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:        19 October 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:   4,950   0.00%  39      0.00% 
(2)                 Cash-settled 
                    derivatives: 
                                         0       0.00%  0       0.00% 
(3)                 Stock-settled 
                    derivatives 
                    (including options) 
                    and agreements to    9,800   0.01%  19,300  0.01% 
                    purchase/sell: 
(4) 
                    TOTAL:               14,750  0.01%  19,339  0.01% 
 
 

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       4           68.9600 USD 
USD 0.00001 Class A common   Purchase       39          68.7400 USD 
USD 0.00001 Class A common   Purchase       100         69.0600 USD 
USD 0.00001 Class A common   Purchase       100         68.8400 USD 
USD 0.00001 Class A common   Purchase       102         68.7933 USD 
USD 0.00001 Class A common   Purchase       163         68.9891 USD 
USD 0.00001 Class A common   Purchase       190         68.9573 USD 
USD 0.00001 Class A common   Purchase       200         68.9300 USD 
USD 0.00001 Class A common   Purchase       210         68.9361 USD 
USD 0.00001 Class A common   Purchase       300         69.0666 USD 
USD 0.00001 Class A common   Purchase       374         68.9819 USD 
USD 0.00001 Class A common   Purchase       400         68.9150 USD 
USD 0.00001 Class A common   Purchase       600         69.1300 USD 
USD 0.00001 Class A common   Purchase       800         68.5009 USD 
USD 0.00001 Class A common   Purchase       1,500       68.6513 USD 
USD 0.00001 Class A common   Purchase       1,600       68.7168 USD 
USD 0.00001 Class A common   Purchase       3,211       68.6858 USD 
USD 0.00001 Class A common   Purchase       3,436       68.8394 USD 
USD 0.00001 Class A common   Purchase       6,181       68.7612 USD 
USD 0.00001 Class A common   Purchase       7,152       68.9151 USD 
USD 0.00001 Class A common   Purchase       9,900       68.9438 USD 
USD 0.00001 Class A common   Purchase       11,183      68.8063 USD 
USD 0.00001 Class A common   Purchase       19,900      68.8583 USD 
USD 0.00001 Class A common   Purchase       21,200      68.7928 USD 
USD 0.00001 Class A common   Purchase       27,517      68.8664 USD 
USD 0.00001 Class A common   Purchase       300,083     69.1100 USD 
USD 0.00001 Class A common   Sale           83          68.7200 USD 
USD 0.00001 Class A common   Sale           100         68.6100 USD 
USD 0.00001 Class A common   Sale           200         68.4950 USD 
USD 0.00001 Class A common   Sale           200         68.5100 USD 
USD 0.00001 Class A common   Sale           400         68.4993 USD 
USD 0.00001 Class A common   Sale           500         69.1300 USD 
USD 0.00001 Class A common   Sale           5,884       68.8841 USD 
USD 0.00001 Class A common   Sale           7,621       68.9154 USD 
USD 0.00001 Class A common   Sale           8,700       68.9735 USD 
USD 0.00001 Class A common   Sale           14,400      68.8498 USD 
USD 0.00001 Class A common   Sale           16,700      68.8331 USD 
USD 0.00001 Class A common   Sale           25,474      68.7937 USD 
USD 0.00001 Class A common   Sale           36,061      68.8202 USD 
USD 0.00001 Class A common   Sale           300,083     69.1100 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:                    20 Oct 2017 
Contact name:                          Femi Badmos 
Telephone number:                      020 3555 1125 
 
 

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        Put          Written      800         70.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -100        70.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -100        75.0000   American  20 Oct 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Written      3,200       70.0000   American  20 Oct 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -100        50.0000   American  18 May 2018 
0.00001    Options 
Class 
A 
common 
USD        Put          Written      2,400       60.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Purchased    2,000       60.0000   American  16 Feb 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      -1,700      75.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -100        35.0000   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      -200        80.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -500        70.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -600        75.0000   American  16 Feb 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      -11,500     65.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Purchased    600         65.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Purchased    400         60.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -1,600      65.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -2,000      45.0000   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/20171020005338/en/

 
This information is provided by Business Wire 
 
 

(END) Dow Jones Newswires

October 20, 2017 07:00 ET (11:00 GMT)