BARCLAYS PLC Form 8 (DD) - VANTIV PLC

 
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:        24 July 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                    USD 0.00001 
relevant                    Class 
security:                   A common 
                            Interests           Short Positions 
                            Number       (%)    Number           (%) 
(1)         Relevant 
            securities 
            owned 
            and/or          29,817       0.02%  0                0.00% 
            controlled: 
(2)         Cash-settled 
            derivatives: 
                            0            0.00%  0                0.00% 
(3)         Stock-settled 
            derivatives 
            (including 
            options) 
            and agreements  1,200        0.00%  108,800          0.07% 
            to 
            purchase/sell: 
(4) 
            TOTAL:          31,017       0.02%  108,800          0.07% 
 
 

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       35          64.2300 USD 
USD 0.00001 Class A common   Purchase       55          64.1423 USD 
USD 0.00001 Class A common   Purchase       79          64.5496 USD 
USD 0.00001 Class A common   Purchase       100         64.4700 USD 
USD 0.00001 Class A common   Purchase       100         64.3350 USD 
USD 0.00001 Class A common   Purchase       100         64.6500 USD 
USD 0.00001 Class A common   Purchase       100         64.3300 USD 
USD 0.00001 Class A common   Purchase       100         64.3200 USD 
USD 0.00001 Class A common   Purchase       171         64.4500 USD 
USD 0.00001 Class A common   Purchase       258         64.2407 USD 
USD 0.00001 Class A common   Purchase       300         63.9100 USD 
USD 0.00001 Class A common   Purchase       300         64.4550 USD 
USD 0.00001 Class A common   Purchase       406         64.4217 USD 
USD 0.00001 Class A common   Purchase       763         64.0015 USD 
USD 0.00001 Class A common   Purchase       1,000       64.4495 USD 
USD 0.00001 Class A common   Purchase       1,100       64.3259 USD 
USD 0.00001 Class A common   Purchase       1,175       64.3424 USD 
USD 0.00001 Class A common   Purchase       1,193       63.9789 USD 
USD 0.00001 Class A common   Purchase       1,600       64.4087 USD 
USD 0.00001 Class A common   Purchase       1,613       64.4300 USD 
USD 0.00001 Class A common   Purchase       2,000       64.2990 USD 
USD 0.00001 Class A common   Purchase       2,697       64.2575 USD 
USD 0.00001 Class A common   Purchase       3,400       64.2059 USD 
USD 0.00001 Class A common   Purchase       3,653       64.1449 USD 
USD 0.00001 Class A common   Purchase       4,949       64.0840 USD 
USD 0.00001 Class A common   Purchase       5,800       64.2717 USD 
USD 0.00001 Class A common   Purchase       12,151      64.0848 USD 
USD 0.00001 Class A common   Sale           19          64.5903 USD 
USD 0.00001 Class A common   Sale           20          64.5300 USD 
USD 0.00001 Class A common   Sale           35          64.2300 USD 
USD 0.00001 Class A common   Sale           40          64.5400 USD 
USD 0.00001 Class A common   Sale           100         64.0529 USD 
USD 0.00001 Class A common   Sale           100         64.2400 USD 
USD 0.00001 Class A common   Sale           100         64.3975 USD 
USD 0.00001 Class A common   Sale           200         64.3250 USD 
USD 0.00001 Class A common   Sale           663         63.9656 USD 
USD 0.00001 Class A common   Sale           1,300       64.0332 USD 
USD 0.00001 Class A common   Sale           1,471       64.4520 USD 
USD 0.00001 Class A common   Sale           1,713       64.4300 USD 
USD 0.00001 Class A common   Sale           1,859       64.3530 USD 
USD 0.00001 Class A common   Sale           1,900       64.2921 USD 
USD 0.00001 Class A common   Sale           2,435       64.2966 USD 
USD 0.00001 Class A common   Sale           3,300       64.2513 USD 
USD 0.00001 Class A common   Sale           4,800       64.3478 USD 
USD 0.00001 Class A common   Sale           25,043      64.1063 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" 
 
 

(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" 
 
 

(c)Attachments

Are any Supplemental Forms attached?

 
Supplemental Form 8 (Open Positions)   YES 
Supplemental Form 8 (SBL)              NO 
Date of disclosure:                    25 Jul 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        Put          Purchased    -400        55.0000   American  18 Aug 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -1,200      70.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -1,500      60.0000   American  18 Aug 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Written      600         60.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -500        75.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Purchased    100         55.0000   American  18 Aug 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -100        70.0000   American  16 Feb 2018 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -8,400      65.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -19,600     65.0000   American  18 Aug 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Written      -71,700     70.0000   American  18 Aug 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -3,300      60.0000   American  18 Aug 2017 
0.00001    Options 
Class 
A 
common 
USD        Call         Purchased    500         60.0000   American  17 Nov 2017 
0.00001    Options 
Class 
A 
common 
USD        Put          Purchased    -2,100      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/20170725005718/en/

 
This information is provided by Business Wire 
 
 

(END) Dow Jones Newswires

July 25, 2017 06:39 ET (10:39 GMT)