6th Aug 2014 14:49
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: | 5 August 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: | 10,101,904 | 1.71% | 4,625,003 | 0.78% | |||||||
(2) | Derivatives (other than | ||||||||||
options): | 2,764,415 | 0.47% | 3,701,829 | 0.63% | |||||||
(3) | Options and agreements to | ||||||||||
purchase/sell: | 1,484,100 | 0.25% | 1,317,900 | 0.22% | |||||||
TOTAL: | 14,350,419 | 2.43% | 9,644,732 | 1.63% |
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 | Purchase | 18 | 48.9250 GBP | ||||
ORD | Purchase | 24 | 48.8950 GBP | ||||
ORD | Purchase | 26 | 48.9340 GBP | ||||
ORD | Purchase | 34 | 48.9490 GBP | ||||
ORD | Purchase | 40 | 48.9760 GBP | ||||
ORD | Purchase | 58 | 48.8760 GBP | ||||
ORD | Purchase | 69 | 49.0340 GBP | ||||
ORD | Purchase | 75 | 48.9790 GBP | ||||
ORD | Purchase | 77 | 48.9950 GBP | ||||
ORD | Purchase | 78 | 48.8410 GBP | ||||
ORD | Purchase | 78 | 48.8860 GBP | ||||
ORD | Purchase | 91 | 48.8700 GBP | ||||
ORD | Purchase | 111 | 48.9450 GBP | ||||
ORD | Purchase | 113 | 48.8600 GBP | ||||
ORD | Purchase | 127 | 48.9750 GBP | ||||
ORD | Purchase | 134 | 48.9327 GBP | ||||
ORD | Purchase | 150 | 48.8750 GBP | ||||
ORD | Purchase | 157 | 48.9285 GBP | ||||
ORD | Purchase | 200 | 49.0550 GBP | ||||
ORD | Purchase | 250 | 48.9550 GBP | ||||
ORD | Purchase | 331 | 48.9350 GBP | ||||
ORD | Purchase | 338 | 48.9600 GBP | ||||
ORD | Purchase | 344 | 48.9850 GBP | ||||
ORD | Purchase | 381 | 48.9100 GBP | ||||
ORD | Purchase | 410 | 48.9200 GBP | ||||
ORD | Purchase | 428 | 48.9150 GBP | ||||
ORD | Purchase | 508 | 48.9695 GBP | ||||
ORD | Purchase | 544 | 49.0000 GBP | ||||
ORD | Purchase | 589 | 48.8900 GBP | ||||
ORD | Purchase | 627 | 48.9050 GBP | ||||
ORD | Purchase | 1,034 | 48.8910 GBP | ||||
ORD | Purchase | 1,047 | 48.9700 GBP | ||||
ORD | Purchase | 1,200 | 48.7600 GBP | ||||
ORD | Purchase | 1,337 | 48.9500 GBP | ||||
ORD | Purchase | 1,693 | 48.9300 GBP | ||||
ORD | Purchase | 1,699 | 48.8800 GBP | ||||
ORD | Purchase | 1,943 | 48.9000 GBP | ||||
ORD | Purchase | 2,105 | 48.9400 GBP | ||||
ORD | Purchase | 2,986 | 48.9499 GBP | ||||
ORD | Purchase | 3,361 | 48.9206 GBP | ||||
ORD (traded as ADR) | Purchase | 4,908 | 246.6831 USD | ||||
ORD | Purchase | 6,329 | 48.9181 GBP | ||||
ORD | Purchase | 7,099 | 48.8966 GBP | ||||
ORD | Purchase | 8,797 | 48.9276 GBP | ||||
ORD (traded as ADR) | Purchase | 9,045 | 246.9507 USD | ||||
ORD | Purchase | 9,547 | 48.9205 GBP | ||||
ORD | Purchase | 10,372 | 48.9444 GBP | ||||
ORD | Purchase | 22,728 | 48.9115 GBP | ||||
ORD | Purchase | 23,456 | 48.9800 GBP | ||||
ORD | Purchase | 23,536 | 48.8500 GBP | ||||
ORD | Purchase | 23,887 | 48.9900 GBP | ||||
ORD | Purchase | 27,980 | 49.0600 GBP | ||||
ORD | Purchase | 39,594 | 48.8822 GBP | ||||
ORD | Purchase | 72,023 | 48.9292 GBP | ||||
ORD | Purchase | 97,083 | 48.9238 GBP | ||||
ORD | Purchase | 145,540 | 48.9447 GBP | ||||
ORD | Purchase | 211,944 | 48.9310 GBP | ||||
ORD | Sale | 18 | 48.9250 GBP | ||||
ORD | Sale | 24 | 48.8950 GBP | ||||
ORD | Sale | 26 | 48.9340 GBP | ||||
ORD | Sale | 34 | 48.9490 GBP | ||||
ORD | Sale | 40 | 48.9760 GBP | ||||
ORD | Sale | 41 | 49.0600 GBP | ||||
ORD | Sale | 43 | 49.0312 GBP | ||||
ORD | Sale | 46 | 48.9310 GBP | ||||
ORD | Sale | 58 | 48.8760 GBP | ||||
ORD | Sale | 69 | 49.0340 GBP | ||||
ORD | Sale | 75 | 48.9790 GBP | ||||
ORD | Sale | 77 | 48.9950 GBP | ||||
ORD | Sale | 78 | 48.8410 GBP | ||||
ORD | Sale | 78 | 48.8860 GBP | ||||
ORD | Sale | 91 | 48.8700 GBP | ||||
ORD | Sale | 105 | 48.9583 GBP | ||||
ORD | Sale | 111 | 48.9450 GBP | ||||
ORD | Sale | 113 | 48.8600 GBP | ||||
ORD | Sale | 127 | 48.9750 GBP | ||||
ORD | Sale | 150 | 48.8750 GBP | ||||
ORD | Sale | 159 | 48.9096 GBP | ||||
ORD | Sale | 174 | 48.9800 GBP | ||||
