Last checked at 17 Sep 2019 14:17
FORM 8.3
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DEALINGS BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
1. KEY INFORMATION
| Name of person dealing (Note 1) | Barclays PLC. | |
| Company dealt in | ABBVIE INC | |
| Class of relevant security to which the | ORD | |
| dealings being disclosed relate (Note 2) | ||
| Date of dealing | 16 September 2019 |
2. INTERESTS AND SHORT POSITIONS
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3)
| Class of relevant security: | ORD | ||||
| Long | Short | ||||
Number | (%) | Number | (%) | ||
(1) | Relevant securities |
|
|
|
|
2,697,494 | 0.18% | 3,186,644 | 0.22% | ||
|
|
|
| ||
(2) | Derivatives (other than options): |
|
|
|
|
1,631,660 | 0.11% | 19,700 | 0.00% | ||
|
|
|
| ||
(3) | Options and agreements to |
|
|
|
|
| purchase/sell: | 2,023,200 | 0.14% | 1,465,700 | 0.10% | |
|
|
|
| ||
(4) | TOTAL: |
|
|
|
|
6,352,354 | 0.43% | 4,672,044 | 0.32% | ||
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3)
Class of relevant security: | Long | Short | ||||
| Number |
| (%) | Number |
| (%) |
(1) Relevant securities |
|
| ||||
(2) Derivatives (other than options) |
|
| ||||
(3) Options and agreements to purchase/sell |
|
| ||||
Total |
|
| ||||
| ||||||
Ap20
3. DEALINGS (Note 4)
(a) Purchases and sales
| Purchase/sale | Number of relevant securities | Price per unit |
| Purchase | 1 | 70.0800 USD |
| Purchase | 1 | 70.8650 USD |
| Purchase | 2 | 70.8900 USD |
| Purchase | 3 | 70.9200 USD |
| Purchase | 44 | 70.1450 USD |
| Purchase | 45 | 70.6400 USD |
| Purchase | 100 | 70.9150 USD |
| Purchase | 100 | 70.6300 USD |
| Purchase | 100 | 70.4600 USD |
| Purchase | 110 | 70.4100 USD |
| Purchase | 160 | 70.4450 USD |
| Purchase | 200 | 70.8300 USD |
| Purchase | 200 | 70.6600 USD |
| Purchase | 200 | 70.3650 USD |
| Purchase | 200 | 70.6800 USD |
| Purchase | 304 | 70.4105 USD |
| Purchase | 386 | 70.5426 USD |
| Purchase | 546 | 70.7532 USD |
| Purchase | 591 | 70.3652 USD |
| Purchase | 600 | 70.3935 USD |
| Purchase | 697 | 70.7598 USD |
| Purchase | 993 | 70.4150 USD |
| Purchase | 1,100 | 70.6681 USD |
| Purchase | 1,170 | 70.8183 USD |
| Purchase | 1,200 | 70.7854 USD |
| Purchase | 1,288 | 70.8450 USD |
| Purchase | 1,300 | 70.8700 USD |
| Purchase | 1,800 | 70.7975 USD |
| Purchase | 1,831 | 70.5041 USD |
| Purchase | 3,380 | 70.6227 USD |
| Purchase | 3,464 | 70.7210 USD |
| Purchase | 3,600 | 70.3033 USD |
| Purchase | 4,742 | 70.4648 USD |
| Purchase | 5,268 | 70.4336 USD |
| Purchase | 5,300 | 70.5619 USD |
| Purchase | 5,801 | 70.7163 USD |
| Purchase | 16,693 | 70.5211 USD |
| Purchase | 19,160 | 70.5816 USD |
| Purchase | 29,500 | 70.6703 USD |
| Purchase | 31,455 | 70.5772 USD |
| Purchase | 35,400 | 70.6546 USD |
| Purchase | 45,695 | 70.5800 USD |
| Purchase | 60,895 | 70.5647 USD |
| Purchase | 91,764 | 70.6342 USD |
| Sale | 13 | 70.8400 USD |
| Sale | 44 | 70.1450 USD |
| Sale | 79 | 70.1900 USD |
| Sale | 100 | 70.4700 USD |
| Sale | 100 | 70.8000 USD |
| Sale | 100 | 70.8200 USD |
| Sale | 100 | 70.9000 USD |
| Sale | 107 | 70.5826 USD |
| Sale | 160 | 70.4450 USD |
| Sale | 200 | 70.7400 USD |
| Sale | 200 | 70.4500 USD |
| Sale | 298 | 70.8028 USD |
| Sale | 300 | 70.8900 USD |
| Sale | 300 | 70.6633 USD |
| Sale | 300 | 70.6350 USD |
| Sale | 300 | 70.8066 USD |
| Sale | 300 | 70.8300 USD |
| Sale | 300 | 70.8533 USD |
| Sale | 304 | 70.4105 USD |
| Sale | 334 | 70.7822 USD |
| Sale | 400 | 70.8575 USD |
| Sale | 454 | 70.7327 USD |
| Sale | 500 | 70.4800 USD |
| Sale | 627 | 70.6235 USD |
| Sale | 700 | 70.7050 USD |
| Sale | 800 | 70.8514 USD |
| Sale | 843 | 70.6870 USD |
| Sale | 993 | 70.4150 USD |
| Sale | 1,198 | 70.7048 USD |
| Sale | 1,204 | 70.7308 USD |
| Sale | 1,294 | 70.5731 USD |
| Sale | 1,300 | 70.8700 USD |
| Sale | 1,319 | 70.6176 USD |
| Sale | 1,405 | 70.6473 USD |
| Sale | 1,600 | 70.7021 USD |
| Sale | 1,774 | 70.5828 USD |
| Sale | 1,863 | 70.7416 USD |
| Sale | 1,929 | 70.5634 USD |
| Sale | 2,099 | 70.6934 USD |
| Sale | 2,101 | 70.5808 USD |
| Sale | 2,510 | 70.6833 USD |
| Sale | 2,809 | 70.7165 USD |
| Sale | 3,005 | 70.6532 USD |
| Sale | 3,151 | 70.7817 USD |
| Sale | 3,493 | 70.7579 USD |
| Sale | 3,675 | 70.6955 USD |
