UniCredit S.p.A.
LSE : TTM

March 09, 2016 11:00 ET

Form 8.3 - Intercontinental Exchange Inc.

                                                                        FORM 8.3

      PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY 
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
            Rule 8.3 of the Takeover Code (the "Code")

1. KEY INFORMATION


----------------------------------------------------------------------------
(a) Identity of the person whose        Unicredit SpA                        
    positions/dealings are being                                                
    disclosed:                                                                  
----------------------------------------------------------------------------
(b) Owner or controller of interests                                        
    and short positions disclosed, if                                           
    different from 1(a):                                                        
    The naming of nominee or vehicle                                            
    companies is insufficient                                                   
----------------------------------------------------------------------------
(c) Name of offeror/offeree in          Intercontinental Exchange Inc.       
    relation to whose relevant                                        
    securities this form relates:                                                          
    Use a separate form for each                                                
    offeror/offeree                                                             
----------------------------------------------------------------------------
(d) If an exempt fund manager                                               
    connected with an offeror/offeree,                                          
    state this and specify identity of                                          
    offeror/offeree:                                                            
----------------------------------------------------------------------------
(e) Date position held/dealing          March 2nd 2016 (date when the issuer 
    undertaken:                         with the ISIN was uploaded on the UK 
                                        Takeover Panel list)                 
----------------------------------------------------------------------------
(f) Has the discloser previously        No                                   
    disclosed, or are they today                                                
    disclosing, under the Code in                                        
    respect of any other party to this 
    offer?                                           
----------------------------------------------------------------------------


2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates 
following the dealing (if any)


-----------------------------------------------------------------------------------
Class of relevant security:                                                        
-----------------------------------------------------------------------------------
                                                  Interests               Short    
                                                                        positions  
                                        -------------------------------------------
                                            Number           %        Number    %  
-----------------------------------------------------------------------------------
(1) Relevant securities owned and/or     1.378.510,00       1,16                   
    controlled:                                        (based on the               
                                                       NSI published               
                                                         on the UK                 
                                                       Takeover Panel              
                                                          website)                 
-----------------------------------------------------------------------------------
(2) Derivatives (other than options):                                              
-----------------------------------------------------------------------------------
(3) Options and agreements to                                                      
    purchase/sell:                                                                     
-----------------------------------------------------------------------------------
                                         1.378.510,00       1,16                   
TOTAL:                                                                             
-----------------------------------------------------------------------------------


All interests and all short positions should be disclosed.

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be 
given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors' and other executive options)


----------------------------------------------------------------------------
Class of relevant security in relation                                      
to which subscription right exists:                                         
----------------------------------------------------------------------------
Details, including nature of the                                            
rights concerned and relevant                                               
percentages:                                                                
----------------------------------------------------------------------------


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.

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

(a) Purchases and sales


----------------------------------------------------------------------------
Class of relevant  Purchase/sale      Number of          Price per unit     
security                              securities                            
----------------------------------------------------------------------------
Equity             Purchase           189                2.305.108          
Equity             Purchase           289                2.314.363          
                   (settlement date                                         
                   for both trades                                          
                   07/03/2016)                                              
----------------------------------------------------------------------------


(b) Derivatives transactions (other than options)


--------------------------------------------------------------------------------
    Class of       Product      Nature of dealing    Number of    Price per unit
    relevant     description  e.g. opening/closing   reference                  
    security       e.g. CFD       a long/short       securities                 
                                    position,                                   
                               increasing/reducing                              
                                  a long/short                                  
                                    position                                    
--------------------------------------------------------------------------------
                                                                                
--------------------------------------------------------------------------------


(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying


---------------------------------------------------------------------------------------------
  Class of     Product     Writing,    Number of   Exercise      Type     Expiry Option money
  relevant   description purchasing,  securities   price per     e.g.      date      paid/   
  security    e.g. call    selling,    to which      unit      American,         received per
               option    varying etc.   option                 European              unit    
                                        relates                  etc.                        
---------------------------------------------------------------------------------------------
                                                                                             
---------------------------------------------------------------------------------------------


(ii) Exercising


----------------------------------------------------------------------------
 Class of relevant Product description     Number of      Exercise price per
      security       e.g. call option      securities            unit       
----------------------------------------------------------------------------
                                                                            
----------------------------------------------------------------------------


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


----------------------------------------------------------------------------------------------
Class of relevant security      Nature of dealing        DetailsPrice per unit (if applicable)
                           e.g. subscription, conversion                                     
----------------------------------------------------------------------------------------------
                                                                                            
----------------------------------------------------------------------------------------------


The currency of all prices and other monetary amounts should be stated.

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.

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 person 
making the disclosure and any party to the offer or any person acting in    
concert with a party to the offer:                                          
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 person 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


----------------------------------------------------------------------------
Is a Supplemental Form 8 (Open Positions) attached?                   NO    
----------------------------------------------------------------------------
                                                                            
----------------------------------------------------------------------------
Date of disclosure:                   9th March 2016                        
----------------------------------------------------------------------------
Contact name:                         SEBASTIANO MOREDDU,PIONEER GLOBAL     
                                      ASSET MANAGEMENT SPA                  
----------------------------------------------------------------------------
Telephone number:                     +39 (0)2 76223623                     
                                      +39 (0) 2 76223177                    
----------------------------------------------------------------------------


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 monitoring@disclosure.org.uk. 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.

Contact Information

  • UniCredit S.p.A.