TIDM0HR2
RNS Number : 1908N
Bank of America Merrill Lynch
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: MERRILL LYNCH, PIERCE, FENNER
& SMITH INCORPORATED
------------------------------------------------------------------------------------- -------------------------------
(b) Name of offeror/offeree in relation to whose CME Group Inc
relevant securities this form relates:
Use a separate form for each offeror/offeree
------------------------------------------------------------------------------------- -------------------------------
(c) Name of the party to the offer with which exempt principal trader is connected: NEX Group PLC
------------------------------------------------------------------------------------- -------------------------------
(d) Date position held/dealing undertaken: 03/05/2018
For an opening position disclosure, state the latest
practicable date prior to the disclosure
------------------------------------------------------------------------------------- -------------------------------
(e) In addition to the company in 1(b) above, is the NO
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"
------------------------------------------------------------------------------------- -------------------------------
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 - US12572Q1058
------------------------------------- ------------------------------------
Interests Short Positions
------------------------------------- ---------------- ------------------
Number % Number %
------------------------------------- ------- ------- -------- --------
(1) Relevant securities owned
and/or controlled: 67,227 0.020% 29,917 0.009%
------------------------------------- ------- ------- -------- --------
(2) Cash-settled derivatives: 1,019 0% 19,442 0.006%
------------------------------------- ------- ------- -------- --------
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell: 10,400 0.003% 1,700 0%
------------------------------------- ------- ------- -------- --------
TOTAL: 78,646 0.023% 51,059 0.015%
------------------------------------- ------- ------- -------- --------
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 N/A
which subscription right exists:
------------------------------------------
Details, including nature of the rights N/A
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/ Total number of securities Highest price Lowest price
sales per unit per unit
paid/received paid/received
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN US12572Q1058 Purchase 7,097 165.041 USD 155.075 USD
--------------------------- ----------- --------------------------- --------------- ---------------
Common - ISIN US12572Q1058 Sale 3,196 157.97 USD 154.852 USD
--------------------------- ----------- --------------------------- --------------- ---------------
(b) Cash-settled derivative transactions
Class of Product Nature of Number Price
description dealing of reference per unit
securities
-------------- ----------
relevant security e.g. CFD e.g. opening/closing
a
-------------- ----------
long/short
position,
increasing/reducing
a
long/short
position
------------------ ------------- --------------------- -------------- ----------
Common - ISIN Swaps Short 6,853 157.02
US12572Q1058 USD
------------------ ------------- --------------------- -------------- ----------
Common - ISIN Swaps Short 196 157.025
US12572Q1058 USD
------------------ ------------- --------------------- -------------- ----------
(c) Stock-settled derivative transactions
(including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry date Option money
of description purchasing, of price e.g. paid/
relevant e.g. call selling, securities to per unit American, received per
security option varying etc. which option European etc. unit
relates
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
N/A N/A N/A N/A N/A N/A N/A N/A
-------------- ------------- ------------- -------------- ---------- -------------- ------------ --------------
(ii) Exercise
Class of relevant security Product description Exercising/ Number of Exercise Price per
e.g. call option exercised securities unit
against
--------------------------- -------------------- ------------ ------------ -------------------
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 Details Price per unit (if applicable)
e.g. subscription, conversion
--------------------------- ------------------------------- -------- -------------------------------
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? No
---------------------------------------------------- ---
Date of disclosure: 04/05/2018
--------------------- ----------------
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.
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: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
----------------------------------------------------------------- ---------------------------------------------------
Name of offeror/offeree in relation to whose CME Group Inc
relevant securities the disclosure relates:
----------------------------------------------------------------- ---------------------------------------------------
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 e.g.
security e.g. call which option or American,
option derivative European
relates etc.
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Call Option Short 100 160 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Call Option Short 500 185 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Call Option Short 400 190 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Call Option Short 700 210 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 1,600 100 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 1,300 110 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 1,200 115 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 1,100 120 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 1,000 125 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 900 130 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 800 140 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 800 145 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 700 150 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 700 155 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
Common - ISIN Put Option Short 300 160 USD AMERICAN 18/01/2019
US12572Q1058
---------------- ----------------- ----------------- ---------------- ----------------- ----------- ------------
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
END
FEOAIMMTMBJMBPP
(END) Dow Jones Newswires
May 04, 2018 06:39 ET (10:39 GMT)
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