16th Sep 2014 14:03
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 | Barclays PLC. | |||
are being disclosed: | |||||
(b) | Owner or controller of interest and short | ||||
positions disclosed, if different from 1(a): | |||||
(c) | Name of offeror/offeree in relation to whose | SHIRE PLC | |||
relevant securities this form relates: | |||||
(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: | 15 September 2014 | |||
(f) | Has the discloser previously disclosed, or are | YES: | |||
they today disclosing, under the Code in respect | ABBVIE INC | ||||
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: | ORD | ||||||||||
Interests | Short Positions | ||||||||||
Number | (%) | Number | (%) | ||||||||
(1) | Relevant securities owned | ||||||||||
and/or controlled: | 10,801,269 | 1.83% | 4,633,073 | 0.79% | |||||||
(2) | Derivatives (other than | ||||||||||
options): | 2,094,989 | 0.36% | 3,885,531 | 0.66% | |||||||
(3) | Options and agreements to | ||||||||||
purchase/sell: | 1,342,500 | 0.23% | 1,862,700 | 0.32% | |||||||
TOTAL: | 14,238,758 | 2.42% | 10,381,304 | 1.77% |
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 | ||||||
ORD (traded as ADR) | Purchase | 24 | 257.8000 USD | ||||
ORD (traded as ADR) | Purchase | 30 | 257.5600 USD | ||||
ORD (traded as ADR) | Purchase | 51 | 257.7270 USD | ||||
ORD (traded as ADR) | Purchase | 54 | 257.1500 USD | ||||
ORD (traded as ADR) | Purchase | 216 | 257.1900 USD | ||||
ORD (traded as ADR) | Purchase | 300 | 257.5300 USD | ||||
ORD (traded as ADR) | Purchase | 300 | 257.5700 USD | ||||
ORD | Purchase | 547 | 52.9500 GBP | ||||
ORD (traded as ADR) | Purchase | 600 | 256.8500 USD | ||||
ORD (traded as ADR) | Purchase | 600 | 257.5150 USD | ||||
ORD | Purchase | 696 | 52.8174 GBP | ||||
ORD | Purchase | 1,016 | 52.9000 GBP | ||||
ORD | Purchase | 1,036 | 52.7982 GBP | ||||
ORD | Purchase | 1,087 | 52.8500 GBP | ||||
ORD | Purchase | 1,100 | 52.8772 GBP | ||||
ORD (traded as ADR) | Purchase | 1,107 | 257.2366 USD | ||||
ORD (traded as ADR) | Purchase | 1,200 | 257.0925 USD | ||||
ORD | Purchase | 1,379 | 52.7000 GBP | ||||
ORD | Purchase | 1,400 | 52.8642 GBP | ||||
ORD | Purchase | 1,483 | 52.8260 GBP | ||||
ORD | Purchase | 1,795 | 52.8162 GBP | ||||
ORD (traded as ADR) | Purchase | 1,989 | 257.2587 USD | ||||
ORD (traded as ADR) | Purchase | 2,100 | 257.0571 USD | ||||
ORD | Purchase | 2,152 | 52.8000 GBP | ||||
ORD | Purchase | 2,200 | 52.6500 GBP | ||||
ORD (traded as ADR) | Purchase | 2,400 | 257.2310 USD | ||||
ORD | Purchase | 2,691 | 52.8059 GBP | ||||
ORD (traded as ADR) | Purchase | 3,000 | 257.1360 USD | ||||
ORD (traded as ADR) | Purchase | 3,375 | 257.5942 USD | ||||
ORD | Purchase | 4,098 | 52.8023 GBP | ||||
ORD | Purchase | 5,406 | 52.7500 GBP | ||||
ORD (traded as ADR) | Purchase | 6,000 | 257.4508 USD | ||||
ORD | Purchase | 6,241 | 52.8142 GBP | ||||
ORD | Purchase | 6,561 | 52.7519 GBP | ||||
ORD | Purchase | 8,072 | 52.8243 GBP | ||||
ORD (traded as ADR) | Purchase | 8,496 | 257.3066 USD | ||||
ORD | Purchase | 9,501 | 52.8232 GBP | ||||
ORD | Purchase | 12,654 | 52.7202 GBP | ||||
ORD | Purchase | 15,632 | 52.8409 GBP | ||||
ORD | Purchase | 17,082 | 52.8231 GBP | ||||
ORD (traded as ADR) | Purchase | 21,600 | 257.3836 USD | ||||
ORD | Purchase | 52,592 | 52.8190 GBP | ||||
ORD (traded as ADR) | Purchase | 58,422 | 257.0530 USD | ||||
ORD | Purchase | 61,595 | 52.8784 GBP | ||||
ORD (traded as ADR) | Purchase | 270,000 | 257.6800 USD | ||||
ORD | Purchase | 276,270 | 52.7958 GBP | ||||
ORD (traded as ADR) | Purchase | 582,000 | 257.4003 USD | ||||
ORD (traded as ADR) | Sale | 48 | 257.3237 USD | ||||
ORD (traded as ADR) | Sale | 108 | 257.2655 USD | ||||
ORD (traded as ADR) | Sale | 144 | 257.2326 USD | ||||
ORD (traded as ADR) | Sale | 189 | 257.3900 USD | ||||
ORD | Sale | 200 | 52.6680 GBP | ||||
ORD (traded as ADR) | Sale | 300 | 256.9260 USD | ||||
ORD (traded as ADR) | Sale | 300 | 256.9400 USD | ||||
ORD (traded as ADR) | Sale | 300 | 257.0000 USD | ||||
ORD (traded as ADR) | Sale | 300 | 257.3800 USD | ||||
ORD (traded as ADR) | Sale | 300 | 257.4000 USD | ||||
ORD | Sale | 402 | 52.7816 GBP | ||||
ORD | Sale | 547 | 52.9500 GBP | ||||
ORD (traded as ADR) | Sale | 600 | 256.7850 USD | ||||
ORD (traded as ADR) | Sale | 600 | 256.8500 USD | ||||
ORD (traded as ADR) | Sale | 600 | 257.0925 USD | ||||
ORD (traded as ADR) | Sale | 600 | 257.6870 USD | ||||
ORD (traded as ADR) | Sale | 900 | 257.2160 USD | ||||
ORD (traded as ADR) | Sale | 900 | 257.2833 USD | ||||
ORD | Sale | 1,016 | 52.9000 GBP | ||||
ORD | Sale | 1,087 | 52.8500 GBP | ||||
ORD (traded as ADR) | Sale | 1,200 | 256.5450 USD | ||||
ORD (traded as ADR) | Sale | 1,200 | 257.0105 USD | ||||
ORD (traded as ADR) | Sale | 1,200 | 257.1085 USD | ||||
ORD | Sale | 1,223 | 52.6952 GBP | ||||
