REG - JP Morgan Sec LLC CME Group Inc. - Form 8.5 (EPT/NON-RI)- CME Group Inc. AMENDMENT

CMEAnnouncement

02/11/2018 15:35

RNS Number : 2426G
J.P. Morgan Securities LLC
02 November 2018
 


AMENDMENT
FORM 8.5 (EPT/NON-RI)
 
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 



(a) Name of exempt principal trader:


J.P. Morgan Securities LLC




(b) Name of offeror/offeree in relation to whose relevant securities this form relates:
     Use a separate form for each offeror/offeree


CME Group Inc.




(c) Name of the party to the offer with which exempt principal trader is connected:


Financial Advisor to CME Group Inc.




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


31 October 2018




(e) In addition to the company in 1(b) above, is the exempt principal trader 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 EXEMPT PRINCIPAL TRADER
 
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(b), 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:
 


Common Stock
 




 
 


Interests


Short positions




Number


%


Number


%




(1) Relevant securities owned and/or controlled:


604,071


0.18


446,678


0.13




(2) Cash-settled derivatives:
 


341,783


0.10


377,522


0.11




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


161,600


0.05


2,400


0.00




 
     TOTAL:


1,107,454


0.33


826,600


0.24



 
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 EXEMPT PRINCIPAL TRADER
 
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), 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


Purchases/ sales
 


Total number of securities


Highest price per unit paid/received
(USD)


Lowest price per unit paid/received
(USD)




Common Stock


Purchases
 
Sales


58,968
 
48,130


184.4845
 
184.8100


182.4700
 
182.2400



 
 
(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
 




Common Stock


Equity Swaps


Long
 
 
 
 
 
Short


5,000
6,100
263
262
25
 
25
329
3,000
20,000


143.9970 GBP
144.6823 GBP
182.5086 USD
182.5096 USD
183.2846 USD
 
182.6500 USD
183.6037 USD
183.7673 USD
183.9527 USD



 
 
 
(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 exempt principal trader 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 exempt principal trader 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:


02 November 2018




Contact name:


Alwyn Basch




Telephone number:


020 7742 7407



 
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:


J.P. Morgan Securities LLC




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 (USD)


Type
e.g. American, European etc.


Expiry date




Common Stock
 


Call Option
Call Option
Put Option
Put Option
Put Option
Put Option
Put Option


Purchased
Purchased
Purchased
Written
Written
Written
Written


55,000
25,800
2,400
55,000
13,200
2,600
10,000


145.00
190.00
155.00
115.00
155.00
170.00
150.00


American
American
American
American
American
American
American


18/01/2019
17/01/2020
17/01/2020
18/01/2019
17/01/2020
17/01/2020
17/01/2020



 
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.
 




This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.
 
END
 
 
FEOLLFVELFLFIIT