21st Aug 2014 12:37
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 being disclosed: | Barclays PLC. | |
| (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 securities this form relates: Use a separate form for each offeror/offeree | SHIRE PLC | |
| (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: | 20 August 2014 | |
| (f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer? | YES ABBVIE INC
|
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: | 9,764,931 | 1.66% | 3,935,062 | 0.67% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 2,097,841 | 0.36% | 3,863,818 | 0.66% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,289,700 | 0.22% | 1,344,300 | 0.23% | |||||||
| (4) | |||||||||||
| TOTAL: | 13,152,472 | 2.24% | 9,143,180 | 1.55% |
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 | 46 | 48.9920 GBP | ||||||
| ORD | Purchase | 46 | 49.0150 GBP | ||||||
| ORD (traded as ADR) | Purchase | 51 | 245.4500 USD | ||||||
| ORD | Purchase | 57 | 49.0100 GBP | ||||||
| ORD | Purchase | 62 | 49.0500 GBP | ||||||
| ORD | Purchase | 63 | 48.9900 GBP | ||||||
| ORD | Purchase | 77 | 48.9960 GBP | ||||||
| ORD | Purchase | 161 | 49.1200 GBP | ||||||
| ORD (traded as ADR) | Purchase | 189 | 245.5500 USD | ||||||
| ORD | Purchase | 295 | 48.9804 GBP | ||||||
| ORD (traded as ADR) | Purchase | 300 | 244.6000 USD | ||||||
| ORD (traded as ADR) | Purchase | 300 | 244.9000 USD | ||||||
| ORD | Purchase | 468 | 48.9585 GBP | ||||||
| ORD | Purchase | 535 | 48.9800 GBP | ||||||
| ORD | Purchase | 632 | 49.0300 GBP | ||||||
| ORD | Purchase | 691 | 49.0370 GBP | ||||||
| ORD (traded as ADR) | Purchase | 900 | 245.1026 USD | ||||||
| ORD (traded as ADR) | Purchase | 900 | 245.3366 USD | ||||||
| ORD (traded as ADR) | Purchase | 900 | 246.0420 USD | ||||||
| ORD (traded as ADR) | Purchase | 1,200 | 245.9194 USD | ||||||
| ORD | Purchase | 1,404 | 49.0136 GBP | ||||||
| ORD | Purchase | 1,882 | 48.9994 GBP | ||||||
| ORD | Purchase | 2,006 | 49.0980 GBP | ||||||
| ORD | Purchase | 2,010 | 49.1000 GBP | ||||||
| ORD (traded as ADR) | Purchase | 2,013 | 245.0075 USD | ||||||
| ORD (traded as ADR) | Purchase | 2,100 | 245.7800 USD | ||||||
| ORD (traded as ADR) | Purchase | 2,400 | 245.9223 USD | ||||||
| ORD (traded as ADR) | Purchase | 2,700 | 245.1303 USD | ||||||
| ORD (traded as ADR) | Purchase | 3,000 | 245.6216 USD | ||||||
| ORD | Purchase | 3,195 | 49.0000 GBP | ||||||
| ORD (traded as ADR) | Purchase | 4,500 | 245.4531 USD | ||||||
| ORD (traded as ADR) | Purchase | 4,860 | 245.2812 USD | ||||||
| ORD | Purchase | 4,964 | 49.0334 GBP | ||||||
| ORD | Purchase | 7,012 | 48.9858 GBP | ||||||
| ORD (traded as ADR) | Purchase | 9,129 | 245.7303 USD | ||||||
| ORD | Purchase | 14,706 | 49.0079 GBP | ||||||
| ORD (traded as ADR) | Purchase | 18,000 | 245.4178 USD | ||||||
| ORD | Purchase | 18,008 | 48.9706 GBP | ||||||
| ORD | Purchase | 21,627 | 49.1300 GBP | ||||||
| ORD | Purchase | 24,328 | 48.9650 GBP | ||||||
| ORD | Purchase | 25,824 | 48.9875 GBP | ||||||
| ORD | Purchase | 28,663 | 48.9978 GBP | ||||||
| ORD | Purchase | 33,734 | 48.9450 GBP | ||||||
| ORD | Purchase | 47,492 | 48.9967 GBP | ||||||
| ORD | Purchase | 48,500 | 48.9700 GBP | ||||||
| ORD | Purchase | 49,401 | 48.9925 GBP | ||||||
| ORD | Purchase | 64,992 | 49.0700 GBP | ||||||
| ORD | Purchase | 82,572 | 49.0002 GBP | ||||||
| ORD | Purchase | 89,091 | 48.9902 GBP | ||||||
| ORD | Purchase | 140,525 | 49.0460 GBP | ||||||
| ORD | Purchase | 162,829 | 48.9100 GBP | ||||||
| ORD | Purchase | 556,690 | 48.9200 GBP | ||||||
| ORD | Sale | 46 | 48.9920 GBP | ||||||
| ORD | Sale | 46 | 49.0150 GBP | ||||||
| ORD (traded as ADR) | Sale | 51 | 245.4500 USD | ||||||
| ORD | Sale | 59 | 49.0100 GBP | ||||||
| ORD | Sale | 62 | 49.0500 GBP | ||||||
| ORD | Sale | 63 | 48.9900 GBP | ||||||
| ORD | Sale | 77 | 48.9960 GBP | ||||||
| ORD | Sale | 77 | 49.0700 GBP | ||||||
| ORD | Sale | 161 | 49.1200 GBP | ||||||