| Sale | 8,255 | 70.5429 USD |
| Sale | 8,989 | 70.6295 USD |
| Sale | 9,834 | 70.4427 USD |
| Sale | 10,200 | 70.6852 USD |
| Sale | 10,217 | 70.6493 USD |
| Sale | 10,713 | 70.6119 USD |
| Sale | 10,761 | 70.5800 USD |
| Sale | 13,500 | 70.7725 USD |
| Sale | 14,875 | 70.5601 USD |
| Sale | 16,600 | 70.5819 USD |
| Sale | 21,500 | 70.5793 USD |
| Sale | 32,700 | 70.6522 USD |
| Sale | 33,943 | 70.6448 USD |
| Sale | 64,465 | 70.5488 USD |
| Sale | 64,951 | 70.5636 USD |
(b) Derivatives transactions (other than options transactions)
| Product Name | Nature of transaction | Number of relevant securities | Price per |
|
|
| unit |
SWAP | Short | 16,500 | 70.5800 USD |
(c) Options transactions in respect of existing relevant securities
(i) Writing, selling, purchasing or varying
| Product Name | Writing, | Number | Exercise | Type | Expiry | Option |
| purchasing, | of | price | date | money | ||
| selling, | securities | paid/ | ||||
| varying etc | to which | received | ||||
| option | ||||||
| relates | ||||||
| Call Option | Purchasing | 200 | 57 USD | American | 13 Sep 2019 | 12.7500 USD |
| Call Option | Purchasing | 100 | 68 USD | American | 20 Sep 2019 | 2.6900 USD |
| Call Option | Purchasing | 1,200 | 68 USD | American | 18 Oct 2019 | 3.4833 USD |
| Call Option | Purchasing | 300 | 68 USD | American | 19 Jun 2020 | 6.8600 USD |
| Call Option | Purchasing | 5,900 | 70 USD | American | 18 Oct 2019 | 2.0584 USD |
| Call Option | Purchasing | 300 | 71 USD | American | 20 Sep 2019 | 0.6100 USD |
| Call Option | Purchasing | 4,900 | 73 USD | American | 18 Oct 2019 | 0.7575 USD |
| Call Option | Purchasing | 2,600 | 75 USD | American | 18 Oct 2019 | 0.2850 USD |
| Call Option | Purchasing | 2,200 | 75 USD | American | 15 Nov 2019 | 0.8390 USD |
| Call Option | Purchasing | 100 | 75 USD | American | 17 Jan 2020 | 1.5200 USD |
| Call Option | Purchasing | 1,400 | 76 USD | American | 4 Oct 2019 | 0.2200 USD |
| Call Option | Purchasing | 100 | 78 USD | American | 21 Feb 2020 | 1.3000 USD |
| Call Option | Purchasing | 600 | 80 USD | American | 15 Nov 2019 | 0.1700 USD |
| Call Option | Purchasing | 200 | 100 USD | American | 21 Jan 2022 | 1.3950 USD |
| Call Option | Selling | 1,200 | 70 USD | American | 18 Oct 2019 | 1.8033 USD |
| Call Option | Selling | 400 | 70 USD | American | 15 Nov 2019 | 2.7225 USD |
| Call Option | Selling | 100 | 70 USD | American | 21 Feb 2020 | 3.9900 USD |
| Call Option | Selling | 100 | 71 USD | American | 20 Sep 2019 | 0.7700 USD |
| Call Option | Selling | 1,100 | 73 USD | American | 18 Oct 2019 | 0.7300 USD |
| Call Option | Selling | 1,400 | 75 USD | American | 4 Oct 2019 | 0.2900 USD |
| Call Option | Selling | 500 | 75 USD | American | 15 Nov 2019 | 0.8000 USD |
| Call Option | Selling | 200 | 110 USD | American | 17 Jan 2020 | 0.0200 USD |
| Put Option | Purchasing | 500 | 45 USD | American | 17 Jan 2020 | 0.1200 USD |
| Put Option | Purchasing | 400 | 63 USD | American | 15 Nov 2019 | 0.7800 USD |
| Put Option | Purchasing | 100 | 65 USD | American | 15 Nov 2019 | 1.1000 USD |
| Put Option | Purchasing | 400 | 68 USD | American | 11 Oct 2019 | 0.9000 USD |
| Put Option | Purchasing | 11,500 | 68 USD | American | 18 Oct 2019 | 0.8943 USD |
| Put Option | Purchasing | 100 | 69 USD | American | 20 Sep 2019 | 0.2900 USD |
| Put Option | Selling | 200 | 50 USD | American | 15 Nov 2019 | 0.0700 USD |
| Put Option | Selling | 500 | 50 USD | American | 17 Jan 2020 | 0.2700 USD |
| Put Option | Selling | 100 | 55 USD | American | 15 Nov 2019 | 0.1800 USD |
| Put Option | Selling | 100 | 60 USD | American | 27 Sep 2019 | 0.0300 USD |
| Put Option | Selling | 100 | 60 USD | American | 18 Oct 2019 | 0.1300 USD |
(ii) Exercising
Product name, e.g. call option | Number of securities | Exercise price per unit (Note 5) |
|
|
|
(d) Other dealings (including transactions in respect of new securities) (Note 4)
Nature of transaction (Note 8) | Details | Price per unit (if applicable) (Note 5) |
|
|
|
Ap21
2. OTHER INFORMATION
Agreements, arrangements or understandings relating to options or derivatives
Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated.
None
| Is a Supplemental Form 8 (Open Positions) attached? | YES |
| Date of disclosure: | 17 Sep 2019 |
