REG - Goldman Sachs & Co. Intercontinental Exc - Form 8 (DD) - <Origin Href="NewsSearch">ICE</Origin> <Origin Href="QuoteRef">ICE.N</Origin>

Intercontinental ExchangeAnnouncement

05/05/2016 11:35

RNS Number : 3752X
Goldman Sachs & Co.
05 May 2016
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:
(GS) GOLDMAN, SACHS & CO.
(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
INTERCONTINENTAL EXCHANGE, 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)
Advisor to LONDON STOCK EXCHANGE GROUP PLC
(e) Date dealing undertaken:
04 May 2016
(f) In addition to the company in 1(c) above, is discoloser 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 - disclosed previously for DEUTSCHE BOERSE AG & LONDON STOCK EXCHANGE 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
Class of relevant security:
Ordinary

Interests
Short positions

Number
%
Number
%
(1) Relevant securities owned and/or controlled:
365,635
0.30
95,442
0.08
(2) Cash-settled derivatives:
7,825
0.00
62,475
0.05
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
16,500
0.01
137,400
0.11
 TOTAL:
389,960
0.32
295,317
0.24
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (included 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 security
Purchase/sale
Number of securities
Price per unit




(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected advisor
Class of relevant security
Purchases/ sales
Total number of securities
Highest price per unit paid/received
Lowest price per unit paid/received
Ordinary
Purchases
36,720
260.4900 USD
256.2800 USD
Ordinary
Sales
37,942
260.9000 USD
257.0800 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
Ordinary
CFD
Reducing a short position
565
258.2599 USD
Ordinary
CFD
Reducing a short position
246
258.2599 USD
Ordinary
CFD
Reducing a short position
38
258.3768 USD
Ordinary
CFD
Increasing a long position
755
258.4900 USD
Ordinary
CFD
Increasing a short position
53
258.7433 USD
Ordinary
CFD
Increasing a short position
72
258.7433 USD
Ordinary
CFD
Increasing a short position
7
258.7433 USD
Ordinary
CFD
Increasing a short position
9
258.7433 USD
Ordinary
SWAP
Reducing a short position
21
258.2600 USD
Ordinary
SWAP
Reducing a short position
868
258.3770 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
Ordinary
Call Option / (1.00 : 100.00)
Selling
1 (100)
240.0000 USD
AMERICAN
20/05/2016
20.0000 USD
Ordinary
Call Option / (1.00 : 100.00)
Selling
1 (100)
240.0000 USD
AMERICAN
20/05/2016
20.0000 USD
Ordinary
Call Option / (1.00 : 100.00)
Selling
3 (300)
260.0000 USD
AMERICAN
20/05/2016
5.0000 USD
Ordinary
Call Option / (1.00 : 100.00)
Selling
5 (500)
300.0000 USD
AMERICAN
17/06/2016
0.1000 USD
Ordinary
Put Option / (1.00 : 100.00)
Purchasing
1 (100)
240.0000 USD
AMERICAN
16/12/2016
10.9000 USD
Ordinary
Put Option / (1.00 : 100.00)
Selling
8 (800)
170.0000 USD
AMERICAN
17/06/2016
0.1500 USD
Ordinary
Put Option / (1.00 : 100.00)
Selling
7 (700)
185.0000 USD
AMERICAN
20/05/2016
0.0300 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:
05 May 2016
Contact name:
Joanna Foley and Yiannis Bardis
Telephone number:
+44(20) 7051 9996 / +44(20) 7774 7107
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 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, AGREEMENT 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:
(GS) GOLDMAN, SACHS & CO.
 Name of offeror/offeree in relation to whose relevant securities 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
Ordinary
Call Option
Purchased
100
180.0000 USD
AMER
16/09/2016
Ordinary
Call Option
Purchased
100
230.0000 USD
AMER
16/09/2016
Ordinary
Call Option
Purchased
100
270.0000 USD
AMER
17/06/2016
Ordinary
Call Option
Purchased
100
270.0000 USD
AMER
16/09/2016
Ordinary
Call Option
Purchased
100
300.0000 USD
AMER
17/06/2016
Ordinary
Call Option
Sold
100
300.0000 USD
AMER
16/09/2016
Ordinary
Call Option
Sold
100
310.0000 USD
AMER
16/09/2016
Ordinary
Call Option
Sold
200
240.0000 USD
AMER
20/05/2016
Ordinary
Call Option
Purchased
200
240.0000 USD
AMER
17/06/2016
Ordinary
Call Option
Sold
200
260.0000 USD
AMER
17/06/2016
Ordinary
Call Option
Purchased
400
260.0000 USD
AMER
16/09/2016
Ordinary
Call Option
Sold
500
310.0000 USD
AMER
17/06/2016
Ordinary
Call Option
Purchased
600
250.0000 USD
AMER
17/06/2016
Ordinary
Call Option
Purchased
600
260.0000 USD
AMER
20/05/2016
Ordinary
Call Option
Sold
700
280.0000 USD
AMER
17/06/2016
Ordinary
Call Option
Sold
4,700
240.0000 USD
AMER
20/05/2016
Ordinary
Call Option
Sold
7,100
250.0000 USD
AMER
20/05/2016
Ordinary
Put Option
Sold
100
130.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Purchased
100
145.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Purchased
100
155.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Purchased
100
170.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Sold
100
175.0000 USD
AMER
16/12/2016
Ordinary
Put Option
Sold
100
180.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Sold
100
180.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Sold
100
185.0000 USD
AMER
16/12/2016
Ordinary
Put Option
Sold
100
190.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Sold
100
195.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Purchased
100
210.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Sold
100
220.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Sold
100
240.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Purchased
100
240.0000 USD
AMER
16/12/2016
Ordinary
Put Option
Purchased
100
250.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Sold
200
165.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Purchased
300
150.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Sold
300
165.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Purchased
300
185.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Sold
400
135.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Purchased
500
170.0000 USD
AMER
16/12/2016
Ordinary
Put Option
Purchased
500
220.0000 USD
AMER
20/05/2016
Ordinary
Put Option
Purchased
500
230.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Purchased
500
230.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Purchased
600
240.0000 USD
AMER
20/05/2016
Ordinary
Put Option
Sold
700
170.0000 USD
AMER
17/06/2016
Ordinary
Put Option
Sold
700
185.0000 USD
AMER
20/05/2016
Ordinary
Put Option
Purchased
800
125.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Purchased
1,400
160.0000 USD
AMER
16/09/2016
Ordinary
Put Option
Sold
3,400
230.0000 USD
AMER
20/05/2016
Ordinary
Put Option
Sold
7,600
210.0000 USD
AMER
20/05/2016
Ordinary
Put Option
Purchased
58,900
210.0000 USD
AMER
20/05/2016
Ordinary
Put Option
Purchased
58,900
220.0000 USD
AMER
20/05/2016
3. AGREEMENTS TO PURCHASE OR SELL
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 Supplement form (Open Positions) with regard to cash-settled derivatives.
The currency of all pieces 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 company news service from the London Stock Exchange
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