0049 USD
USD 0.01 Class A common		Purchase		2,914		170.0530 USD
USD 0.01 Class A common		Purchase		2,986		169.9609 USD
USD 0.01 Class A common		Purchase		3,100		169.9856 USD
USD 0.01 Class A common		Purchase		3,200		169.8342 USD
USD 0.01 Class A common		Purchase		3,900		170.3051 USD
USD 0.01 Class A common		Purchase		4,230		169.8581 USD
USD 0.01 Class A common		Purchase		6,800		170.1631 USD
USD 0.01 Class A common		Purchase		7,530		169.8163 USD
USD 0.01 Class A common		Purchase		8,287		169.9649 USD
USD 0.01 Class A common		Purchase		9,266		169.6800 USD
USD 0.01 Class A common		Sale		1		170.1400 USD
USD 0.01 Class A common		Sale		10		169.9000 USD
USD 0.01 Class A common		Sale		55		169.8300 USD
USD 0.01 Class A common		Sale		100		169.6500 USD
USD 0.01 Class A common		Sale		100		169.3800 USD
USD 0.01 Class A common		Sale		100		170.1800 USD
USD 0.01 Class A common		Sale		100		169.8800 USD
USD 0.01 Class A common		Sale		120		170.3016 USD
USD 0.01 Class A common		Sale		125		169.8500 USD
USD 0.01 Class A common		Sale		143		170.0101 USD
USD 0.01 Class A common		Sale		200		169.6850 USD
USD 0.01 Class A common		Sale		200		169.9725 USD
USD 0.01 Class A common		Sale		248		170.0822 USD
USD 0.01 Class A common		Sale		700		170.1478 USD
USD 0.01 Class A common		Sale		1,750		169.9604 USD
USD 0.01 Class A common		Sale		1,806		169.9164 USD
USD 0.01 Class A common		Sale		2,786		169.9652 USD
USD 0.01 Class A common		Sale		2,900		169.9865 USD
USD 0.01 Class A common		Sale		4,098		169.6880 USD
USD 0.01 Class A common		Sale		4,100		169.9471 USD
USD 0.01 Class A common		Sale		5,100		170.2211 USD
USD 0.01 Class A common		Sale		6,991		169.8701 USD
USD 0.01 Class A common		Sale		7,319		169.9040 USD
USD 0.01 Class A common		Sale		7,762		169.9852 USD
USD 0.01 Class A common		Sale		7,858		169.6800 USD
USD 0.01 Class A common		Sale		12,851		170.0290 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		Call Options		Purchasing		600		170 USD		American		21 Sep 2018		3.0333 USD
USD 0.01 Class A common		Call Options		Purchasing		400		170 USD		American		21 Dec 2018		6.9000 USD
USD 0.01 Class A common		Call Options		Selling		100		168 USD		American		24 Aug 2018		2.7100 USD
USD 0.01 Class A common		Call Options		Selling		300		170 USD		American		31 Aug 2018		1.8333 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:		21 August 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

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		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		125.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		100		168.0000		American		24 Aug 2018
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		165.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		100		185.0000		American		21 Dec 2018
USD 0.01 Class A common		Call Options		Purchased		100		175.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		100		150.0000		American		17 Jan 2020
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		120.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		200		135.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		200		145.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		400		170.0000		American		24 Aug 2018
USD 0.01 Class A common		Call Options		Purchased		400		170.0000		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		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		500		160.0000		American		21 Dec 2018
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		600		155.0000		American		21 Dec 2018
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		170.0000		American		21 Sep 2018
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		105.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		1,000		175.0000		American		21 Sep 2018
USD 0.01 Class A common		Call Options		Purchased		1,100		185.0000		American		21 Sep 2018
USD 0.01 Class A common		Call Options		Purchased		2,000		150.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		2,500		160.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Purchased		2,700		190.0000		American		21 Sep 2018
USD 0.01 Class A common		Call Options		Purchased		2,900		165.0000		American		21 Sep 2018
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		9,900		160.0000		American		21 Sep 2018
USD 0.01 Class A common		Call Options		Written		-6,900		170.0000		American		18 Jan 2019
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		-1,600		185.0000		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		-1,200		200.0000		American		21 Sep 2018
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		-1,000		210.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Written		-600		155.0000		American		21 Sep 2018
USD 0.01 Class A common		Call Options		Written		-500		195.0000		American		21 Dec 2018
USD 0.01 Class A common		Call Options		Written		-400		180.0000		American		18 Jan 2019
USD 0.01 Class A common		Call Options		Written		-400		180.0000		American		21 Sep 2018
USD 0.01 Class A common		Call Options		Written		-300		170.0000		American		31 Aug 2018
USD 0.01 Class A common		Call Options		Written		-300		195.0000		American		31 Aug 2018
USD 0.01 Class A common		Call Options		Written		-200		165.0000		American		24 Aug 2018
USD 0.01 Class A common		Call Options		Written		-200		173.0000		American		24 Aug 2018
USD 0.01 Class A common		Put Options		Purchased		-100,000		145.0000		American		21 Sep 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		-1,600		155.0000		American		21 Sep 2018
USD 0.01 Class A common		Put Options		Purchased		-1,400		160.0000		American		21 Sep 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		130.0000		American		18 Jan 2019
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		-1,100		140.0000		American		21 Sep 2018
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		-900		170.0000		American		24 Aug 2018
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		-600		75.0000		American		18 Jan 2019
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		-500		155.0000		American		21 Dec 2018
USD 0.01 Class A common		Put Options		Purchased		-500		180.0000		American		21 Sep 2018
USD 0.01 Class A common		Put Options		Purchased		-400		145.0000		American		21 Dec 2018
USD 0.01 Class A common		Put Options		Purchased		-300		165.0000		American		21 Dec 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		-200		175.0000		American		21 Sep 2018
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		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		165.0000		American		18 Jan 2019
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		150.0000		American		17 Jan 2020
USD 0.01 Class A common		Put Options		Purchased		-100		160.0000		American		21 Dec 2018
USD 0.01 Class A common		Put Options		Written		100		120.0000		American		21 Sep 2018
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		175.0000		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		100		144.0000		American		7 Sep 2018
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		200		70.0000		American		17 Jan 2020
USD 0.01 Class A common		Put Options		Written		600		163.0000		American		31 Aug 2018
USD 0.01 Class A common		Put Options		Written		800		150.0000		American		31 Aug 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		900		125.0000		American		18 Jan 2019
USD 0.01 Class A common		Put Options		Written		1,000		170.0000		American		21 Sep 2018
USD 0.01 Class A common		Put Options		Written		1,100		163.0000		American		24 Aug 2018
USD 0.01 Class A common		Put Options		Written		1,500		135.0000		American		21 Sep 2018
USD 0.01 Class A common		Put Options		Written		1,500		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		2,500		165.0000		American		21 Sep 2018
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		4,300		130.0000		American		21 Sep 2018
USD 0.01 Class A common		Put Options		Written		50,000		155.0000		American		0 Jan 1900

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.

BARCLAYS PLC

View source version on businesswire.com: https://www.businesswire.com/news/home/20180821005314/en/