TIDM0HR2
RNS Number : 1907N
Goldman Sachs & Co. LLC
04 May 2018
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: GOLDMAN SACHS &
CO. 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 CME GROUP INC.
in relation to whose relevant
securities this form relates:
Use a separate form for
each offeror/offeree
------------------------------------ ----------------
(d) Status of person making Advisor to NEX
the disclosure: GROUP PLC
e.g. offeror, offeree,
person acting in concert
with the offeror/offeree
(specify name of offeror/offeree)
------------------------------------ ----------------
(e) Date dealing undertaken: 03 May 2018
------------------------------------ ----------------
(f) In addition to the company NO
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"
------------------------------------ ----------------
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
security: stock
--------------------------- --------------------------------------------
Interests Short positions
--------------------- ---------------------
Number % Number %
--------------------------- -------------- ----- -------------- -----
(1) Relevant securities
owned and/or controlled: 1,265,758.661 0.37 1,350,961.661 0.39
--------------------------- -------------- ----- -------------- -----
(2) Cash-settled
derivatives: 80,401 0.02 323,680 0.09
--------------------------- -------------- ----- -------------- -----
(3) Stock-settled
derivatives (including
options) and agreements
to purchase/sell: 1,200 0.00 3,800 0.00
--------------------------- -------------- ----- -------------- -----
TOTAL: 1,347,359.661 0.39 1,678,441.661 0.49
--------------------------- -------------- ----- -------------- -----
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (included
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 Purchase/sale Number of Price per
relevant securities unit
security
---------- -------------- ------------ ----------
(ii) Principal trader where the sole reason for the connection
is that the principal trader is in the same group as a connected
advisor
Class of Purchases/ Total number Highest Lowest
relevant sales of securities price per price per
security unit paid/received unit paid/received
---------- ----------- --------------- -------------------- --------------------
USD 0.01 Purchases 91,186 158.1100 154.5300
Class A USD USD
common
stock
---------- ----------- --------------- -------------------- --------------------
USD 0.01 Sales 170,244 158.1600 153.9400
Class A USD USD
common
stock
---------- ----------- --------------- -------------------- --------------------
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number Price
relevant description e.g. opening/closing of reference per unit
security e.g. CFD a long/short securities
position, increasing/reducing
a long/short
position
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 1,713 154.7048
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 7 154.8600
Class A long position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 70 155.0764
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 100 155.7000
Class A long position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 7 156.0400
Class A long position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 9 156.0400
Class A long position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 400 156.9625
Class A long position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 3 157.0200
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 28 157.0200
Class A long position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Increasing 47 157.0200
Class A a short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 15 157.2333
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 28 157.4618
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 35 157.4829
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 38 157.5313
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
USD 0.01 CFD Reducing a 42 157.5362
Class A short position USD
common
stock
---------- ------------- ------------------------------- -------------- ----------
(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 securities price e.g. date money
relevant e.g. selling, to which per American, paid/
security call varying etc. option unit European received
option relates etc. per
unit
---------- ------------- -------------- --------------- --------- ----------- ------- ----------
(ii) Exercise
Class of Product Exercising Number Exercise
relevant description / exercised of securities price per
security e.g. call against unit
option
---------- ------------- ------------- --------------- -----------
(d) Other dealings (including subscribing for new securities)
Class of Nature of dealing Details Price per
relevant e.g. subscription, unit (if
security conversion 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: 04 May 2018
--------------------- ----------------------
Contact name: Kashif Rafiq and Papa
Lette
--------------------- ----------------------
+44(20) 7051 0547 /
Telephone number: +44(20) 7774 7442
--------------------- ----------------------
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 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, AGREEMENT 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 GOLDMAN SACHS &
disclosure: CO. LLC
------------------------------------ ----------------
Name of offeror/offeree CME GROUP INC.
in relation to whose relevant
securities disclosure relates:
------------------------------------ ----------------
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class Product Written Number Exercise Type Expiry
of relevant description or purchased of securities price e.g. date
security e.g. to which per unit American,
call option European
option or derivative etc.
relates
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Call Sold 100 120.0000 AMER 18/01/2019
0.01 Option USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Call Sold 2,200 175.0000 AMER 18/01/2019
0.01 Option USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Put Option Purchased 100 140.0000 AMER 18/01/2019
0.01 USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Put Option Purchased 100 150.0000 AMER 18/01/2019
0.01 USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Put Option Sold 300 95.0000 AMER 18/01/2019
0.01 USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Put Option Purchased 300 100.0000 AMER 18/01/2019
0.01 USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Put Option Sold 900 125.0000 AMER 18/01/2019
0.01 USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
USD Put Option Purchased 1,000 85.0000 AMER 18/01/2019
0.01 USD
Class
A common
stock
------------- ------------- -------------- --------------- ---------- ----------- -----------
3. AGREEMENTS TO PURCHASE OR SELL
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 Supplement form
(Open Positions) with regard to cash-settled derivatives.
The currency of all pieces 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.
This information is provided by RNS
The company news service from the London Stock Exchange
END
DCCFMGGKGDNGRZM
(END) Dow Jones Newswires
May 04, 2018 06:38 ET (10:38 GMT)
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