BARCLAYS PLC FORM 8 (DD) - VANTIV, INC

 
TIDMBARC 
 
 

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:                       Barclays PLC. 
(b)   Owner or controller of interest and short 
      positions disclosed, if different from 1(a): 
(c)   Name of offeror/offeree in relation to whose  VANTIV INC 
      relevant securities this form relates: 
(d)   Status of person making the disclosure:       CONNECTED TO OFFEREE 
(e)   Date position held/dealing undertaken:        14 December 2017 
(f)   In addition to the company in 1(c)            NO 
      above, is the discloser making 
      disclosures in respect of any 
      other party to the offer? 
 
 

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                        USD 0.00001 Class A common 
security:                                " 
                                         Interests                     Short Positions 
                                         Number  (%)                   Number  (%) 
(1)                 Relevant securities 
                    owned 
                    and/or controlled:   17,589  0.01%                 1,137   0.00% 
(2)                 Cash-settled 
                    derivatives: 
                                         0       0.00%                 0       0.00% 
(3)                 Stock-settled 
                    derivatives 
                    (including options) 
                    and agreements to    3,200   0.00%                 46,000  0.03% 
                    purchase/sell: 
(4) 
                    TOTAL:               20,789  0.01%                 47,137  0.03% 
 
 

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).

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            Purchase/sale  Number of   Price per unit 
security                                    securities 
USD 0.00001 Class A common   Purchase       16          74.3893 USD 
 
USD 0.00001 Class A common   Purchase       30          74.5800 USD 
USD 0.00001 Class A common   Purchase       63          74.2615 USD 
USD 0.00001 Class A common   Purchase       72          74.8013 USD 
USD 0.00001 Class A common   Purchase       100         74.2600 USD 
USD 0.00001 Class A common   Purchase       100         74.2300 USD 
USD 0.00001 Class A common   Purchase       100         74.2100 USD 
USD 0.00001 Class A common   Purchase       100         74.9100 USD 
USD 0.00001 Class A common   Purchase       100         74.6900 USD 
USD 0.00001 Class A common   Purchase       100         74.6000 USD 
USD 0.00001 Class A common   Purchase       100         74.5700 USD 
USD 0.00001 Class A common   Purchase       200         74.1600 USD 
USD 0.00001 Class A common   Purchase       200         74.3199 USD 
USD 0.00001 Class A common   Purchase       300         74.4600 USD 
USD 0.00001 Class A common   Purchase       400         74.9225 USD 
USD 0.00001 Class A common   Purchase       453         75.0200 USD 
USD 0.00001 Class A common   Purchase       500         74.2260 USD 
USD 0.00001 Class A common   Purchase       900         74.5722 USD 
USD 0.00001 Class A common   Purchase       900         74.8388 USD 
USD 0.00001 Class A common   Purchase       1,200       75.0183 USD 
USD 0.00001 Class A common   Purchase       1,300       74.8746 USD 
USD 0.00001 Class A common   Purchase       1,700       74.2400 USD 
USD 0.00001 Class A common   Purchase       1,948       75.0594 USD 
USD 0.00001 Class A common   Purchase       2,231       74.8950 USD 
USD 0.00001 Class A common   Purchase       2,600       75.0100 USD 
USD 0.00001 Class A common   Purchase       2,600       74.9984 USD 
USD 0.00001 Class A common   Purchase       2,754       74.2089 USD 
USD 0.00001 Class A common   Purchase       2,837       74.8610 USD 
USD 0.00001 Class A common   Purchase       4,128       74.7001 USD 
USD 0.00001 Class A common   Purchase       7,600       74.8442 USD 
USD 0.00001 Class A common   Purchase       8,800       74.8079 USD 
USD 0.00001 Class A common   Purchase       8,800       74.7221 USD 
USD 0.00001 Class A common   Purchase       10,900      74.7544 USD 
USD 0.00001 Class A common   Purchase       26,539      74.8800 USD 
USD 0.00001 Class A common   Sale           100         74.6200 USD 
USD 0.00001 Class A common   Sale           121         74.6719 USD 
USD 0.00001 Class A common   Sale           200         75.0600 USD 
USD 0.00001 Class A common   Sale           237         74.8500 USD 
USD 0.00001 Class A common   Sale           300         74.9633 USD 
USD 0.00001 Class A common   Sale           300         74.8900 USD 
USD 0.00001 Class A common   Sale           1,254       74.1000 USD 
USD 0.00001 Class A common   Sale           1,500       74.3000 USD 
USD 0.00001 Class A common   Sale           1,900       74.8010 USD 
USD 0.00001 Class A common   Sale           2,110       74.9078 USD 
USD 0.00001 Class A common   Sale           2,400       74.8596 USD 
USD 0.00001 Class A common   Sale           2,800       74.6607 USD 
USD 0.00001 Class A common   Sale           4,400       74.5233 USD 
USD 0.00001 Class A common   Sale           4,478       74.9181 USD 
USD 0.00001 Class A common   Sale           5,000       74.9224 USD 
USD 0.00001 Class A common   Sale           5,600       74.6600 USD 
USD 0.00001 Class A common   Sale           6,553       75.0097 USD 
USD 0.00001 Class A common   Sale           10,600      74.7473 USD 
USD 0.00001 Class A common   Sale           12,800      74.7836 USD 
USD 0.00001 Class A common   Sale           25,145      74.8800 USD 
 