ORD (traded as ADR) | Sale | 1,500 | 257.4381 USD | ||||
ORD (traded as ADR) | Sale | 1,800 | 257.2450 USD | ||||
ORD (traded as ADR) | Sale | 1,800 | 257.6716 USD | ||||
ORD (traded as ADR) | Sale | 2,067 | 257.1537 USD | ||||
ORD | Sale | 2,100 | 52.6500 GBP | ||||
ORD | Sale | 2,156 | 52.7500 GBP | ||||
ORD | Sale | 2,248 | 52.7046 GBP | ||||
ORD | Sale | 2,501 | 52.7991 GBP | ||||
ORD | Sale | 4,188 | 52.7963 GBP | ||||
ORD | Sale | 4,500 | 52.7954 GBP | ||||
ORD | Sale | 5,044 | 52.8148 GBP | ||||
ORD | Sale | 5,320 | 52.7743 GBP | ||||
ORD (traded as ADR) | Sale | 5,400 | 257.2861 USD | ||||
ORD (traded as ADR) | Sale | 6,000 | 257.4508 USD | ||||
ORD | Sale | 6,249 | 52.7777 GBP | ||||
ORD | Sale | 6,501 | 52.7534 GBP | ||||
ORD (traded as ADR) | Sale | 6,600 | 257.3984 USD | ||||
ORD | Sale | 7,439 | 52.8188 GBP | ||||
ORD (traded as ADR) | Sale | 7,542 | 256.9110 USD | ||||
ORD | Sale | 9,154 | 52.8246 GBP | ||||
ORD (traded as ADR) | Sale | 11,133 | 257.2025 USD | ||||
ORD | Sale | 12,182 | 52.8000 GBP | ||||
ORD | Sale | 15,037 | 52.8425 GBP | ||||
ORD (traded as ADR) | Sale | 15,315 | 257.3527 USD | ||||
ORD | Sale | 19,683 | 52.7811 GBP | ||||
ORD (traded as ADR) | Sale | 21,000 | 257.3750 USD | ||||
ORD | Sale | 26,586 | 52.7713 GBP | ||||
ORD (traded as ADR) | Sale | 40,713 | 257.0610 USD | ||||
ORD | Sale | 41,914 | 52.7622 GBP | ||||
ORD | Sale | 51,379 | 52.7000 GBP | ||||
ORD | Sale | 51,631 | 52.7464 GBP | ||||
ORD | Sale | 53,265 | 52.8910 GBP | ||||
ORD | Sale | 87,249 | 52.7998 GBP | ||||
ORD | Sale | 115,000 | 52.9404 GBP | ||||
ORD (traded as ADR) | Sale | 291,000 | 257.4003 USD | ||||
ORD (traded as ADR) | Sale | 474,000 | 257.6800 USD |
(b) Derivatives transactions (other than options)
Class | Product | Nature of dealing | Number of | Price per | |||||
relevant | description | reference | unit | ||||||
security | securities | ||||||||
ORD | SWAP | Long | 402 | 52.7816 GBP | |||||
ORD | CFD | Long | 600 | 52.8340 GBP | |||||
ORD | SWAP | Long | 3,853 | 52.7705 GBP | |||||
ORD | CFD | Long | 2,248 | 52.7046 GBP | |||||
ORD | SWAP | Long | 19,405 | 52.7559 GBP | |||||
ORD | CFD | Long | 29,853 | 52.7583 GBP | |||||
ORD | CFD | Short | 696 | 52.8174 GBP | |||||
ORD | CFD | Short | 2,691 | 52.8059 GBP | |||||
ORD | SWAP | Short | 3,607 | 52.8103 GBP | |||||
ADR | SWAP | Short | 22,000 | 257.7100 USD | |||||
ORD | SWAP | Short | 6,862 | 52.7939 GBP |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit |
(ii) Exercising
Class of relevant security | Product description e.g. call option | 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) |
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? | YES
| ||
Date of disclosure: | 16 Sep 2014 | ||
Contact name: | Rajesh Muthanna | ||
Telephone number: | 020 3555 4634 |
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 [email protected]. 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.
143221.01
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN OPTION AND DERIVATIVE 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 | SHIRE PLC | ||
relevant securities this from relates: |
2. OPTIONS AND DERIVATIVES
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 | |||||||||||||
ADR | Put Options | Purchased | -300 | 160.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Purchased | -2,800 | 160.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -1,000 | 185.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Purchased | -2,900 | 185.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -900 | 210.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -60,000 | 220.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Purchased | -200 | 220.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -1,600 | 240.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Purchased | -1,000 | 255.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Purchased | -300 | 255.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -1,000 | 260.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Purchased | -100 | 265.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Purchased | -600 | 270.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -1,000 | 275.0000 | American | 17 Apr 2015 | |||||||
ADR | Put Options | Purchased | -2,000 | 285.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -1,000 | 290.0000 | American | 17 Apr 2015 | |||||||
ADR | Put Options | Purchased | -1,100 | 300.0000 | American | 17 Apr 2015 | |||||||