| Contact name: | Large Holdings Regulatory Operations |
| Telephone number: | 020 3134 7213 |
| If a connected EFM, name of offeree/offeror with which connected |
|
| If a connected EFM, state nature of connection |
SUPPLEMENTAL FORM 8
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 8.1 AND RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1(a) & (b)(i), Form 8.1(b)(ii) or Form 8.3, as appropriate)
OPEN POSITIONS (Note 1)
| Product name | Written or | Number of | Exercise | Type | Expiry |
| purchased | relevant securities | price | date | ||
| to which the option | |||||
| or derivative | |||||
relates |
|
|
| ||
| Call Options | Purchased | 5,600 | 72.5000 | American | Nov 15, 2019 |
| Call Options | Purchased | 1,000 | 66.5000 | American | Oct 11, 2019 |
| Call Options | Purchased | 400 | 67.5000 | American | Oct 4, 2019 |
| Put Options | Written | 1,000 | 82.5000 | American | Jan 15, 2021 |
| Put Options | Written | 350,000 | 65.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 3,600 | 72.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 700 | 50.0000 | American | Jan 15, 2021 |
| Put Options | Written | 17,600 | 62.5000 | American | Oct 18, 2019 |
| Put Options | Written | 900 | 60.5000 | American | Sep 20, 2019 |
| Put Options | Written | 100 | 80.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 13,200 | 70.0000 | American | Nov 15, 2019 |
| Put Options | Written | 1,100 | 85.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 400 | 82.5000 | American | Nov 15, 2019 |
| Call Options | Purchased | 100 | 72.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 400 | 70.0000 | American | Oct 25, 2019 |
| Put Options | Written | 200 | 75.0000 | American | Jun 19, 2020 |
| Put Options | Written | 800 | 82.5000 | American | Jan 17, 2020 |
| Put Options | Written | 9,500 | 60.0000 | American | Jun 19, 2020 |
| Put Options | Written | 5,300 | 77.5000 | American | Jan 17, 2020 |
| Put Options | Written | 700 | 50.0000 | American | Nov 15, 2019 |
| Call Options | Purchased | 200 | 55.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -9,200 | 50.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -300 | 75.0000 | American | Feb 21, 2020 |
| Call Options | Written | -1,000 | 68.5000 | American | Oct 4, 2019 |
| Call Options | Written | -1,500 | 130.0000 | American | Jan 15, 2021 |
| Call Options | Written | -20,600 | 90.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -500 | 66.5000 | American | Oct 4, 2019 |
| Call Options | Written | -900 | 135.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -100 | 69.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -600 | 65.0000 | American | Feb 21, 2020 |
| Put Options | Purchased | -1,800 | 57.5000 | American | Nov 15, 2019 |
| Call Options | Written | -300 | 92.5000 | American | Sep 18, 2020 |
| Call Options | Written | -400 | 66.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -1,000 | 70.0000 | American | Oct 25, 2019 |
| Put Options | Purchased | -5,100 | 47.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -3,000 | 135.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -700 | 65.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -600 | 55.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,000 | 130.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -4,200 | 65.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -4,500 | 57.5000 | American | Jan 17, 2020 |
| Call Options | Written | -300 | 120.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -900 | 75.0000 | American | Nov 15, 2019 |
| Put Options | Purchased | -1,900 | 55.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -3,600 | 50.0000 | American | Jan 15, 2021 |
| Call Options | Written | -7,300 | 97.5000 | American | Jan 17, 2020 |
| Call Options | Written | -1,100 | 68.0000 | American | Oct 4, 2019 |
| Put Options | Purchased | -1,500 | 65.5000 | American | Sep 27, 2019 |
| Put Options | Purchased | -500 | 67.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -600 | 105.0000 | American | Jan 15, 2021 |
| Put Options | Written | 13,400 | 42.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 7,600 | 80.0000 | American | Jan 17, 2020 |
| Put Options | Written | 49,600 | 95.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 30,200 | 62.5000 | American | Sep 20, 2019 |
