REG-BARCLAYS PLC Form 8 (DD) - VANTIV INC <Origin Href="QuoteRef">BARC.L</Origin> <Origin Href="QuoteRef">VNTV.N</Origin>
. Form 8 (DD) - VANTIV 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 interest and short | ||||
| positions disclosed, if different from 1(a): | |||||
| (c) | Name of offeror/offeree in relation to whose | VANTIV INC | |||
| relevant securities this form relates: | |||||
| (d) | Status of person making the disclosure: | CONNECTED TO OFFEREE | |||
| (e) | Date position held/dealing undertaken: | 13 December 2017 | |||
| (f) | In addition to the company in 1(c) above, is the discloser making | NO | |||
| 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 security: | USD 0.00001 Class A common | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 16,110 | 0.01% | 2,531 | 0.00% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 0 | 0.00% | 0 | 0.00% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 3,200 | 0.00% | 46,000 | 0.03% | |||||||
| TOTAL: | 19,310 | 0.01% | 48,531 | 0.03% | |||||||
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 Form8 (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 0.00001 Class A common | Purchase | 5 | 73.6000 USD | ||||
| USD 0.00001 Class A common | Purchase | 100 | 73.5600 USD | ||||
| USD 0.00001 Class A common | Purchase | 100 | 73.5100 USD | ||||
| USD 0.00001 Class A common | Purchase | 100 | 73.5300 USD | ||||
| USD 0.00001 Class A common | Purchase | 100 | 74.7200 USD | ||||
| USD 0.00001 Class A common | Purchase | 100 | 73.8300 USD | ||||
| USD 0.00001 Class A common | Purchase | 100 | 73.6750 USD | ||||
| USD 0.00001 Class A common | Purchase | 139 | 73.7045 USD | ||||
| USD 0.00001 Class A common | Purchase | 147 | 73.7412 USD | ||||
| USD 0.00001 Class A common | Purchase | 182 | 73.6900 USD | ||||
| USD 0.00001 Class A common | Purchase | 200 | 74.4150 USD | ||||
| USD 0.00001 Class A common | Purchase | 200 | 73.6350 USD | ||||
| USD 0.00001 Class A common | Purchase | 200 | 73.7100 USD | ||||
| USD 0.00001 Class A common | Purchase | 200 | 73.7551 USD | ||||
| USD 0.00001 Class A common | Purchase | 200 | 73.8800 USD | ||||
| USD 0.00001 Class A common | Purchase | 300 | 73.6666 USD | ||||
| USD 0.00001 Class A common | Purchase | 400 | 73.6275 USD | ||||
| USD 0.00001 Class A common | Purchase | 524 | 73.7999 USD | ||||
| USD 0.00001 Class A common | Purchase | 600 | 73.6883 USD | ||||
| USD 0.00001 Class A common | Purchase | 700 | 73.6942 USD | ||||
| USD 0.00001 Class A common | Purchase | 700 | 73.6842 USD | ||||
| USD 0.00001 Class A common | Purchase | 800 | 73.7000 USD | ||||
| USD 0.00001 Class A common | Purchase | 900 | 74.0600 USD | ||||
| USD 0.00001 Class A common | Purchase | 1,100 | 73.6968 USD | ||||
| USD 0.00001 Class A common | Purchase | 1,100 | 73.7463 USD | ||||
| USD 0.00001 Class A common | Purchase | 1,203 | 74.0926 USD | ||||
| USD 0.00001 Class A common | Purchase | 1,210 | 74.6104 USD | ||||
| USD 0.00001 Class A common | Purchase | 1,300 | 74.1284 USD | ||||
| USD 0.00001 Class A common | Purchase | 1,500 | 74.3713 USD | ||||
| USD 0.00001 Class A common | Purchase | 2,306 | 73.6370 USD | ||||
| USD 0.00001 Class A common | Purchase | 2,400 | 74.6200 USD | ||||
| USD 0.00001 Class A common | Purchase | 3,900 | 73.8730 USD | ||||
| USD 0.00001 Class A common | Purchase | 4,212 | 74.0610 USD | ||||
| USD 0.00001 Class A common | Purchase | 4,400 | 73.5936 USD | ||||
| USD 0.00001 Class A common | Purchase | 7,300 | 74.3170 USD | ||||
| USD 0.00001 Class A common | Purchase | 8,100 | 74.1348 USD | ||||
| USD 0.00001 Class A common | Purchase | 9,200 | 73.9191 USD | ||||
| USD 0.00001 Class A common | Purchase | 9,878 | 74.3188 USD | ||||
| USD 0.00001 Class A common | Purchase | 9,900 | 74.2311 USD | ||||
| USD 0.00001 Class A common | Purchase | 397,435 | 73.5900 USD | ||||
| USD 0.00001 Class A common | Sale | 5 | 73.6000 USD | ||||
| USD 0.00001 Class A common | Sale | 100 | 73.4900 USD | ||||
| USD 0.00001 Class A common | Sale | 100 | 73.6750 USD | ||||
| USD 0.00001 Class A common | Sale | 100 | 74.1600 USD | ||||
| USD 0.00001 Class A common | Sale | 100 | 74.2100 USD | ||||
| USD 0.00001 Class A common | Sale | 100 | 74.8300 USD | ||||
| USD 0.00001 Class A common | Sale | 123 | 74.7612 USD | ||||
| USD 0.00001 Class A common | Sale | 146 | 74.1000 USD | ||||
| USD 0.00001 Class A common | Sale | 200 | 74.3750 USD | ||||
| USD 0.00001 Class A common | Sale | 300 | 73.8875 USD | ||||
| USD 0.00001 Class A common | Sale | 400 | 73.7293 USD | ||||
| USD 0.00001 Class A common | Sale | 400 | 73.9206 USD | ||||
| USD 0.00001 Class A common | Sale | 435 | 74.7552 USD | ||||
| USD 0.00001 Class A common | Sale | 453 | 74.1959 USD | ||||
| USD 0.00001 Class A common | Sale | 473 | 73.9058 USD | ||||