ADR | Put Options | Written | 1,000 | 100.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Written | 100 | 130.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Written | 100 | 140.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 300 | 145.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 300 | 150.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 1,100 | 165.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 500 | 170.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 6,100 | 175.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 1,000 | 180.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Written | 300 | 180.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 1,500 | 190.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 100 | 190.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Written | 700 | 195.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 5,000 | 200.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 300 | 205.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 2,700 | 215.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Written | 13,100 | 215.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Written | 3,300 | 225.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Written | 1,700 | 230.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 2,700 | 230.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Written | 100 | 235.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 100 | 235.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Written | 200 | 245.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Written | 2,200 | 245.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 300 | 275.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 300 | 280.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 1,800 | 165.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 1,000 | 215.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 15,900 | 225.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 2,800 | 225.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 6,000 | 230.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 3,600 | 235.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 1,000 | 250.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 1,000 | 255.0000 | American | 20 Sep 2014 | |||||||
ADR | Call Options | Purchased | 200 | 255.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 8,300 | 260.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 15,700 | 260.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 3,100 | 265.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 10,300 | 265.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 100 | 270.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 326,200 | 270.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 3,300 | 275.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 1,800 | 280.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 100 | 285.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 100 | 300.0000 | American | 17 Apr 2015 | |||||||
ADR | Call Options | Purchased | 100 | 305.0000 | American | 17 Apr 2015 | |||||||
ADR | Call Options | Written | -1,200 | 155.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -2,200 | 160.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -5,800 | 175.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -200 | 180.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -200 | 180.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -200 | 185.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -1,100 | 190.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -2,300 | 195.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -200 | 195.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -2,000 | 200.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -200 | 210.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -300 | 210.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -57,600 | 220.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -300 | 220.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -8,400 | 225.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -1,900 | 230.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -3,500 | 230.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -1,100 | 235.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -2,800 | 235.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -100 | 240.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -99,200 | 240.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -4,800 | 245.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -23,700 | 250.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -323,300 | 255.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -100 | 320.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -400 | 330.0000 | American | 17 Jan 2015 |
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 contracts for differences (“CFDs”) or spread bets.
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 dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
Copyright Business Wire 2014
Related Shares:
BarclaysShire