| Call Options | Purchased | 1,300 | 55.0000 | American | Jun 19, 2020 |
| Put Options | Written | 300 | 62.5000 | American | Sep 18, 2020 |
| Put Options | Written | 50,000 | 57.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 200 | 100.0000 | American | Jan 21, 2022 |
| Call Options | Purchased | 130,200 | 72.5000 | American | Sep 20, 2019 |
| Call Options | Purchased | 2,400 | 50.0000 | American | Jun 19, 2020 |
| Put Options | Written | 800 | 45.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 300 | 71.5000 | American | Sep 20, 2019 |
| Put Options | Written | 2,000 | 57.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 67.5000 | American | Sep 20, 2019 |
| Put Options | Written | 302,400 | 60.0000 | American | Jan 15, 2021 |
| Put Options | Written | 1,500 | 72.5000 | American | Sep 20, 2019 |
| Call Options | Purchased | 500 | 67.5000 | American | Feb 21, 2020 |
| Put Options | Written | 73,000 | 70.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 4,000 | 55.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 200 | 72.5000 | American | Oct 25, 2019 |
| Call Options | Purchased | 100 | 73.0000 | American | Sep 20, 2019 |
| Call Options | Purchased | 4,500 | 75.0000 | American | Sep 20, 2019 |
| Call Options | Purchased | 1,700 | 77.5000 | American | Oct 18, 2019 |
| Call Options | Purchased | 1,000 | 145.0000 | American | Jun 19, 2020 |
| Call Options | Written | -400 | 75.0000 | American | Sep 18, 2020 |
| Call Options | Written | -1,800 | 80.0000 | American | Feb 21, 2020 |
| Call Options | Written | -1,400 | 75.0000 | American | Oct 4, 2019 |
| Call Options | Written | -10,000 | 110.0000 | American | Jan 17, 2020 |
| Call Options | Written | -800 | 69.5000 | American | Sep 20, 2019 |
| Call Options | Written | -200 | 60.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -100 | 120.0000 | American | Jan 17, 2020 |
| Call Options | Written | -2,000 | 80.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -300 | 77.5000 | American | Nov 15, 2019 |
| Call Options | Written | -11,300 | 130.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -16,300 | 55.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -2,600 | 55.0000 | American | Jan 15, 2021 |
| Call Options | Written | -3,700 | 92.5000 | American | Sep 20, 2019 |
| Put Options | Purchased | -10,900 | 82.5000 | American | Nov 15, 2019 |
| Put Options | Purchased | -2,000 | 62.5000 | American | Sep 20, 2019 |
| Put Options | Purchased | -1,000 | 47.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -100 | 95.0000 | American | Jun 19, 2020 |
| Call Options | Written | -500 | 66.5000 | American | Sep 20, 2019 |
| Call Options | Written | -18,200 | 110.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 18,000 | 72.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 1,000 | 60.0000 | American | Sep 18, 2020 |
| Put Options | Written | 400 | 40.0000 | American | Sep 20, 2019 |
| Put Options | Written | 8,200 | 62.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 2,900 | 70.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 2,500 | 60.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 200 | 70.0000 | American | Oct 4, 2019 |
| Call Options | Purchased | 2,300 | 60.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 100 | 105.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 400 | 70.0000 | American | Jun 19, 2020 |
| Put Options | Written | 200 | 87.5000 | American | Nov 15, 2019 |
| Call Options | Written | -1,000 | 77.5000 | American | Jun 19, 2020 |
| Call Options | Written | -800 | 125.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -27,700 | 60.0000 | American | Jan 17, 2020 |
| Call Options | Written | -500 | 95.0000 | American | Sep 18, 2020 |
| Call Options | Written | -1,500 | 92.5000 | American | Nov 15, 2019 |
| Call Options | Written | -1,900 | 115.0000 | American | Sep 18, 2020 |
| Call Options | Written | -1,700 | 75.0000 | American | Jan 15, 2021 |
| Call Options | Written | -12,100 | 95.0000 | American | Jan 17, 2020 |
| Call Options | Written | -130,000 | 67.5000 | American | Sep 20, 2019 |
| Call Options | Written | -2,600 | 105.0000 | American | Nov 15, 2019 |
| Call Options | Written | -10,000 | 70.0000 | American | Sep 20, 2019 |
