Voya Financial, Inc. Form 8.3 - Vantiv Inc
October 31 2017 - 11:52AM
UK Regulatory
TIDMIKK
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) Full name of discloser: Voya Financial, Inc
(b) Owner or controller of interests and short positions
disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient. For a trust, the trustee(s), settlor and
beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant Vantiv 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: 30th October 2017
For an opening position disclosure, state the latest
practicable date prior to the disclosure
(f) In addition to the company in 1(c) above, is the YES
discloser making disclosures in respect of any other Worldpay Group PLC
party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
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 (if any)
Class of relevant security: Common Stock (US92210H1059)
Interests Short Positions
Number % Number %
(1) Relevant securities owned and/or 2,989,172 1.839 %
controlled:
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including
options) and agreements to purchase/
sell:
Total 2,989,172 1.839 %
*Voya Financial, Inc does not have discretion regarding voting decisions in
respect of 845,584 shares that are included in the total above.
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).
(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 (IF ANY) 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
Class of relevant security Purchase/sale Number of securities Price per unit
Common Stock (US92210H1059) Sale 113 69.2300
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing e.g. Number of Price per unit
security e.g. CFD opening/closing a long/short reference
position, increasing/ securities
reducing a long/short
position
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type e.g. Expiry date Option money
relevant description purchasing, securities to price per American, paid/ received
security e.g. call selling, which option unit European per unit
option varying etc. relates etc.
(ii) Exercise
Class of relevant Product description e.g. Exercising/ Number of Exercise price per
security call option exercised securities unit
against
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing e.g. Details Price per unit (if
subscription, conversion 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 person making
the disclosure and any party to the offer or any person acting in concert with
a party to the offer:
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 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 31 October 2017
Contact name Salvatore DiCostanzo
Telephone number 212-309-8446
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 disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
END
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