 

(ii) Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected adviser

 
Class of   Purchases/ sales  Total number of  Highest price  Lowest price 
relevant                     securities       per unit       per unit 
security                                      paid/received  paid/received 
 
 

(b) Cash-settled derivative transactions

 
Class of relevant   Product      Nature of            Number of reference  Price per unit 
security            description  dealing              securities 
                    e.g. CFD     e.g. 
                                 opening/closing 
                                 a long/short 
                                 position, 
                                 increasing/reducing 
                                 a long/short 
                                 position 
 
 

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

 
Class of   Product          Writing,      Number         Exercise price  Type            Expiry date  Option money 
relevant   descriptione.g.  purchasing,   of securities  per unit        e.g. American,               paid/ 
security   call             selling,      to                             European etc.                received 
           option           varying etc.  which option                                                per unit 
                                          relates 
 
 

(ii) Exercise

 
Class of relevant   Product      Exercising/  Number         Exercise price 
security            description  exercised    of securities  per unit 
                    e.g. call    against 
                    option 
 
 

(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 
 
 

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:                    15 Dec 2017 
Contact name:                          Jay Supaya 
Telephone number:                      020 7773 0635 
 
 

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 dealing disclosure requirements on [phone].

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

 
Identity of the person whose positions/dealings   Barclays PLC. 
are being disclosed: 
Name of offeror/offeree in relation to whose      VANTIV INC 
relevant securities this from relates: 
 
 

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

 
Class      Product      Writing,     Number      Exercise  Type      Expiry 
of         description  purchasing,  of          price               date 
relevant                selling,     securities  per unit 
security                varying etc  to which 
                                     option 
                                     relates 
USD        Call         Written      -300        60.0000   American  18 May 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Written      200         70.0000   American  18 May 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -100        50.0000   American  18 May 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Purchased    2,000       60.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -200        75.0000   American  19 Jan 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -400        75.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -14,500     75.0000   American  15 Dec 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -100        35.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -100        80.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -200        65.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -200        85.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -500        80.0000   American  19 Jan 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -700        70.0000   American  15 Dec 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -1,500      70.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -5,700      75.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -15,500     70.0000   American  18 May 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Written      400         70.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -500        105.0000  American  18 Jan 2019 
0.00001    Options 
Class 
A 
common 
USD        Call         Purchased    600         65.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -200        70.0000   American  17 Jan 2020 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -200        70.0000   American  19 Jan 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -100        50.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -2,000      45.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -3,000      70.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
 
 

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: 
 
 

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 [phone].

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

View source version on businesswire.com: http://www.businesswire.com/news/home/20171215005249/en/

 
This information is provided by Business Wire 
 
 

(END) Dow Jones Newswires

December 15, 2017 06:31 ET (11:31 GMT)