REG - BkofA Merrill Lynch Intercontinental Exc - Form 8.5 (EPT/NON-RI) <Origin Href="QuoteRef">ICE.N</Origin>

Intercontinental ExchangeAnnouncement

04/05/2016 11:40

RNS Number : 2238X
Bank of America Merrill Lynch
04 May 2016
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: 
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
(b) 
Name of offeror/offeree in relation to whose
relevant securities this form relates:
Use a separate form for each offeror/offeree
Intercontinental Exchange Inc
(c) 
Name of the party to the offer with which exempt principal trader is connected: 
Deutsche Boerse AG
(d) 
Date position held/dealing undertaken:
For an opening position disclosure, state the latest
practicable date prior to the disclosure 
03/05/2016
(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" 
YES 
If YES, specify which: 

(Deutsche Boerse AG) (London Stock Exchange Group PLC) 
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 - US45866F1049

Interests
Short Positions
Number
%
Number
%
(1) 
Relevant securities owned
and/or controlled: 
36,555
0.031% 
144,364
0.121% 
(2) 
Cash-settled derivatives: 
0
0% 
0
0% 
(3) 
Stock-settled derivatives
(including options) and
agreements to purchase/sell: 
5,000
0.004% 
0
0% 
TOTAL:
41,555
0.035% 
144,364
0.121% 
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: 
N/A 
Details, including nature of the rights 
concerned and relevant percentages: 
N/A 
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 
Lowest price 
per unit 
paid/received 
Common - ISIN US45866F1049
Purchase
339
244.68 USD
240.55 USD
Common - ISIN US45866F1049
Sale
6,969
244.68 USD
239.2 USD
(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 - ISIN US45866F1049
Swaps
Long
215
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
131
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
53
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
11
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
134
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
109
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
75
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
78
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
300
240.903 USD
Common - ISIN US45866F1049
Swaps
Long
165
241.151 USD
Common - ISIN US45866F1049
Swaps
Long
60
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
30
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
27
240.382 USD
Common - ISIN US45866F1049
Swaps
Long
122
240.83 USD
Common - ISIN US45866F1049
Swaps
Long
83
240.83 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
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
(ii)
Exercise
Class of relevant security
Product description
e.g. call option
Exercising/
exercised
against 
Number of 
securities 
Exercise Price per 
unit 
N/A
N/A
N/A
N/A
N/A
(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)
N/A
N/A
N/A
N/A
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:
04/05/2016
Contact name:
Harshini Gopa
Telephone number:
+44207 996 3410
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 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: 
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Name of offeror/offeree in relation to whose
relevant securities the disclosure relates: 
Intercontinental Exchange 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
Common - ISIN US45866F1049
Put Option
Short
5,000
230 USD
AMERICAN
16/09/2016
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
dealing 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
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