TIDM0HR2
RNS Number : 1928N
J.P. Morgan Securities LLC
04 May 2018
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
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(b) Name of offeror/offeree in relation to whose relevant securities this form CME Group Inc.
relates:
Use a separate form for each offeror/offeree
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(c) Name of the party to the offer with which exempt principal trader is Financial Advisor to CME Group Inc.
connected:
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(d) Date position held/dealing undertaken: 03 May 2018
For an opening position disclosure, state the latest practicable date prior to
the disclosure
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(e) In addition to the company in 1(b) above, is the exempt principal trader No
making disclosures
in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
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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
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Interests Short positions
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Number % Number %
----------------------------------------------------- ---------- --------------- ----------------- ---------------
(1) Relevant securities owned and/or controlled: 888,381 0.26 764,646 0.22
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(2) Cash-settled derivatives: 636,363 0.19 947,603 0.28
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(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 110,000 0.03 2,400 0.00
----------------------------------------------------- ---------- --------------- ----------------- ---------------
TOTAL: 1,634,744 0.48 1,714,649 0.50
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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:
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Details, including nature of the rights concerned and relevant percentages:
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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 Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
(USD) (USD)
----------------------- ----------------- ------------------------ ----------------------- -----------------------
Common Stock Purchases 31,328 157.0200 155.8100
Sales 2,314 157.0600 155.8100
----------------------- ----------------- ------------------------ ----------------------- -----------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities (USD)
long/short position,
increasing/reducing a
long/short position
------------------------- -------------------- ------------------------- ------------------------- ---------------
Common Stock
------------------------- -------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
------------- ------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
----------------------- -------------------- ----------------------- --------------------- -----------------------
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
--------------------------- ------------------------------- -------- -------------------------------
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"
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None
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(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"
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None
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? YES
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Date of disclosure: 04 May 2018
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Contact name: Alwyn Basch
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Telephone number: 020 7742 7407
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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
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Name of offeror/offeree in relation to whose relevant securities the disclosure relates: CME Group Inc.
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2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of Product Written or Number of Exercise price Type Expiry date
relevant description purchased securities to per unit (USD) e.g. American,
security e.g. call which option European etc.
option or derivative
relates
---------------- --------------- ---------------- --------------- ---------------- ---------------- ------------
Common Stock Call Option Purchased 55,000 145.00 American 18/01/2019
Put Option Purchased 2,400 155.00 American 17/01/2020
Put Option Written 55,000 115.00 American 18/01/2019
---------------- --------------- ---------------- --------------- ---------------- ---------------- ------------
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:
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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 company news service from the London Stock Exchange
END
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