REG - D E Shaw & Co LP NEX Group PLC CME Group Inc. - Form 8.3 - CME Group Inc.

CMEAnnouncement

02/11/2018 11:45

RNS Number : 2009G
D E Shaw & Co LP
02 November 2018
 


FORM 8.3
 
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 




(a) Full name of discloser:


D. E. Shaw & Co., L.P.




(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) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:


 




(e) Date position held/dealing undertaken:
     For an opening position disclosure, state the latest practicable date prior to the disclosure


November 1, 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"


Yes: NEX Group Plc




 
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 (if any)
 




Class of relevant security:
 


USD 0.01 Class A common




 
 


Interests


Short positions




 


Number


%


Number


%




(1) Relevant securities owned and/or controlled:


159,571


0.04


435,465


0.12




(2) Cash-settled derivatives:


 


 


 


 




(3) Stock-settled derivatives (including options) and agreements to purchase/sell:


17,900


0.00


 


 




     TOTAL:


177,471


0.05


435,465


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).
 
(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 (IF ANY) 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
 




Class of relevant security


Purchase/sale
 


Number of securities


Price per unit




USD 0.01 Class A common


Purchase


100


USD 183.14




USD 0.01 Class A common


Purchase


100


USD 183.18




USD 0.01 Class A common


Purchase


100


USD 183.21




USD 0.01 Class A common


Purchase


100


USD 183.22




USD 0.01 Class A common


Purchase


100


USD 183.24




USD 0.01 Class A common


Purchase


200


USD 183.26




USD 0.01 Class A common


Purchase


100


USD 183.27




USD 0.01 Class A common


Purchase


400


USD 183.28




USD 0.01 Class A common


Purchase


300


USD 183.30




USD 0.01 Class A common


Purchase


100


USD 183.31




USD 0.01 Class A common


Purchase


302


USD 183.35




USD 0.01 Class A common


Purchase


100


USD 183.37




USD 0.01 Class A common


Purchase


400


USD 183.39




USD 0.01 Class A common


Purchase


290


USD 183.40




USD 0.01 Class A common


Purchase


207


USD 183.43




USD 0.01 Class A common


Purchase


600


USD 183.44




USD 0.01 Class A common


Purchase


200


USD 183.45




USD 0.01 Class A common


Purchase


100


USD 183.47




USD 0.01 Class A common


Purchase


500


USD 183.48




USD 0.01 Class A common


Purchase


100


USD 183.49




USD 0.01 Class A common


Purchase


400


USD 183.50




USD 0.01 Class A common


Purchase


425


USD 183.52




USD 0.01 Class A common


Purchase


300


USD 183.53




USD 0.01 Class A common


Purchase


400


USD 183.54




USD 0.01 Class A common


Purchase


630


USD 183.55




USD 0.01 Class A common


Purchase


500


USD 183.56




USD 0.01 Class A common


Purchase


100


USD 183.58




USD 0.01 Class A common


Purchase


200


USD 183.59




USD 0.01 Class A common


Purchase


300


USD 183.60




USD 0.01 Class A common


Purchase


100


USD 183.61




USD 0.01 Class A common


Purchase


700


USD 183.62




USD 0.01 Class A common


Purchase


200


USD 183.63




USD 0.01 Class A common


Purchase


100


USD 183.64




USD 0.01 Class A common


Purchase


200


USD 183.65




USD 0.01 Class A common


Purchase


500


USD 183.66




USD 0.01 Class A common


Purchase


385


USD 183.67




USD 0.01 Class A common


Purchase


300


USD 183.68




USD 0.01 Class A common


Purchase


400


USD 183.69




USD 0.01 Class A common


Purchase


300


USD 183.70




USD 0.01 Class A common


Purchase


300


USD 183.71




USD 0.01 Class A common


Purchase


100


USD 183.72




USD 0.01 Class A common


Purchase


200


USD 183.73




USD 0.01 Class A common


