UniCredit S.p.A.
LSE : TTM

April 01, 2016 09:47 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 positions/dealings are     UniCredit S.p.A.                        
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 relation to whose relevant   Intercontinental Exchange Inc.          
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 undertaken:                  March 31st 2016.                        
----------------------------------------------------------------------------------------------------
(f)  Has the discloser previously disclosed, or are they    Yes, we have disclosed a Form 8.3 on    
today disclosing, under the Code in respect of any other    March 31st 2016.                        
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       1,433,820.00                 1.204                              
and/or controlled:                                (based on the NSI published on the                
                                                  UK Takeover Panel website equal to                
                                                             119,035,351)                           
----------------------------------------------------------------------------------------------------
(2) Derivatives (other than                                                                       
options):                                                                                           
----------------------------------------------------------------------------------------------------
(3) Options and agreements to                                                                     
purchase/sell:                                                                                      
----------------------------------------------------------------------------------------------------
                                    1,433,820.00                 1.204                              
       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 securities        Price per unit     
    security                                                                                    
----------------------------------------------------------------------------------------------------
Equity                  Purchase                  4,419                    233.4998                 
                        Purchase                  8,471                    233.4998                 
                        Purchase                  2,225                    233.4998                 
                                              
                        (Settlement date
                        05/04/2016)
----------------------------------------------------------------------------------------------------

(b) Derivatives transactions (other than options)

----------------------------------------------------------------------------------------------------
  Class of relevant  Product description  Nature of dealing  Number of reference   Price per unit   
      security            e.g. CFD      e.g. opening/closing     securities                         
                                            a long/short                                            
                                              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  
 relevant   description    purchasing,   securities to  price per e.g. American,   date      money  
 security    e.g. call       selling,     which option    unit    European etc.              paid/  
               option      varying etc.     relates                                        received 
                                                                                           per unit 
----------------------------------------------------------------------------------------------------
                                                                                                    
----------------------------------------------------------------------------------------------------

(ii) Exercising

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

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

----------------------------------------------------------------------------------------------------
Class of relevant security         Nature of dealing          Details Price 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:                               1st April 2016                                    
----------------------------------------------------------------------------------------------------
Contact name:                                     NICOLA DISTASO, PIONEER GLOBAL ASSET MANAGEMENT   
                                                  SPA                                               
----------------------------------------------------------------------------------------------------
Telephone number:                                 +39 (0)2 76223145                                 
----------------------------------------------------------------------------------------------------

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.