ORD | Sale | 200 | 48.9812 GBP | ||||
ORD | Sale | 250 | 48.9550 GBP | ||||
ORD | Sale | 254 | 48.8500 GBP | ||||
ORD | Sale | 331 | 48.9350 GBP | ||||
ORD | Sale | 338 | 48.9600 GBP | ||||
ORD | Sale | 344 | 48.9850 GBP | ||||
ORD | Sale | 381 | 48.9100 GBP | ||||
ORD | Sale | 410 | 48.9200 GBP | ||||
ORD | Sale | 428 | 48.9150 GBP | ||||
ORD | Sale | 544 | 49.0000 GBP | ||||
ORD | Sale | 589 | 48.8900 GBP | ||||
ORD | Sale | 627 | 48.9050 GBP | ||||
ORD | Sale | 747 | 48.9700 GBP | ||||
ORD | Sale | 996 | 48.9900 GBP | ||||
ORD | Sale | 1,237 | 48.9500 GBP | ||||
ORD | Sale | 1,258 | 48.9000 GBP | ||||
ORD | Sale | 1,386 | 48.8800 GBP | ||||
ORD | Sale | 1,649 | 48.9732 GBP | ||||
ORD | Sale | 1,693 | 48.9300 GBP | ||||
ORD | Sale | 2,105 | 48.9400 GBP | ||||
ORD | Sale | 3,011 | 48.9628 GBP | ||||
ORD | Sale | 4,413 | 48.9190 GBP | ||||
ORD (traded as ADR) | Sale | 4,908 | 246.6831 USD | ||||
ORD | Sale | 5,367 | 48.9356 GBP | ||||
ORD | Sale | 5,800 | 48.9663 GBP | ||||
ORD | Sale | 7,367 | 48.7600 GBP | ||||
ORD (traded as ADR) | Sale | 9,045 | 246.9507 USD | ||||
ORD | Sale | 9,353 | 48.9302 GBP | ||||
ORD | Sale | 15,488 | 48.9447 GBP | ||||
ORD | Sale | 16,403 | 48.9397 GBP | ||||
ORD | Sale | 21,011 | 48.9088 GBP | ||||
ORD | Sale | 23,371 | 48.9294 GBP | ||||
ORD | Sale | 30,454 | 48.9446 GBP | ||||
ORD | Sale | 33,471 | 48.9307 GBP | ||||
ORD | Sale | 47,547 | 48.9505 GBP | ||||
ORD | Sale | 60,891 | 48.9381 GBP | ||||
ORD | Sale | 70,839 | 48.9289 GBP | ||||
ORD | Sale | 94,591 | 48.9227 GBP | ||||
ORD | Sale | 176,210 | 48.9347 GBP |
(b) Derivatives transactions (other than options)
Class of | Product | Nature of dealing | Number of | Price per | |||||
relevant | description | reference | unit | ||||||
security | securities | ||||||||
ORD | CFD | Long | 489 | 48.8633 GBP | |||||
ORD | CFD | Long | 1,315 | 48.9342 GBP | |||||
ORD | SWAP | Long | 1,619 | 48.9001 GBP | |||||
ORD | SWAP | Long | 1,649 | 48.9732 GBP | |||||
ORD | SWAP | Long | 30,544 | 48.9457 GBP | |||||
ORD | SWAP | Short | 157 | 48.9285 GBP | |||||
ORD | CFD | Short | 1,034 | 48.8910 GBP | |||||
ORD | CFD | Short | 1,160 | 48.8989 GBP | |||||
ORD | SWAP | Short | 1,180 | 48.9378 GBP | |||||
ORD | SWAP | Short | 1,608 | 49.0061 GBP | |||||
ORD | SWAP | Short | 3,501 | 48.9545 GBP | |||||
ORD | CFD | Short | 5,937 | 48.7643 GBP | |||||
ORD | CFD | Short | 2,986 | 48.9499 GBP | |||||
ORD | CFD | Short | 20,642 | 48.9346 GBP | |||||
ORD | CFD | Short | 28,875 | 48.9490 GBP |
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option | ||||||||
of | description | purchasing, | of | price | date | money | |||||||||
relevant | selling, | securities | per unit | paid/ | |||||||||||
security | varying etc | to which | received | ||||||||||||
option | per unit | ||||||||||||||
relates | |||||||||||||||
ADR | Call Options | Purchasing | 3,600 | 235 USD | American | 18 Oct 2014 | 18.0000 USD | ||||||||
ADR | Call Options | Selling | 1,000 | 255 USD | American | 17 Jan 2015 | 9.5000 USD | ||||||||
ADR | Put Options | Selling | 200 | 215 USD | American | 20 Sep 2014 | 1.0000 USD | ||||||||
ADR | Put Options | Selling | 2,000 | 230 USD | American | 18 Oct 2014 | 5.1000 USD | ||||||||
ADR | Put Options | Selling | 6,100 | 240 USD | American | 16 Aug 2014 | 1.8000 USD | ||||||||
ADR | Put Options | Selling | 2,200 | 245 USD | American | 18 Oct 2014 | 9.2000 USD |
(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: | 6 Aug 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.
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 | -600 | 185.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Purchased | -200 | 190.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Purchased | -100 | 215.0000 | American | 16 Aug 2014 | |||||||
