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: 13 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: 1,411 0.00% 6,705 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% 9,200 0.01%
           
 
TOTAL: 11,611 0.01% 15,905 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 2 64.2399 USD
USD 0.00001 Class A common Purchase 100 64.1000 USD
USD 0.00001 Class A common Purchase 100 64.1500 USD
USD 0.00001 Class A common Purchase 100 64.1250 USD
USD 0.00001 Class A common Purchase 100 63.8200 USD
USD 0.00001 Class A common Purchase 100 64.1099 USD
USD 0.00001 Class A common Purchase 158 64.1320 USD
USD 0.00001 Class A common Purchase 199 64.1201 USD
USD 0.00001 Class A common Purchase 200 63.9050 USD
USD 0.00001 Class A common Purchase 200 64.0950 USD
USD 0.00001 Class A common Purchase 300 63.9800 USD
USD 0.00001 Class A common Purchase 400 64.0812 USD
USD 0.00001 Class A common Purchase 402 64.1673 USD
USD 0.00001 Class A common Purchase 692 64.0708 USD
USD 0.00001 Class A common Purchase 718 64.1580 USD
USD 0.00001 Class A common Purchase 900 64.1700 USD
USD 0.00001 Class A common Purchase 900 64.1544 USD
USD 0.00001 Class A common Purchase 1,000 63.8320 USD
USD 0.00001 Class A common Purchase 1,200 64.1335 USD
USD 0.00001 Class A common Purchase 1,392 64.0597 USD
USD 0.00001 Class A common Purchase 1,400 64.0742 USD
USD 0.00001 Class A common Purchase 1,601 64.1006 USD
USD 0.00001 Class A common Purchase 1,800 63.9422 USD
USD 0.00001 Class A common Purchase 1,900 64.0468 USD
USD 0.00001 Class A common Purchase 2,680 63.8373 USD
USD 0.00001 Class A common Purchase 8,204 64.0781 USD
USD 0.00001 Class A common Purchase 9,900 63.8820 USD
USD 0.00001 Class A common Purchase 12,100 63.9417 USD
USD 0.00001 Class A common Purchase 15,500 63.9618 USD
USD 0.00001 Class A common Purchase 27,065 63.8797 USD
USD 0.00001 Class A common Purchase 28,556 64.1372 USD
USD 0.00001 Class A common Purchase 64,989 64.1816 USD
USD 0.00001 Class A common Purchase 110,000 64.2800 USD
USD 0.00001 Class A common Sale 2 64.2399 USD
USD 0.00001 Class A common Sale 100 64.1001 USD
USD 0.00001 Class A common Sale 100 64.1000 USD
USD 0.00001 Class A common Sale 100 64.1300 USD
USD 0.00001 Class A common Sale 193 63.7900 USD
USD 0.00001 Class A common Sale 209 64.1060 USD
USD 0.00001 Class A common Sale 280 63.8321 USD
USD 0.00001 Class A common Sale 400 64.2037 USD
USD 0.00001 Class A common Sale 400 64.1412 USD
USD 0.00001 Class A common Sale 400 64.2237 USD
USD 0.00001 Class A common Sale 400 64.1075 USD
USD 0.00001 Class A common Sale 482 64.1509 USD
USD 0.00001 Class A common Sale 700 64.1142 USD
USD 0.00001 Class A common Sale 700 63.9142 USD
USD 0.00001 Class A common Sale 800 63.8337 USD
USD 0.00001 Class A common Sale 900 63.8666 USD
USD 0.00001 Class A common Sale 1,074 63.7922 USD
USD 0.00001 Class A common Sale 1,080 64.0370 USD
USD 0.00001 Class A common Sale 2,000 64.0765 USD
USD 0.00001 Class A common Sale 2,258 64.1533 USD
USD 0.00001 Class A common Sale 2,362 64.0415 USD
USD 0.00001 Class A common Sale 2,400 63.8133 USD
USD 0.00001 Class A common Sale 2,500 64.2680 USD
USD 0.00001 Class A common Sale 2,700 64.2368 USD
USD 0.00001 Class A common Sale 3,100 63.9798 USD
USD 0.00001 Class A common Sale 3,400 64.0095 USD
USD 0.00001 Class A common Sale 3,626 63.8519 USD
USD 0.00001 Class A common Sale 4,607 63.9818 USD
USD 0.00001 Class A common Sale 4,709 64.1790 USD
USD 0.00001 Class A common Sale 4,835 64.1953 USD
USD 0.00001 Class A common Sale 6,300 63.9653 USD
USD 0.00001 Class A common Sale 7,642 63.8987 USD
USD 0.00001 Class A common Sale 8,500 63.9875 USD
USD 0.00001 Class A common Sale 8,800 63.9511 USD
USD 0.00001 Class A common Sale 9,935 63.8271 USD
USD 0.00001 Class A common Sale 11,000 64.2221 USD
USD 0.00001 Class A common Sale 12,000 63.9491 USD
USD 0.00001 Class A common Sale 26,400 64.2420 USD
USD 0.00001 Class A common Sale 53,262 64.0728 USD
USD 0.00001 Class A common Sale 110,000 64.2800 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 300 65 USD American 17 Nov 2017 3.6000 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”

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: 14 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 +44 (0)20 7638 0129.

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 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 -300 65.0000 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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