| USD 0.00001 Class A common | Sale | 500 | 74.1100 USD | ||||
| USD 0.00001 Class A common | Sale | 609 | 73.9449 USD | ||||
| USD 0.00001 Class A common | Sale | 800 | 73.7000 USD | ||||
| USD 0.00001 Class A common | Sale | 800 | 74.1175 USD | ||||
| USD 0.00001 Class A common | Sale | 1,000 | 74.9297 USD | ||||
| USD 0.00001 Class A common | Sale | 1,100 | 74.2090 USD | ||||
| USD 0.00001 Class A common | Sale | 1,110 | 74.5906 USD | ||||
| USD 0.00001 Class A common | Sale | 1,111 | 74.2347 USD | ||||
| USD 0.00001 Class A common | Sale | 1,200 | 74.6950 USD | ||||
| USD 0.00001 Class A common | Sale | 1,460 | 74.5430 USD | ||||
| USD 0.00001 Class A common | Sale | 1,500 | 74.0593 USD | ||||
| USD 0.00001 Class A common | Sale | 1,600 | 74.0031 USD | ||||
| USD 0.00001 Class A common | Sale | 1,800 | 74.0830 USD | ||||
| USD 0.00001 Class A common | Sale | 2,400 | 74.0804 USD | ||||
| USD 0.00001 Class A common | Sale | 2,500 | 74.6200 USD | ||||
| USD 0.00001 Class A common | Sale | 2,539 | 73.6917 USD | ||||
| USD 0.00001 Class A common | Sale | 3,800 | 74.0718 USD | ||||
| USD 0.00001 Class A common | Sale | 3,800 | 74.3613 USD | ||||
| USD 0.00001 Class A common | Sale | 3,900 | 73.7650 USD | ||||
| USD 0.00001 Class A common | Sale | 3,968 | 74.3277 USD | ||||
| USD 0.00001 Class A common | Sale | 4,303 | 74.1846 USD | ||||
| USD 0.00001 Class A common | Sale | 5,900 | 74.0180 USD | ||||
| USD 0.00001 Class A common | Sale | 7,100 | 73.6111 USD | ||||
| USD 0.00001 Class A common | Sale | 7,600 | 74.2120 USD | ||||
| USD 0.00001 Class A common | Sale | 9,924 | 73.9261 USD | ||||
| USD 0.00001 Class A common | Sale | 397,117 | 73.5900 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 of relevant security | Product description e.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 |
(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: | 14 Dec 2017 | ||
| 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 Panels Market Surveillance Unit is available for consultation in relation to the Codes dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panels 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 positions/dealings | Barclays PLC. | ||
| are being disclosed: | |||
| Name of offeror/offeree in relation to whose | VANTIV INC | ||
| 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 | |||||||||||||
| USD 0.00001 Class A common | Call Options | Written | -300 | 60.0000 | American | 18 May 2018 | |||||||
| USD 0.00001 Class A common | Put Options | Written | 200 | 70.0000 | American | 18 May 2018 | |||||||
| USD 0.00001 Class A common | Put Options | Purchased | -100 | 50.0000 | American | 18 May 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Purchased | 2,000 | 60.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -200 | 75.0000 | American | 19 Jan 2018 | |||||||
| USD 0.00001 Class A common | Put Options | Purchased | -400 | 75.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -14,500 | 75.0000 | American | 15 Dec 2017 | |||||||
| USD 0.00001 Class A common | Put Options | Purchased | -100 | 35.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -100 | 80.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Put Options | Purchased | -200 | 65.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -200 | 85.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -500 | 80.0000 | American | 19 Jan 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -700 | 70.0000 | American | 15 Dec 2017 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -1,500 | 70.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -5,700 | 75.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -15,500 | 70.0000 | American | 18 May 2018 | |||||||
| USD 0.00001 Class A common | Put Options | Written | 400 | 70.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -500 | 105.0000 | American | 18 Jan 2019 | |||||||
| USD 0.00001 Class A common | Call Options | Purchased | 600 | 65.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -200 | 70.0000 | American | 17 Jan 2020 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -200 | 70.0000 | American | 19 Jan 2018 | |||||||
| USD 0.00001 Class A common | Call Options | Written | -100 | 50.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Put Options | Purchased | -2,000 | 45.0000 | American | 16 Feb 2018 | |||||||
| USD 0.00001 Class A common | Put Options | Purchased | -3,000 | 70.0000 | American | 16 Feb 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 Panels Market Surveillance Unit is available for consultation in relation to the Codes disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panels website at www.thetakeoverpanel.org.uk.
View source version on businesswire.com: http://www.businesswire.com/news/home/20171214005627/en/
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