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)

CONNECTED TO THE OFFEROR

(e) Date dealing undertaken:

18 May 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 STOCK        
Interests     Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 80,070 0.02% 26,150 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 207,000 0.06% 381,200 0.11%
           
(4)
TOTAL: 287,070 0.08% 407,350 0.12%

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 23 159.5500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 47 160.1100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 73 159.7500 USD
USD 0.01 CLASS A COMMON STOCK Purchase 94 159.5937 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.6600 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.3000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 100 160.2200 USD
USD 0.01 CLASS A COMMON STOCK Purchase 105 159.8790 USD
USD 0.01 CLASS A COMMON STOCK Purchase 121 160.0482 USD
USD 0.01 CLASS A COMMON STOCK Purchase 159 159.9649 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 159.9150 USD
USD 0.01 CLASS A COMMON STOCK Purchase 400 159.7162 USD
USD 0.01 CLASS A COMMON STOCK Purchase 500 160.3880 USD
USD 0.01 CLASS A COMMON STOCK Purchase 544 160.0163 USD
USD 0.01 CLASS A COMMON STOCK Purchase 800 160.1512 USD
USD 0.01 CLASS A COMMON STOCK Purchase 820 159.3985 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,100 160.1186 USD
USD 0.01 CLASS A COMMON STOCK Purchase 1,205 159.7934 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,091 159.4624 USD
USD 0.01 CLASS A COMMON STOCK Purchase 3,300 159.5100 USD
USD 0.01 CLASS A COMMON STOCK Purchase 4,396 159.7081 USD
USD 0.01 CLASS A COMMON STOCK Purchase 6,965 160.7000 USD
USD 0.01 CLASS A COMMON STOCK Purchase 8,000 159.6579 USD
USD 0.01 CLASS A COMMON STOCK Purchase 10,280 159.5859 USD
USD 0.01 CLASS A COMMON STOCK Purchase 12,400 159.6137 USD
USD 0.01 CLASS A COMMON STOCK Purchase 13,687 159.9359 USD
USD 0.01 CLASS A COMMON STOCK Purchase 57,794 159.7800 USD
USD 0.01 CLASS A COMMON STOCK Sale 7 159.8150 USD
USD 0.01 CLASS A COMMON STOCK Sale 23 159.5500 USD
USD 0.01 CLASS A COMMON STOCK Sale 70 159.3900 USD
USD 0.01 CLASS A COMMON STOCK Sale 84 159.4700 USD
USD 0.01 CLASS A COMMON STOCK Sale 93 159.8100 USD
USD 0.01 CLASS A COMMON STOCK Sale 96 159.7300 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.5300 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.4800 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.1800 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.9600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 160.6600 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.7700 USD
USD 0.01 CLASS A COMMON STOCK Sale 100 159.5935 USD
USD 0.01 CLASS A COMMON STOCK Sale 115 160.0721 USD
USD 0.01 CLASS A COMMON STOCK Sale 124 159.6694 USD
USD 0.01 CLASS A COMMON STOCK Sale 143 159.7068 USD
USD 0.01 CLASS A COMMON STOCK Sale 196 160.4483 USD
USD 0.01 CLASS A COMMON STOCK Sale 197 159.6637 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 160.5050 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.4600 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.5150 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 160.0950 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.4000 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.6400 USD
USD 0.01 CLASS A COMMON STOCK Sale 200 159.7050 USD
USD 0.01 CLASS A COMMON STOCK Sale 221 159.7315 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 159.7200 USD
USD 0.01 CLASS A COMMON STOCK Sale 300 160.0300 USD
USD 0.01 CLASS A COMMON STOCK Sale 350 160.1771 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 159.5850 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 159.7500 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 160.1650 USD
USD 0.01 CLASS A COMMON STOCK Sale 400 160.1825 USD
USD 0.01 CLASS A COMMON STOCK Sale 500 160.1720 USD
USD 0.01 CLASS A COMMON STOCK Sale 509 159.6280 USD
USD 0.01 CLASS A COMMON STOCK Sale 550 159.3772 USD
USD 0.01 CLASS A COMMON STOCK Sale 600 159.7120 USD
USD 0.01 CLASS A COMMON STOCK Sale 774 159.6339 USD
USD 0.01 CLASS A COMMON STOCK Sale 800 159.8737 USD
USD 0.01 CLASS A COMMON STOCK Sale 800 159.9175 USD
USD 0.01 CLASS A COMMON STOCK Sale 889 159.6101 USD
USD 0.01 CLASS A COMMON STOCK Sale 952 160.1191 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,000 159.5605 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,041 159.5109 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,100 159.6318 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,200 159.9841 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,217 160.1697 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,500 159.6340 USD
USD 0.01 CLASS A COMMON STOCK Sale 1,855 159.5763 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,000 159.8055 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,000 159.7275 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,124 159.8765 USD
USD 0.01 CLASS A COMMON STOCK Sale 2,600 159.5432 USD
USD 0.01 CLASS A COMMON STOCK Sale 3,300 159.5100 USD
USD 0.01 CLASS A COMMON STOCK Sale 4,000 159.6320 USD
USD 0.01 CLASS A COMMON STOCK Sale 5,000 159.5512 USD
USD 0.01 CLASS A COMMON STOCK Sale 6,965 160.7000 USD
USD 0.01 CLASS A COMMON STOCK Sale 10,999 159.5581 USD
USD 0.01 CLASS A COMMON STOCK Sale 11,437 159.9314 USD
USD 0.01 CLASS A COMMON STOCK Sale 67,468 159.7800 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   Product   Nature of dealing   Number of   Price per unit
security description reference
      securities  