| Call Options | Written | -100 | 67.5000 | American | Sep 18, 2020 |
| Call Options | Written | -600 | 64.5000 | American | Sep 20, 2019 |
| Call Options | Written | -1,300 | 65.5000 | American | Sep 27, 2019 |
| Call Options | Written | -14,600 | 87.5000 | American | Nov 15, 2019 |
| Call Options | Written | -400 | 110.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -600 | 42.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -1,600 | 110.0000 | American | Jan 15, 2021 |
| Call Options | Written | -1,900 | 97.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -2,000 | 45.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -25,900 | 67.5000 | American | Sep 20, 2019 |
| Put Options | Purchased | -600 | 55.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -1,000 | 50.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -4,300 | 50.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -100 | 72.5000 | American | Feb 21, 2020 |
| Call Options | Written | -2,200 | 85.0000 | American | Sep 18, 2020 |
| Call Options | Purchased | 100 | 65.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 800 | 155.0000 | American | Jan 17, 2020 |
| Put Options | Written | 100 | 77.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 100 | 71.5000 | American | Sep 27, 2019 |
| Put Options | Written | 151,000 | 65.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 17,000 | 67.5000 | American | Nov 15, 2019 |
| Put Options | Written | 125,000 | 80.0000 | American | Jan 15, 2021 |
| Put Options | Written | 900 | 66.0000 | American | Sep 20, 2019 |
| Put Options | Written | 3,000 | 62.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 700 | 68.0000 | American | Sep 20, 2019 |
| Put Options | Written | 32,800 | 57.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 2,200 | 77.5000 | American | Nov 15, 2019 |
| Put Options | Written | 1,000 | 47.5000 | American | Sep 20, 2019 |
| Put Options | Written | 4,000 | 42.5000 | American | Sep 20, 2019 |
| Call Options | Purchased | 1,600 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 400 | 68.5000 | American | Sep 20, 2019 |
| Put Options | Written | 400 | 32.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 3,200 | 55.0000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,400 | 76.0000 | American | Oct 4, 2019 |
| Call Options | Purchased | 500 | 71.0000 | American | Sep 27, 2019 |
| Put Options | Written | 200 | 60.0000 | American | Sep 27, 2019 |
| Put Options | Written | 800 | 69.5000 | American | Sep 20, 2019 |
| Put Options | Written | 300 | 80.0000 | American | Jun 19, 2020 |
| Call Options | Written | -1,000 | 82.5000 | American | Feb 21, 2020 |
| Call Options | Written | -3,400 | 95.0000 | American | Sep 20, 2019 |
| Call Options | Written | -6,900 | 105.0000 | American | Jan 17, 2020 |
| Call Options | Written | -100 | 66.0000 | American | Sep 27, 2019 |
| Put Options | Purchased | -700 | 55.0000 | American | Nov 15, 2019 |
| Put Options | Purchased | -1,300 | 72.5000 | American | Oct 18, 2019 |
| Call Options | Written | -100 | 75.0000 | American | Jun 19, 2020 |
| Call Options | Written | -900 | 69.0000 | American | Sep 20, 2019 |
| Call Options | Written | -800 | 92.5000 | American | Jan 15, 2021 |
| Call Options | Written | -13,600 | 100.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -100 | 64.5000 | American | Sep 27, 2019 |
| Put Options | Purchased | -100 | 67.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -500 | 68.5000 | American | Oct 25, 2019 |
| Put Options | Purchased | -3,700 | 60.0000 | American | Oct 18, 2019 |
| Put Options | Purchased | -5,000 | 42.5000 | American | Jun 19, 2020 |
| Call Options | Written | -75,000 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Written | -500 | 82.5000 | American | Jun 19, 2020 |
| Call Options | Written | -300 | 67.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -2,200 | 70.0000 | American | Jan 15, 2021 |
| Call Options | Written | -10,900 | 80.0000 | American | Sep 20, 2019 |
| Call Options | Written | -35,500 | 90.0000 | American | Sep 20, 2019 |
| Call Options | Written | -800 | 75.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,000 | 105.0000 | American | Jun 19, 2020 |