ADR | Put Options | Purchased | -100 | 220.0000 | American | 16 Aug 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 | -3,800 | 250.0000 | American | 16 Aug 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 | -1,600 | 270.0000 | American | 16 Aug 2014 | |||||||
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 | 700 | 195.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 100 | 200.0000 | American | 16 Aug 2014 | |||||||
ADR | Put Options | Written | 200 | 200.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 300 | 205.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 100 | 210.0000 | American | 16 Aug 2014 | |||||||
ADR | Put Options | Written | 200 | 215.0000 | American | 20 Sep 2014 | |||||||
ADR | Put Options | Written | 100 | 225.0000 | American | 16 Aug 2014 | |||||||
ADR | Put Options | Written | 1,700 | 230.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 200 | 230.0000 | American | 17 Jan 2015 | |||||||
ADR | Put Options | Written | 100 | 235.0000 | American | 18 Oct 2014 | |||||||
ADR | Put Options | Written | 5,000 | 240.0000 | American | 16 Aug 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 | 1,600 | 215.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Purchased | 1,000 | 215.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 900 | 230.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Purchased | 3,600 | 235.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 100 | 240.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Purchased | 1,600 | 250.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 20,000 | 255.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Purchased | 200 | 255.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 126,300 | 260.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Purchased | 3,500 | 260.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 400 | 260.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 1,600 | 265.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Purchased | 3,100 | 265.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Purchased | 7,500 | 265.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 300,000 | 270.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Purchased | 100 | 280.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Purchased | 100 | 285.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -1,200 | 155.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -2,500 | 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 | -100 | 180.0000 | 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 | -2,000 | 200.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -200 | 210.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -2,200 | 220.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -1,600 | 230.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -500 | 230.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -1,100 | 235.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -2,400 | 235.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -81,000 | 240.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Written | -100 | 240.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -200 | 240.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -300 | 245.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -3,100 | 250.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Written | -100 | 255.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Written | -310,500 | 255.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -6,000 | 265.0000 | American | 16 Aug 2014 | |||||||
ADR | Call Options | Written | -200 | 270.0000 | American | 18 Oct 2014 | |||||||
ADR | Call Options | Written | -1,900 | 270.0000 | American | 17 Jan 2015 | |||||||
ADR | Call Options | Written | -100 | 320.0000 | 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