Form 8 (DD) - ICE

Form 8 (DD) - ICE

BARCLAYS PLC

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:	Â	Barclays Plc
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.		Â
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree		Intercontinental Exchange, Inc.
(d) Status of person making the disclosure: e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)		Connected to London Stock Exchange Group Plc
(e) Date dealing undertaken:		15 March 2016
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A”		YES / NO / N/A If YES, specify which:

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 security:	Â	Â
Â		Interests			Â	Short positions
		Number	Â	%		Number	Â	%
(1) Relevant securities owned and/or controlled:		22,467		0.02		11,479		0.01
(2) Cash-settled derivatives:		3,672		0.00		Â		Â
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:		44,200		0.04		15,700		0.01
TOTAL:		70,339		0.06		27,179		0.02

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:	Â
Details, including nature of the rights concerned and relevant percentages:	Â

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 security	Â	Purchase/sale	Â	Number of securities	Â	Price per unit (in USD)
							Â
USD 0.01 common stock		Purchase		10		235.8000
USD 0.01 common stock		Purchase		16		235.6600
USD 0.01 common stock		Purchase		33		236.0400
USD 0.01 common stock		Purchase		100		236.0700
USD 0.01 common stock		Purchase		125		236.0464
USD 0.01 common stock		Purchase		125		237.8749
USD 0.01 common stock		Purchase		200		237.1950
USD 0.01 common stock		Purchase		237		236.3200
USD 0.01 common stock		Purchase		345		237.1889
USD 0.01 common stock		Purchase		372		237.1023
USD 0.01 common stock		Purchase		414		236.2693
USD 0.01 common stock		Purchase		500		236.2810
USD 0.01 common stock		Purchase		500		236.1120
USD 0.01 common stock		Purchase		600		236.5883
USD 0.01 common stock		Purchase		678		236.2551
USD 0.01 common stock		Purchase		820		236.1023
USD 0.01 common stock		Purchase		853		237.1399
USD 0.01 common stock		Purchase		900		237.5677
USD 0.01 common stock		Purchase		1,007		236.1998
USD 0.01 common stock		Purchase		1,008		237.2485
USD 0.01 common stock		Purchase		1,715		236.4161
USD 0.01 common stock		Purchase		1,717		236.3967
USD 0.01 common stock		Purchase		1,755		236.3730
USD 0.01 common stock		Purchase		1,800		237.0143
USD 0.01 common stock		Purchase		1,964		236.3730
USD 0.01 common stock		Purchase		1,996		236.6602
USD 0.01 common stock		Purchase		2,000		236.2103
USD 0.01 common stock		Purchase		2,400		236.9043
USD 0.01 common stock		Purchase		2,600		237.2654
USD 0.01 common stock		Purchase		10,207		236.5500
USD 0.01 common stock		Sale		1		237.6700
USD 0.01 common stock		Sale		3		236.9000
USD 0.01 common stock		Sale		100		236.6540
USD 0.01 common stock		Sale		120		236.5418
USD 0.01 common stock		Sale		160		236.7042
USD 0.01 common stock		Sale		300		236.9617
USD 0.01 common stock		Sale		500		236.0910
USD 0.01 common stock		Sale		600		235.9225
USD 0.01 common stock		Sale		656		236.7028
USD 0.01 common stock		Sale		801		236.0654
USD 0.01 common stock		Sale		1,142		236.1080
USD 0.01 common stock		Sale		1,200		236.0721
USD 0.01 common stock		Sale		1,200		236.4550
USD 0.01 common stock		Sale		1,446		236.3407
USD 0.01 common stock		Sale		1,546		236.2908
USD 0.01 common stock		Sale		1,964		236.3730
USD 0.01 common stock		Sale		3,980		236.9356
USD 0.01 common stock		Sale		4,200		236.9514
USD 0.01 common stock		Sale		5,933		237.0828
USD 0.01 common stock		Sale		10,616		236.5500

(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 relevant security

Purchases/ sales

Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

(b) Cash-settled derivative transactions

Class of relevant security

Product description e.g. CFD

Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

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

(i) Writing, selling, purchasing or varying

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type e.g. American, European etc.

Expiry date

Option money paid/ received per unit

(ii) Exercise

Class of relevant security

Product description e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealing e.g. subscription, conversion

Details

Price per unit (if applicable)

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/NO
Supplemental Form 8 (SBL)	YES/NO

Date of disclosure:	Â	16 March 2016
Contact name:		Rajesh Muthanna
Telephone number:		020 3555 4634

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [e-mail]. 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

Full name of person making disclosure:	Â	Barclays Plc
Name of offeror/offeree in relation to whose relevant securities the disclosure relates:		Intercontinental Exchange, Inc.

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class of relevant security	Â	Product description e.g. call option	Â	Written or purchased	Â	Number of securities to which option or derivative relates	Â	Exercise price per unit	Â	Type e.g. American, European etc.	Â	Expiry Date
USD 0.01 common stock		Put Option		Purchased		-100		210		American		15042016
USD 0.01 common stock		Put Option		Purchased		-100		260		American		17062016
USD 0.01 common stock		Put Option		Purchased		-300		220		American		16092016
USD 0.01 common stock		Put Option		Purchased		-500		260		American		18032016
USD 0.01 common stock		Put Option		Purchased		-600		210		American		17062016
USD 0.01 common stock		Put Option		Purchased		-800		250		American		18032016
USD 0.01 common stock		Put Option		Purchased		-3300		220		American		17062016
USD 0.01 common stock		Put Option		Purchased		-5000		230		American		18032016
USD 0.01 common stock		Call Option		Purchased		100		260		American		15042016
USD 0.01 common stock		Call Option		Purchased		100		240		American		17062016
USD 0.01 common stock		Call Option		Purchased		100		230		American		18032016
USD 0.01 common stock		Call Option		Purchased		200		250		American		18032016
USD 0.01 common stock		Call Option		Purchased		300		250		American		16092016
USD 0.01 common stock		Call Option		Purchased		300		260		American		16092016
USD 0.01 common stock		Call Option		Purchased		300		280		American		18032016
USD 0.01 common stock		Call Option		Purchased		800		270		American		15042016
USD 0.01 common stock		Call Option		Purchased		900		270		American		17062016
USD 0.01 common stock		Call Option		Purchased		1400		240		American		15042016
USD 0.01 common stock		Call Option		Purchased		1600		280		American		17062016
USD 0.01 common stock		Call Option		Purchased		17900		240		American		18032016
USD 0.01 common stock		Put Option		Written		100		200		American		15042016
USD 0.01 common stock		Put Option		Written		100		230		American		17062016
USD 0.01 common stock		Put Option		Written		900		220		American		18032016
USD 0.01 common stock		Put Option		Written		1400		240		American		18032016
USD 0.01 common stock		Put Option		Written		1500		195		American		18032016
USD 0.01 common stock		Put Option		Written		1600		250		American		17062016
USD 0.01 common stock		Put Option		Written		14600		200		American		18032016
USD 0.01 common stock		Call Option		Written		-100		250		American		17062016
USD 0.01 common stock		Call Option		Written		-300		220		American		16092016
USD 0.01 common stock		Call Option		Written		-1300		270		American		18032016
USD 0.01 common stock		Call Option		Written		-3300		260		American		18032016

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.

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