| Call Options | Written | -2,100 | 97.5000 | American | Jun 19, 2020 |
| Call Options | Written | -4,100 | 115.0000 | American | Jan 17, 2020 |
| Call Options | Written | -17,400 | 85.0000 | American | Nov 15, 2019 |
| Call Options | Written | -400 | 67.5000 | American | Jun 19, 2020 |
| Call Options | Written | -300 | 110.0000 | American | Sep 18, 2020 |
| Call Options | Written | -1,700 | 68.0000 | American | Sep 27, 2019 |
| Put Options | Purchased | -2,200 | 40.0000 | American | Sep 18, 2020 |
| Call Options | Written | -5,100 | 85.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -2,800 | 42.5000 | American | Jan 17, 2020 |
| Call Options | Written | -52,000 | 65.0000 | American | Sep 20, 2019 |
| Call Options | Purchased | 3,200 | 55.0000 | American | Feb 21, 2020 |
| Put Options | Written | 600 | 55.0000 | American | Feb 21, 2020 |
| Put Options | Written | 28,300 | 62.5000 | American | Jun 19, 2020 |
| Call Options | Purchased | 1,000 | 64.0000 | American | Oct 11, 2019 |
| Put Options | Written | 500 | 64.0000 | American | Sep 27, 2019 |
| Call Options | Purchased | 18,200 | 70.0000 | American | Jan 17, 2020 |
| Put Options | Written | 300 | 77.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 400 | 47.5000 | American | Jun 19, 2020 |
| Put Options | Written | 300 | 70.0000 | American | Feb 21, 2020 |
| Put Options | Written | 2,100 | 45.0000 | American | Sep 20, 2019 |
| Call Options | Purchased | 5,600 | 65.0000 | American | Nov 15, 2019 |
| Put Options | Written | 4,100 | 85.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 100 | 62.5000 | American | Sep 18, 2020 |
| Put Options | Written | 100 | 59.5000 | American | Oct 25, 2019 |
| Call Options | Purchased | 13,900 | 80.0000 | American | Nov 15, 2019 |
| Call Options | Purchased | 1,400 | 65.0000 | American | Feb 21, 2020 |
| Call Options | Purchased | 100 | 69.0000 | American | Sep 27, 2019 |
| Call Options | Purchased | 18,100 | 60.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -800 | 50.0000 | American | Feb 21, 2020 |
| Call Options | Written | -2,700 | 125.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -5,900 | 75.0000 | American | Jan 17, 2020 |
| Call Options | Written | -7,500 | 110.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -700 | 42.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,100 | 80.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -1,400 | 45.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,500 | 185.0000 | American | Jan 17, 2020 |
| Call Options | Written | -1,400 | 90.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -5,000 | 35.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -49,200 | 60.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -1,100 | 60.0000 | American | Feb 21, 2020 |
| Call Options | Written | -2,300 | 115.0000 | American | Jun 19, 2020 |
| Put Options | Purchased | -2,700 | 72.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -500 | 47.5000 | American | Nov 15, 2019 |
| Call Options | Written | -1,300 | 92.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -3,000 | 67.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -2,200 | 65.0000 | American | Sep 27, 2019 |
| Call Options | Written | -100,100 | 120.0000 | American | Jan 17, 2020 |
| Call Options | Written | -600 | 72.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -900 | 60.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -3,600 | 70.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -3,000 | 65.0000 | American | Nov 15, 2019 |
| Call Options | Written | -300 | 130.0000 | American | Jun 19, 2020 |
| Call Options | Written | -3,100 | 145.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -3,100 | 57.5000 | American | Oct 18, 2019 |
| Call Options | Purchased | 7,300 | 75.0000 | American | Oct 18, 2019 |
| Call Options | Purchased | 34,500 | 66.0000 | American | Sep 20, 2019 |
| Call Options | Purchased | 11,700 | 75.0000 | American | Nov 15, 2019 |
| Call Options | Purchased | 9,800 | 67.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 6,900 | 72.5000 | American | Oct 18, 2019 |
| Put Options | Written | 1,500 | 45.0000 | American | Nov 15, 2019 |
| Call Options | Purchased | 3,300 | 75.0000 | American | Feb 21, 2020 |
| Put Options | Written | 300 | 35.0000 | American | Sep 18, 2020 |