Purchase


200


USD 183.74




USD 0.01 Class A common


Purchase


200


USD 183.75




USD 0.01 Class A common


Purchase


700


USD 183.76




USD 0.01 Class A common


Purchase


600


USD 183.77




USD 0.01 Class A common


Purchase


800


USD 183.78




USD 0.01 Class A common


Purchase


500


USD 183.79




USD 0.01 Class A common


Purchase


200


USD 183.81




USD 0.01 Class A common


Purchase


600


USD 183.82




USD 0.01 Class A common


Purchase


400


USD 183.83




USD 0.01 Class A common


Purchase


500


USD 183.84




USD 0.01 Class A common


Purchase


200


USD 183.85




USD 0.01 Class A common


Purchase


600


USD 183.87




USD 0.01 Class A common


Purchase


100


USD 183.88




USD 0.01 Class A common


Purchase


511


USD 183.89




USD 0.01 Class A common


Purchase


300


USD 183.90




USD 0.01 Class A common


Purchase


300


USD 183.91




USD 0.01 Class A common


Purchase


300


USD 183.92




USD 0.01 Class A common


Purchase


200


USD 183.93




USD 0.01 Class A common


Purchase


200


USD 183.95




USD 0.01 Class A common


Purchase


1500


USD 183.96




USD 0.01 Class A common


Purchase


400


USD 183.97




USD 0.01 Class A common


Purchase


500


USD 183.98




USD 0.01 Class A common


Purchase


352


USD 183.99




USD 0.01 Class A common


Purchase


517


USD 184.00




USD 0.01 Class A common


Purchase


100


USD 184.02




USD 0.01 Class A common


Purchase


200


USD 184.03




USD 0.01 Class A common


Purchase


100


USD 184.04




USD 0.01 Class A common


Purchase


100


USD 184.05




USD 0.01 Class A common


Purchase


10


USD 184.06




USD 0.01 Class A common


Purchase


100


USD 184.09




USD 0.01 Class A common


Purchase


300


USD 184.12




USD 0.01 Class A common


Purchase


100


USD 184.13




USD 0.01 Class A common


Purchase


100


USD 184.14




USD 0.01 Class A common


Purchase


200


USD 184.16




USD 0.01 Class A common


Purchase


300


USD 184.18




USD 0.01 Class A common


Purchase


589


USD 184.21




USD 0.01 Class A common


Purchase


929


USD 184.22




USD 0.01 Class A common


Purchase


600


USD 184.23




USD 0.01 Class A common


Purchase


900


USD 184.24




USD 0.01 Class A common


Purchase


1216


USD 184.25




USD 0.01 Class A common


Purchase


300


USD 184.26




USD 0.01 Class A common


Purchase


343


USD 184.27




USD 0.01 Class A common


Purchase


300


USD 184.28




USD 0.01 Class A common


Purchase


100


USD 184.29




USD 0.01 Class A common


Purchase


100


USD 184.30




USD 0.01 Class A common


Purchase


100


USD 184.31




USD 0.01 Class A common


Purchase


300


USD 184.32




USD 0.01 Class A common


Purchase


800


USD 184.33




USD 0.01 Class A common


Purchase


600


USD 184.34




USD 0.01 Class A common


Purchase


100


USD 184.35




USD 0.01 Class A common


Purchase


100


USD 184.36




USD 0.01 Class A common


Purchase


315


USD 184.37




USD 0.01 Class A common


Purchase


200


USD 184.38




USD 0.01 Class A common


Purchase


874


USD 184.39




USD 0.01 Class A common


Purchase


816


USD 184.40




USD 0.01 Class A common


Purchase


900


USD 184.41




USD 0.01 Class A common


Purchase


200


USD 184.42




USD 0.01 Class A common


Purchase


400


USD 184.43




USD 0.01 Class A common


Purchase


300


USD 184.44




USD 0.01 Class A common


Purchase


405


USD 184.45




USD 0.01 Class A common


Purchase


600


USD 184.46




USD 0.01 Class A common


Purchase


1500


USD 184.47




USD 0.01 Class A common


Purchase


100


USD 184.48




USD 0.01 Class A common


Purchase


200


USD 184.49




USD 0.01 Class A common


Purchase


200


USD 184.50




USD 0.01 Class A common


Purchase


290


USD 184.52




USD 0.01 Class A common


Purchase


300


USD 184.53




