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Form 8.5 (EPT/NON-RI)- CME GROUP INC

--(BUSINESS WIRE)--LONDON

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the “Code”)

1. KEY INFORMATION

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

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(b), 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)

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)

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), 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

(b) Cash-settled derivative transactions

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

(ii) Exercise

(d) Other dealings (including subscribing for new securities)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

(b) Agreements, arrangements or understandings relating to options or derivatives

(c) Attachments

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

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

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

3. AGREEMENTS TO PURCHASE OR SELL ETC.

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

Source:BARCLAYS PLC

(a) of exempt principal trader:Name 

BARCLAYS CAPITAL SECURITIES LTD

(b) of offeror/offeree in relation to whose relevant securities this form relates:Name

Use a separate form for each offeror/offeree

 

CME GROUP INC

(c) of the party to the offer with which exempt principal trader is connected:Name 

CME GROUP INC

(d) Date position held/dealing undertaken:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

01 May 2018

(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

YES:

NEX GROUP PLC

Class of relevant security:   Class A common stockUSD 0.01
Interests Short Positions
  Number (%)Number (%)
(1)Relevant securities owned
and/or controlled:502,2400.15%180,5360.05%
      
(2)Cash-settled derivatives:
54,7780.02%54,7780.02%
      
(3)Stock-settled derivatives (including options)
and agreements to purchase/sell:3,0540.00%3,0540.00%
      
(4)
TOTAL:560,0720.16%238,3680.07%
Class of relevant security in relation to which subscription right exists: 
Details, including nature of the rights concerned and relevant percentages: 
Class of relevant Purchase/sale Total number of Highest price per unit Lowest price per unit
security securitiespaid/receivedpaid/received
Class A common stockUSD 0.01Purchase44156.8500 USD156.85 USD
Class A common stockUSD 0.01Sale11,026156.8500 USD156.5 USD
Class of Product Nature of dealing Number of Price per
relevantdescriptionreferenceunit
security  securities 
Class A common stockUSD 0.01SWAPLong211156.1150 USD
Class A common stockUSD 0.01SWAPShort224156.1150 USD
Class of relevant security Product descriptione.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
Class of relevant security Product description

e.g. call option

 Exercising/ exercised against Number of securities Exercise price per unit
Class of relevant security Nature of dealing

e.g. subscription, conversion

 Details Price per unit (if applicable)
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 exempt principal trader 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

Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader 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

Is a Supplemental Form 8 (Open Positions) attached? YES
Date of disclosure:2 May 2018
Contact name:Jay Supaya
Telephone number:020 7773 0635
Identity of the person whose positions/dealings BARCLAYS CAPITAL SECURITIES LTD
are being disclosed: 
of offeror/offeree in relation to whoseNameCME GROUP INC
relevant securities this from relates: 
Class Product Writing, Number Exercise Type Expiry
ofdescriptionpurchasing,ofpricedate
relevantselling,securitiesper unit
securityvarying etcto which
option
   relates   
Class A common stockUSD 0.01Call OptionsPurchased54,554165.0000American18 May 2018
Class A common stockUSD 0.01Put OptionsWritten3,054165.0000American18 May 2018
Class A common stockUSD 0.01Call OptionsWritten-54,554165.0000American18 May 2018
Class A common stockUSD 0.01Put OptionsPurchased-3,054165.0000American18 May 2018
Full details should be given so that the nature of the interest or position can be fully understood:

Quick facts: Barclays PLC

Price: -

Market: LSE
Market Cap: -
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