Form 8 (DD) - VANTIV INC

Form 8 (DD) - VANTIV INC

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:   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 THE OFFEREE
(e) Date position held/dealing undertaken: 10 July 2017
(f) In addition to the company in 1(c) above, is the discloser making NO
  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 security:   USD 0.00001 Class A common
  Interests   Short Positions
    Number   (%) Number   (%)
(1) Relevant securities owned
and/or controlled: 17,428 0.01% 0 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 10,200 0.01% 8,900 0.01%
           
 
TOTAL: 27,628 0.02% 8,900 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 16 61.1000 USD
USD 0.00001 Class A common Purchase 29 61.7000 USD
USD 0.00001 Class A common Purchase 100 62.1000 USD
USD 0.00001 Class A common Purchase 100 61.7450 USD
USD 0.00001 Class A common Purchase 150 61.2033 USD
USD 0.00001 Class A common Purchase 166 61.1200 USD
USD 0.00001 Class A common Purchase 264 62.1039 USD
USD 0.00001 Class A common Purchase 280 61.9728 USD
USD 0.00001 Class A common Purchase 300 62.0800 USD
USD 0.00001 Class A common Purchase 400 61.9612 USD
USD 0.00001 Class A common Purchase 415 62.0000 USD
USD 0.00001 Class A common Purchase 500 61.6000 USD
USD 0.00001 Class A common Purchase 500 61.9610 USD
USD 0.00001 Class A common Purchase 510 61.9600 USD
USD 0.00001 Class A common Purchase 524 61.8326 USD
USD 0.00001 Class A common Purchase 600 61.7462 USD
USD 0.00001 Class A common Purchase 700 61.4328 USD
USD 0.00001 Class A common Purchase 800 61.8025 USD
USD 0.00001 Class A common Purchase 900 61.0500 USD
USD 0.00001 Class A common Purchase 900 61.8261 USD
USD 0.00001 Class A common Purchase 1,000 61.5512 USD
USD 0.00001 Class A common Purchase 1,000 62.0050 USD
USD 0.00001 Class A common Purchase 1,284 61.6942 USD
USD 0.00001 Class A common Purchase 1,400 61.4414 USD
USD 0.00001 Class A common Purchase 1,800 62.0891 USD
USD 0.00001 Class A common Purchase 2,100 62.0830 USD
USD 0.00001 Class A common Purchase 2,155 62.0100 USD
USD 0.00001 Class A common Purchase 3,417 61.6870 USD
USD 0.00001 Class A common Purchase 3,875 61.7500 USD
USD 0.00001 Class A common Purchase 5,399 61.6077 USD
USD 0.00001 Class A common Purchase 6,006 61.7469 USD
USD 0.00001 Class A common Purchase 6,699 61.7950 USD
USD 0.00001 Class A common Purchase 7,900 61.5417 USD
USD 0.00001 Class A common Purchase 8,000 61.3868 USD
USD 0.00001 Class A common Purchase 8,600 61.5916 USD
USD 0.00001 Class A common Purchase 10,132 61.0168 USD
USD 0.00001 Class A common Sale 16 61.1000 USD
USD 0.00001 Class A common Sale 50 61.2100 USD
USD 0.00001 Class A common Sale 75 61.1100 USD
USD 0.00001 Class A common Sale 100 61.5400 USD
USD 0.00001 Class A common Sale 100 61.7800 USD
USD 0.00001 Class A common Sale 100 61.0100 USD
USD 0.00001 Class A common Sale 100 60.9700 USD
USD 0.00001 Class A common Sale 100 61.2000 USD
USD 0.00001 Class A common Sale 100 61.7350 USD
USD 0.00001 Class A common Sale 124 61.7700 USD
USD 0.00001 Class A common Sale 180 61.7900 USD
USD 0.00001 Class A common Sale 200 61.0700 USD
USD 0.00001 Class A common Sale 200 61.7000 USD
USD 0.00001 Class A common Sale 200 61.7550 USD
USD 0.00001 Class A common Sale 266 61.1200 USD
USD 0.00001 Class A common Sale 300 61.7416 USD
USD 0.00001 Class A common Sale 555 61.9676 USD
USD 0.00001 Class A common Sale 700 61.0414 USD
USD 0.00001 Class A common Sale 800 61.0412 USD
USD 0.00001 Class A common Sale 800 61.1101 USD
USD 0.00001 Class A common Sale 1,002 61.1029 USD
USD 0.00001 Class A common Sale 1,710 62.0100 USD
USD 0.00001 Class A common Sale 1,789 62.0054 USD
USD 0.00001 Class A common Sale 2,100 61.4885 USD
USD 0.00001 Class A common Sale 2,100 61.6491 USD
USD 0.00001 Class A common Sale 3,600 61.8183 USD
USD 0.00001 Class A common Sale 4,464 62.0865 USD
USD 0.00001 Class A common Sale 5,600 61.2694 USD
USD 0.00001 Class A common Sale 6,200 61.4239 USD
USD 0.00001 Class A common Sale 7,055 60.9590 USD
USD 0.00001 Class A common Sale 17,804 61.7682 USD
USD 0.00001 Class A common Sale 21,200 61.6026 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 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   Product   Writing,   Number   Exercise   Type   Expiry   Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
USD 0.00001 Class A common Call Options Selling 1,000 65 USD American 18 Aug 2017 1.0500 USD

(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
Supplemental Form 8 (SBL) NO
Date of disclosure: 11 Jul 2017
Contact name: Jay Supaya
Telephone number: 0207 773 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 +44 (0)20 7638 0129.

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

143221.01

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 0.00001 Class A common Put Options Purchased -400 55.0000 American 18 Aug 2017
USD 0.00001 Class A common Put Options Written 9,100 60.0000 American 21 Jul 2017
USD 0.00001 Class A common Call Options Written -1,300 60.0000 American 18 Aug 2017
USD 0.00001 Class A common Put Options Written 600 60.0000 American 17 Nov 2017
USD 0.00001 Class A common Call Options Written -600 70.0000 American 18 Aug 2017
USD 0.00001 Class A common Call Options Written -3,200 65.0000 American 18 Aug 2017
USD 0.00001 Class A common Put Options Purchased -3,300 60.0000 American 18 Aug 2017
USD 0.00001 Class A common Call Options Purchased 500 60.0000 American 17 Nov 2017
USD 0.00001 Class A common Put Options Purchased -100 45.0000 American 16 Feb 2018

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 +44 (0)20 7638 0129.

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

Companies

Barclays (BARC)
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