USD 0.01 Class A common


Purchase


600


USD 184.54




USD 0.01 Class A common


Purchase


2521


USD 184.55




USD 0.01 Class A common


Purchase


200


USD 184.56




USD 0.01 Class A common


Purchase


896


USD 184.57




USD 0.01 Class A common


Purchase


200


USD 184.58




USD 0.01 Class A common


Purchase


101


USD 184.59




USD 0.01 Class A common


Purchase


700


USD 184.60




USD 0.01 Class A common


Purchase


500


USD 184.61




USD 0.01 Class A common


Purchase


200


USD 184.62




USD 0.01 Class A common


Purchase


100


USD 184.63




USD 0.01 Class A common


Purchase


200


USD 184.64




USD 0.01 Class A common


Purchase


107


USD 184.65




USD 0.01 Class A common


Purchase


300


USD 184.66




USD 0.01 Class A common


Purchase


400


USD 184.67




USD 0.01 Class A common


Purchase


600


USD 184.68




USD 0.01 Class A common


Purchase


500


USD 184.69




USD 0.01 Class A common


Purchase


700


USD 184.70




USD 0.01 Class A common


Purchase


100


USD 184.71




USD 0.01 Class A common


Purchase


700


USD 184.72




USD 0.01 Class A common


Purchase


400


USD 184.73




USD 0.01 Class A common


Purchase


700


USD 184.74




USD 0.01 Class A common


Purchase


302


USD 184.75




USD 0.01 Class A common


Purchase


300


USD 184.77




USD 0.01 Class A common


Purchase


300


USD 184.79




USD 0.01 Class A common


Purchase


601


USD 184.81




USD 0.01 Class A common


Purchase


500


USD 184.82




USD 0.01 Class A common


Purchase


100


USD 184.83




USD 0.01 Class A common


Purchase


200


USD 184.84




USD 0.01 Class A common


Purchase


300


USD 184.85




USD 0.01 Class A common


Purchase


400


USD 184.86




USD 0.01 Class A common


Purchase


800


USD 184.87




USD 0.01 Class A common


Purchase


400


USD 184.88




USD 0.01 Class A common


Purchase


402


USD 184.89




USD 0.01 Class A common


Purchase


400


USD 184.90




USD 0.01 Class A common


Purchase


400


USD 184.91




USD 0.01 Class A common


Purchase


500


USD 184.92




USD 0.01 Class A common


Purchase


500


USD 184.93




USD 0.01 Class A common


Purchase


500


USD 184.94




USD 0.01 Class A common


Purchase


400


USD 184.95




USD 0.01 Class A common


Purchase


796


USD 184.96




USD 0.01 Class A common


Purchase


200


USD 184.97




USD 0.01 Class A common


Purchase


152


USD 184.98




USD 0.01 Class A common


Purchase


700


USD 184.99




USD 0.01 Class A common


Purchase


1000


USD 185.00




USD 0.01 Class A common


Purchase


52


USD 185.04




USD 0.01 Class A common


Purchase


100


USD 185.09




USD 0.01 Class A common


Purchase


100


USD 185.10




USD 0.01 Class A common


Purchase


114


USD 185.12




USD 0.01 Class A common


Purchase


100


USD 185.13




USD 0.01 Class A common


Purchase


300


USD 185.14




USD 0.01 Class A common


Purchase


100


USD 185.21




USD 0.01 Class A common


Purchase


200


USD 185.22




USD 0.01 Class A common


Purchase


100


USD 185.26




USD 0.01 Class A common


Purchase


40


USD 185.27




USD 0.01 Class A common


Purchase


300


USD 185.28




USD 0.01 Class A common


Purchase


200


USD 185.29




USD 0.01 Class A common


Purchase


303


USD 185.30




USD 0.01 Class A common


Purchase


100


USD 185.35




USD 0.01 Class A common


Purchase


100


USD 185.36




USD 0.01 Class A common


Purchase


100


USD 185.53




USD 0.01 Class A common


Purchase


400


USD 185.54




USD 0.01 Class A common


Purchase


300


USD 185.56




USD 0.01 Class A common


Purchase


100


USD 185.61




USD 0.01 Class A common


Purchase


100


USD 185.63




USD 0.01 Class A common


Purchase


100


USD 185.67




USD 0.01 Class A common


Purchase


200


USD 185.68




USD 0.01 Class A common


Purchase


200


USD 185.69




