TIDMBARC
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 INTERCONTINENTAL EXCHANGE INC
in relation to whose
relevant securities
this form relates:
(d) Status of person making Connected to London Stock
the disclosure: Exchange Group Plc
(e) Date position held/dealing 28 April 2016
undertaken:
(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 ORD
security:
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities
owned
and/or controlled: 106,431 0.09% 7,527 0.01%
(2) Cash-settled
derivatives:
3,672 0.00% 83,000 0.07%
(3) Stock-settled
derivatives
(including options)
and agreements to 11,700 0.01% 10,900 0.01%
purchase/sell:
TOTAL: 121,803 0.10% 101,427 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/sell Number of Price per unit
security securities
ORD Purchase 11 240.5000 USD
ORD Purchase 11 240.6800 USD
ORD Purchase 11 240.7600 USD
ORD Purchase 24 240.7797 USD
ORD Purchase 33 242.5803 USD
ORD Purchase 35 240.3851 USD
ORD Purchase 60 242.8000 USD
ORD Purchase 95 242.2642 USD
ORD Purchase 100 241.8900 USD
ORD Purchase 100 241.4500 USD
ORD Purchase 138 240.9060 USD
ORD Purchase 166 241.9266 USD
ORD Purchase 186 241.1686 USD
ORD Purchase 220 241.8406 USD
ORD Purchase 300 242.5783 USD
ORD Purchase 365 241.0206 USD
ORD Purchase 368 240.8682 USD
ORD Purchase 500 240.5900 USD
ORD Purchase 500 240.6280 USD
ORD Purchase 989 240.6299 USD
ORD Purchase 1,000 241.6655 USD
ORD Purchase 1,724 241.5350 USD
ORD Purchase 2,100 241.7092 USD
ORD Purchase 3,172 240.9834 USD
ORD Purchase 4,472 241.7549 USD
ORD Purchase 4,800 241.6775 USD
ORD Purchase 100,135 240.8600 USD
ORD Sale 20 243.1800 USD
ORD Sale 60 242.8000 USD
ORD Sale 89 240.8200 USD
ORD Sale 100 242.3400 USD
ORD Sale 100 241.0700 USD
ORD Sale 116 243.0400 USD
ORD Sale 138 242.6978 USD
ORD Sale 200 240.9500 USD
ORD Sale 200 242.3450 USD
ORD Sale 200 241.9300 USD
ORD Sale 200 240.5500 USD
ORD Sale 200 240.6300 USD
ORD Sale 235 242.2614 USD
ORD Sale 301 240.7375 USD
ORD Sale 335 241.9903 USD
ORD Sale 365 241.0207 USD
ORD Sale 371 241.4280 USD
ORD Sale 406 241.3092 USD
ORD Sale 500 241.5390 USD
ORD Sale 500 240.5900 USD
ORD Sale 500 240.6280 USD
ORD Sale 746 242.0915 USD
ORD Sale 747 241.6052 USD
ORD Sale 1,040 241.3525 USD
ORD Sale 1,080 241.3282 USD
ORD Sale 1,300 241.9676 USD
ORD Sale 1,800 241.9225 USD
ORD Sale 2,600 241.7251 USD
ORD Sale 2,901 240.9214 USD
ORD Sale 3,500 241.5697 USD
ORD Sale 99,383 240.8600 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 of Product Writing, Number Exercise price Type Expiry date Option money
relevant descriptione.g. purchasing, of securities per unit e.g. American, paid/
security call selling, to European etc. received
option varying etc. which option per unit
relates
(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
(MORE TO FOLLOW) Dow Jones Newswires
April 29, 2016 09:32 ET (13:32 GMT)
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) YES
Supplemental Form 8 (SBL) NO
Date of disclosure: 29 Apr 2016
Contact name: Femi Badmos
Telephone number: 020 3555 1125
Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service and must also be emailed to the
Takeover Panel at monitoring@disclosure.org.uk.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 Barclays PLC.
positions/dealings
are being disclosed:
Name of offeror/offeree INTERCONTINENTAL EXCHANGE INC
in relation to whose
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
ORD Put Written 200 150.0000 American 16 Sep 2016
Options
ORD Put Written 1,600 250.0000 American 17 Jun 2016
Options
ORD Put Written 600 230.0000 American 20 May 2016
Options
ORD Call Purchased 300 250.0000 American 16 Sep 2016
Options
ORD Put Purchased -100 260.0000 American 17 Jun 2016
Options
ORD Call Written -300 220.0000 American 16 Sep 2016
Options
ORD Put Purchased -1,500 220.0000 American 20 May 2016
Options
ORD Call Purchased 2,000 270.0000 American 17 Jun 2016
Options
ORD Call Purchased 400 240.0000 American 20 May 2016
Options
ORD Call Purchased 100 260.0000 American 20 May 2016
Options
ORD Put Written 100 130.0000 American 16 Sep 2016
Options
ORD Put Purchased -300 220.0000 American 16 Sep 2016
Options
ORD Call Written -700 270.0000 American 20 May 2016
Options
ORD Put Purchased -3,400 220.0000 American 17 Jun 2016
Options
ORD Put Purchased -2,000 210.0000 American 17 Jun 2016
Options
ORD Put Written 400 140.0000 American 16 Sep 2016
Options
ORD Call Purchased 900 270.0000 American 16 Dec 2016
Options
ORD Put Purchased -600 210.0000 American 16 Sep 2016
Options
ORD Call Purchased 900 250.0000 American 17 Jun 2016
Options
ORD Call Purchased 300 260.0000 American 16 Sep 2016
Options
ORD Call Purchased 100 240.0000 American 17 Jun 2016
Options
ORD Put Written 100 170.0000 American 16 Sep 2016
Options
ORD Call Purchased 1,600 280.0000 American 17 Jun 2016
Options
ORD Put Written 1,300 240.0000 American 20 May 2016
Options
ORD Put Written 800 210.0000 American 20 May 2016
Options
ORD Call Written -2,000 250.0000 American 20 May 2016
Options
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:
http://www.businesswire.com/news/home/sell/en/
This information is provided by Business Wire
(END) Dow Jones Newswires
April 29, 2016 09:32 ET (13:32 GMT)
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