| Put Options | Written | 30,300 | 70.0000 | American | Jun 19, 2020 |
| Put Options | Written | 100 | 80.0000 | American | Nov 15, 2019 |
| Put Options | Written | 100 | 62.5000 | American | Oct 4, 2019 |
| Put Options | Written | 6,100 | 80.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -300 | 42.5000 | American | Nov 15, 2019 |
| Call Options | Written | -18,100 | 95.0000 | American | Jun 19, 2020 |
| Call Options | Written | -100 | 65.0000 | American | Jan 15, 2021 |
| Call Options | Written | -2,000 | 150.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -9,500 | 72.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -57,700 | 65.0000 | American | Sep 20, 2019 |
| Call Options | Written | -9,400 | 82.5000 | American | Sep 20, 2019 |
| Put Options | Purchased | -6,300 | 70.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -2,100 | 40.0000 | American | Jan 15, 2021 |
| Call Options | Written | -100 | 85.0000 | American | Feb 21, 2020 |
| Call Options | Written | -200 | 62.5000 | American | Jun 19, 2020 |
| Call Options | Written | -2,200 | 62.5000 | American | Feb 21, 2020 |
| Call Options | Written | -61,400 | 82.5000 | American | Jan 17, 2020 |
| Call Options | Written | -74,600 | 85.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -100 | 47.5000 | American | Jan 17, 2020 |
| Call Options | Written | -100 | 90.0000 | American | Jan 15, 2021 |
| Call Options | Written | -500 | 87.5000 | American | Jun 19, 2020 |
| Call Options | Written | -2,100 | 115.0000 | American | Jan 15, 2021 |
| Call Options | Written | -6,400 | 87.5000 | American | Sep 20, 2019 |
| Put Options | Purchased | -800 | 70.5000 | American | Sep 20, 2019 |
| Call Options | Written | -29,100 | 77.5000 | American | Sep 20, 2019 |
| Put Options | Purchased | -800 | 92.5000 | American | Jun 19, 2020 |
| Put Options | Purchased | -100 | 62.0000 | American | Sep 20, 2019 |
| Call Options | Written | -300 | 72.0000 | American | Sep 20, 2019 |
| Call Options | Written | -1,000 | 100.0000 | American | Sep 20, 2019 |
| Call Options | Written | -100 | 180.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -200 | 87.5000 | American | Jan 17, 2020 |
| Call Options | Purchased | 2,000 | 80.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 400 | 57.5000 | American | Sep 18, 2020 |
| Put Options | Written | 75,000 | 70.0000 | American | Jan 15, 2021 |
| Put Options | Written | 100 | 70.0000 | American | Oct 11, 2019 |
| Call Options | Purchased | 2,300 | 47.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 2,600 | 60.0000 | American | Sep 20, 2019 |
| Call Options | Purchased | 100 | 71.0000 | American | Oct 25, 2019 |
| Put Options | Written | 180,000 | 60.0000 | American | Sep 20, 2019 |
| Put Options | Written | 100 | 66.5000 | American | Sep 20, 2019 |
| Call Options | Purchased | 2,100 | 50.0000 | American | Jan 17, 2020 |
| Put Options | Written | 100 | 72.5000 | American | Sep 18, 2020 |
| Call Options | Purchased | 1,200 | 57.5000 | American | Jun 19, 2020 |
| Put Options | Written | 6,000 | 105.0000 | American | Jan 17, 2020 |
| Call Options | Purchased | 2,700 | 85.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 100 | 73.0000 | American | Sep 27, 2019 |
| Put Options | Written | 400 | 72.5000 | American | Nov 15, 2019 |
| Put Options | Written | 1,400 | 67.5000 | American | Jun 19, 2020 |
| Put Options | Written | 1,000 | 67.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 17,000 | 70.0000 | American | Oct 18, 2019 |
| Put Options | Purchased | -200 | 55.0000 | American | Oct 18, 2019 |
| Call Options | Written | -6,600 | 105.0000 | American | Jan 15, 2021 |
| Call Options | Written | -10,400 | 100.0000 | American | Jun 19, 2020 |
| Call Options | Written | -69,400 | 100.0000 | American | Jan 17, 2020 |
| Call Options | Written | -200 | 77.5000 | American | Sep 18, 2020 |
| Call Options | Written | -300 | 62.5000 | American | Sep 20, 2019 |
| Call Options | Written | -600 | 71.0000 | American | Sep 20, 2019 |
| Put Options | Purchased | -1,400 | 70.0000 | American | Oct 18, 2019 |
| Put Options | Purchased | -28,000 | 62.5000 | American | Nov 15, 2019 |
| Put Options | Purchased | -39,400 | 67.5000 | American | Nov 15, 2019 |