(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 STOCK Call Options Purchasing 500 155 USD American 18 Jan 2019 14.1000 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 500 160 USD American 25 May 2018 1.4700 USD
USD 0.01 CLASS A COMMON STOCK Call Options Purchasing 100 163 USD American 25 May 2018 0.8500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 200 145 USD American 22 Jun 2018 0.6100 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 100 150 USD American 15 Jun 2018 0.8800 USD
USD 0.01 CLASS A COMMON STOCK Put Options Purchasing 200 160 USD American 25 May 2018 1.8300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 300 153 USD American 8 Jun 2018 0.9800 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 100 155 USD American 15 Jun 2018 1.7300 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 200 155 USD American 22 Jun 2018 2.2500 USD
USD 0.01 CLASS A COMMON STOCK Put Options Selling 200 160 USD American 18 May 2018 0.7600 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 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

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 STOCK Call Options Purchased 8,600 160.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,100 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,000 160.0000 American 29 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 900 130.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 600 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 240.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 165.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 115.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -200 135.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -200 145.0000 American 22 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 125.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -900 155.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,000 190.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -5,000 65.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 2,500 160.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,700 150.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,300 190.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 700 155.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 500 155.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 135.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 150.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 115.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 175.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,500 200.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,800 165.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,300 165.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -3,500 85.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -5,000 60.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -7,000 170.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 5,800 170.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 5,400 140.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 300 160.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 150.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 175.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 130.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -500 185.0000 American 25 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -500 140.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 180.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,100 95.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,400 145.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 13,000 175.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,100 145.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,500 185.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,500 140.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 800 105.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 149.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 160.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -200 180.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -200 160.0000 American 25 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -600 175.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -600 75.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -800 145.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,400 170.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,400 163.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,400 115.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,500 130.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,200 90.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -5,600 150.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -8,700 160.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 2,800 130.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,000 105.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,000 155.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 700 200.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 140.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 200 155.0000 American 22 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 120.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 175.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 150.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 125.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 165.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -400 180.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -400 145.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -400 120.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,000 210.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,000 110.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100,000 145.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 4,300 115.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 1,600 158.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 1,400 165.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 700 185.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 125.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 163.0000 American 25 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 100 155.0000 American 25 May 2018
USD 0.01 CLASS A COMMON STOCK Put Options Written 100 190.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -200 158.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,200 185.0000 American 18 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,500 155.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 2,200 170.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 600 155.0000 American 21 Dec 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 500 160.0000 American 25 May 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 400 145.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 200 145.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -100 165.0000 American 21 Sep 2018
USD 0.01 CLASS A COMMON STOCK Call Options Written -300 160.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Call Options Written -500 135.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -203,100 150.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -1,200 100.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -2,300 140.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -3,200 140.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 136,000 160.0000 American 15 Jun 2018
USD 0.01 CLASS A COMMON STOCK Call Options Purchased 500 220.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Written 300 153.0000 American 8 Jun 2018
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 70.0000 American 17 Jan 2020
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -100 70.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Put Options Purchased -200 120.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,100 200.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -1,600 185.0000 American 18 Jan 2019
USD 0.01 CLASS A COMMON STOCK Call Options Written -2,000 173.0000 American 18 May 2018

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