REG-Neuberger Berman Group LLC: Form 8.3 - Intercontinental Exchange Group <Origin Href="QuoteRef">ICE.N</Origin>
04/05/2016 14:55
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) Identity of the person whose positions/dealings Neuberger Berman Group LLC
are being disclosed:
(b) Owner or controller of interests and short
positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient
(c) Name of offeror/offeree in relation to whose Intercontinental Exchange Group
relevant securities this form relates:
Use a separate form for each offeror/offeree
(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: 3/05/2016
(f) Has the discloser previously disclosed, or are YES; London Stock Exchange Group
they today disclosing, under the Code in respect of PLC (LSE) and Deutsche Boerse AG
any other party to this offer? (DB1.GR)
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(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 Common Stock
Interests Short positions
Number % Number %
(1) Relevant securities owned and/ 1,655,538 1.39 0 0
or controlled:
(2) Derivatives (other than 0 0 0 0
options):
(3) Options and agreements to 0 0 0 0
purchase/sell:
1,655,538** 1.39 0 0
TOTAL:
**In addition to the purchase and sell transactions reported below, the change
in the Firm's position as compared to its last report filed with the Takeover
Panel was caused by non-purchase/sell transactions (e.g. journal, transfers)
that resulted in decrease in the Firm's position of 22,922 shares.
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, 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 executive options)
Class of relevant security in relation to
which subscription right exists:
Details, including nature of the rights
concerned and relevant percentages:
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.
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
Class of relevant Purchase/sale Number of securities Price per unit
security
Ordinary Sell 45 238.41
Ordinary Sell 1 238.75
Ordinary Sell 1 240.01
Ordinary Sell 9 238.65
Ordinary Sell 2 240.70
Ordinary Buy 20 238.82
Ordinary Buy 4 240.57
(b) Derivatives transactions (other than options)
Class of Product Nature of dealing Number of Price per unit
relevant description e.g. opening/closing a reference
security e.g. CFD long/short position, securities
increasing/reducing a
long/short position
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry Option
relevant description purchasing, securities price per e.g. date money
security e.g. call selling, to which unit American, paid/
option varying etc. option European received
relates etc. per unit
(ii) Exercising
Class of relevant Product description Number of securities Exercise price per
security e.g. call option unit
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit (if
security e.g. subscription, applicable)
conversion
The currency of all prices and other monetary amounts should be stated.
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.
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:
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? NO
Date of disclosure: 4/05/2016
Contact name: Stacy Miller
Telephone number: 212-497-4663
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 http://
www.thetakeoverpanel.org.uk/.
END
Copyright © 2016 PR Newswire Association, LLC. All Rights ReservedRecent news on Intercontinental Exchange
See all newsREG - Paragon Mortgages 12 - Notice of Adjourned Meeting
AnnouncementREG - Paragon Mortgages 12 - Notice of Adjourned Meeting
AnnouncementREG - Paragon Mortgages 12 - Notice of Adjourned Meeting
AnnouncementREG - Paragon Mortgages 12 - Notice of Meeting (Class A1)
AnnouncementREG - Paragon Mortgages 12 - Notice of Meeting (Class C1b)
Announcement