USD 0.01 Class A common


Purchase


100


USD 185.74




USD 0.01 Class A common


Purchase


100


USD 185.75




USD 0.01 Class A common


Purchase


100


USD 185.77




USD 0.01 Class A common


Purchase


200


USD 185.81




USD 0.01 Class A common


Purchase


100


USD 185.83




USD 0.01 Class A common


Purchase


200


USD 185.85




USD 0.01 Class A common


Purchase


200


USD 185.86




USD 0.01 Class A common


Purchase


300


USD 185.87




USD 0.01 Class A common


Purchase


158


USD 185.90




USD 0.01 Class A common


Purchase


547


USD 185.91




USD 0.01 Class A common


Purchase


700


USD 185.92




USD 0.01 Class A common


Purchase


200


USD 185.93




USD 0.01 Class A common


Purchase


200


USD 185.94




USD 0.01 Class A common


Purchase


400


USD 185.95




USD 0.01 Class A common


Purchase


653


USD 185.96




USD 0.01 Class A common


Purchase


300


USD 185.97




USD 0.01 Class A common


Purchase


239


USD 186.07




USD 0.01 Class A common


Purchase


300


USD 186.08




USD 0.01 Class A common


Purchase


100


USD 186.11




USD 0.01 Class A common


Purchase


100


USD 186.14




USD 0.01 Class A common


Purchase


200


USD 186.16




USD 0.01 Class A common


Purchase


100


USD 186.17




USD 0.01 Class A common


Purchase


100


USD 186.20




USD 0.01 Class A common


Purchase


100


USD 186.23




USD 0.01 Class A common


Purchase


200


USD 186.26




USD 0.01 Class A common


Purchase


100


USD 186.27




USD 0.01 Class A common


Purchase


100


USD 186.32




USD 0.01 Class A common


Purchase


100


USD 186.34




USD 0.01 Class A common


Purchase


100


USD 186.37




USD 0.01 Class A common


Purchase


100


USD 186.39




USD 0.01 Class A common


Purchase


100


USD 186.46




USD 0.01 Class A common


Sale


100


USD 183.93




USD 0.01 Class A common


Sale


100


USD 184.00




USD 0.01 Class A common


Sale


34


USD 184.16




USD 0.01 Class A common


Sale


100


USD 184.23




USD 0.01 Class A common


Sale


100


USD 184.69




USD 0.01 Class A common


Sale


100


USD 184.75




USD 0.01 Class A common


Sale


100


USD 184.88




USD 0.01 Class A common


Sale


100


USD 184.89




USD 0.01 Class A common


Sale


100


USD 185.20




 
(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 person 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




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




Details of any agreement, arrangement or understanding, formal or informal, between the person 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
 




Is a Supplemental Form 8 (Open Positions) attached?


Yes




 
 




Date of disclosure:


November 2, 2018




Contact name:


Kevin Krist (Compliance Department)




Telephone number:


+44 (0) 20 7409 4420




 
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
 




Full name of person making disclosure:


D. E. Shaw & Co., L.P.




Name of offeror/offeree in relation to whose relevant securities the disclosure relates:


CME Group Inc.




 
2.         STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
 




Class of relevant security


Product description e.g. call option


Written or purchased


Number of securities to which option or derivative relates


Exercise price per unit


Type
e.g. American, European etc.


Expiry date




USD 0.01 Class A common


Listed Call Options


Purchased


3,900


185


American


21/12/2018




USD 0.01 Class A common


Listed Call Options


Purchased


9,300


190


American


21/12/2018




USD 0.01 Class A common


Listed Call Options


Purchased


4,700


195


American


21/12/2018




 
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:




 
None
 
 
 




 
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.
 




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