| Call Options | Written | -13,500 | 85.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -1,000 | 40.0000 | American | Jun 19, 2020 |
| Call Options | Written | -13,800 | 90.0000 | American | Nov 15, 2019 |
| Put Options | Purchased | -1,000 | 67.0000 | American | Sep 27, 2019 |
| Call Options | Written | -900 | 100.0000 | American | Nov 15, 2019 |
| Call Options | Written | -200 | 105.0000 | American | Sep 18, 2020 |
| Call Options | Written | -15,500 | 87.5000 | American | Jan 17, 2020 |
| Put Options | Purchased | -400 | 68.0000 | American | Oct 11, 2019 |
| Call Options | Written | -3,100 | 62.5000 | American | Jan 17, 2020 |
| Put Options | Written | 15,900 | 65.0000 | American | Oct 18, 2019 |
| Put Options | Written | 3,700 | 75.0000 | American | Sep 20, 2019 |
| Put Options | Written | 1,000 | 66.0000 | American | Sep 27, 2019 |
| Put Options | Written | 400 | 85.0000 | American | Jan 15, 2021 |
| Put Options | Written | 100 | 70.0000 | American | Oct 4, 2019 |
| Put Options | Written | 100 | 62.5000 | American | Oct 25, 2019 |
| Call Options | Purchased | 300 | 67.0000 | American | Sep 27, 2019 |
| Put Options | Written | 3,000 | 57.5000 | American | Sep 20, 2019 |
| Put Options | Written | 200 | 59.0000 | American | Sep 27, 2019 |
| Call Options | Purchased | 5,100 | 70.0000 | American | Sep 27, 2019 |
| Put Options | Written | 4,000 | 59.5000 | American | Oct 11, 2019 |
| Call Options | Purchased | 1,300 | 65.0000 | American | Jun 19, 2020 |
| Put Options | Written | 1,100 | 45.0000 | American | Jun 19, 2020 |
| Call Options | Purchased | 4,000 | 67.5000 | American | Oct 18, 2019 |
| Call Options | Purchased | 200 | 77.5000 | American | Feb 21, 2020 |
| Call Options | Purchased | 1,200 | 67.5000 | American | Sep 27, 2019 |
| Call Options | Purchased | 1,300 | 57.5000 | American | Jan 15, 2021 |
| Call Options | Purchased | 1,700 | 77.5000 | American | Jan 17, 2020 |
| Call Options | Written | -5,000 | 100.0000 | American | Sep 18, 2020 |
| Put Options | Purchased | -14,500 | 67.5000 | American | Oct 18, 2019 |
| Call Options | Written | -100 | 70.5000 | American | Sep 20, 2019 |
| Call Options | Written | -5,100 | 95.0000 | American | Jan 15, 2021 |
| Put Options | Purchased | -14,600 | 60.0000 | American | Nov 15, 2019 |
| Put Options | Purchased | -300 | 77.5000 | American | Feb 21, 2020 |
| Put Options | Purchased | -1,800 | 61.0000 | American | Sep 20, 2019 |
| Call Options | Written | -6,900 | 92.5000 | American | Jan 17, 2020 |
| Call Options | Written | -13,300 | 90.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -100 | 63.5000 | American | Sep 20, 2019 |
| Put Options | Purchased | -600 | 50.0000 | American | Sep 20, 2019 |
| Call Options | Written | -3,500 | 80.0000 | American | Jan 15, 2021 |
| Call Options | Written | -400 | 105.0000 | American | Sep 20, 2019 |
| Call Options | Written | -2,200 | 82.5000 | American | Jan 15, 2021 |
| Call Options | Written | -3,100 | 135.0000 | American | Jan 17, 2020 |
| Call Options | Written | -1,000 | 87.5000 | American | Jan 15, 2021 |
| Call Options | Written | -2,100 | 77.5000 | American | Jan 15, 2021 |
| Put Options | Purchased | -9,400 | 90.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -800 | 72.5000 | American | Jan 17, 2020 |
| Call Options | Written | -500 | 62.5000 | American | Oct 18, 2019 |
| Put Options | Purchased | -1,000 | 62.0000 | American | Oct 11, 2019 |
| Call Options | Written | -6,500 | 95.0000 | American | Nov 15, 2019 |
| Put Options | Purchased | -500 | 47.5000 | American | Sep 18, 2020 |
| Put Options | Purchased | -6,800 | 100.0000 | American | Jan 17, 2020 |
| Put Options | Purchased | -7,600 | 70.0000 | American | Nov 15, 2019 |
| Put Options | Purchased | -1,000 | 57.5000 | American | Sep 27, 2019 |
| Put Options | Purchased | -1,400 | 67.5000 | American | Jan 17, 2020 |
Notes
Where there are open option positionsor open derivative positions (except for CFDs), full details should be given. Full detailsof any existing agreements to purchase or to sell must also be given on this form.2. For all prices and other monetaryamounts, the currencymust be stated.
For full details of disclosure requirements, see Rule 8 of the Rules. If in doubt, consult the Panel.
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