| ORD | Sale | 218 | 49.0912 GBP | ||||||
| ORD (traded as ADR) | Sale | 300 | 245.7000 USD | ||||||
| ORD | Sale | 335 | 48.9200 GBP | ||||||
| ORD | Sale | 434 | 48.9784 GBP | ||||||
| ORD | Sale | 535 | 48.9800 GBP | ||||||
| ORD (traded as ADR) | Sale | 600 | 245.7300 USD | ||||||
| ORD (traded as ADR) | Sale | 813 | 244.5204 USD | ||||||
| ORD (traded as ADR) | Sale | 900 | 244.8326 USD | ||||||
| ORD (traded as ADR) | Sale | 900 | 244.9633 USD | ||||||
| ORD (traded as ADR) | Sale | 900 | 245.5066 USD | ||||||
| ORD (traded as ADR) | Sale | 900 | 245.5533 USD | ||||||
| ORD (traded as ADR) | Sale | 900 | 245.7866 USD | ||||||
| ORD (traded as ADR) | Sale | 900 | 245.9433 USD | ||||||
| ORD (traded as ADR) | Sale | 900 | 246.0666 USD | ||||||
| ORD | Sale | 1,056 | 48.9963 GBP | ||||||
| ORD | Sale | 1,079 | 48.9469 GBP | ||||||
| ORD (traded as ADR) | Sale | 1,260 | 244.8038 USD | ||||||
| ORD | Sale | 1,457 | 48.9828 GBP | ||||||
| ORD (traded as ADR) | Sale | 1,500 | 245.5546 USD | ||||||
| ORD | Sale | 1,638 | 48.9798 GBP | ||||||
| ORD | Sale | 1,649 | 48.9924 GBP | ||||||
| ORD | Sale | 1,722 | 49.1300 GBP | ||||||
| ORD | Sale | 2,010 | 49.1000 GBP | ||||||
| ORD (traded as ADR) | Sale | 2,100 | 245.6465 USD | ||||||
| ORD (traded as ADR) | Sale | 2,400 | 245.9223 USD | ||||||
| ORD | Sale | 2,510 | 48.9952 GBP | ||||||
| ORD (traded as ADR) | Sale | 2,700 | 245.1303 USD | ||||||
| ORD | Sale | 3,037 | 48.9113 GBP | ||||||
| ORD | Sale | 3,370 | 49.0000 GBP | ||||||
| ORD | Sale | 3,383 | 48.9824 GBP | ||||||
| ORD (traded as ADR) | Sale | 3,900 | 245.5005 USD | ||||||
| ORD (traded as ADR) | Sale | 4,800 | 245.1531 USD | ||||||
| ORD (traded as ADR) | Sale | 5,829 | 245.7233 USD | ||||||
| ORD (traded as ADR) | Sale | 6,000 | 245.3820 USD | ||||||
| ORD | Sale | 6,935 | 48.9855 GBP | ||||||
| ORD (traded as ADR) | Sale | 9,000 | 245.4178 USD | ||||||
| ORD | Sale | 15,674 | 49.1052 GBP | ||||||
| ORD | Sale | 17,706 | 48.9694 GBP | ||||||
| ORD | Sale | 23,304 | 49.0300 GBP | ||||||
| ORD | Sale | 24,348 | 48.9852 GBP | ||||||
| ORD | Sale | 27,761 | 49.0083 GBP | ||||||
| ORD | Sale | 28,639 | 48.9316 GBP | ||||||
| ORD | Sale | 54,642 | 48.9326 GBP | ||||||
| ORD | Sale | 62,837 | 48.9387 GBP | ||||||
| ORD | Sale | 64,364 | 48.9308 GBP | ||||||
| ORD | Sale | 71,322 | 48.9807 GBP | ||||||
| ORD | Sale | 88,899 | 48.9839 GBP | ||||||
| ORD | Sale | 937,727 | 48.9285 GBP | ||||||
| (b) | Derivatives transactions (other than options) | ||||||||
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | SWAP | Long | 1,028 | 48.9566 GBP | |||||
| ORD | CFD | Long | 1,079 | 48.9469 GBP | |||||
| ORD | CFD | Long | 3,037 | 48.9113 GBP | |||||
| ORD | CFD | Long | 6,433 | 48.9873 GBP | |||||
| ORD | CFD | Long | 16,424 | 48.9426 GBP | |||||
| ORD | SWAP | Short | 468 | 48.9586 GBP | |||||
| ORD | SWAP | Short | 500 | 49.0685 GBP | |||||
| ORD | SWAP | Short | 1,011 | 48.9724 GBP | |||||
| ORD | CFD | Short | 1,882 | 48.9994 GBP | |||||
| ORD | SWAP | Short | 2,580 | 49.0395 GBP | |||||
| ORD | CFD | Short | 3,900 | 49.1344 GBP | |||||
| ORD | CFD | Short | 2,006 | 49.0980 GBP | |||||
| ORD | CFD | Short | 9,307 | 49.1035 GBP |
(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: | 21 August 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 person whose open positions are being disclosed: | Barclays PLC. | |
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | SHIRE PLC |
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 | -1,000 | 210.0000 | American | 17 Jan 2015 | |||||||
| 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 | -300 | 255.0000 | American | 17 Jan 2015 | |||||||
| ADR | Put Options | Purchased | -1,000 | 260.0000 | American | 18 Oct 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 | 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 | 200 | 215.0000 | American | 20 Sep 2014 | |||||||
| ADR | Put Options | Written | 13,100 | 215.0000 | American | 17 Jan 2015 | |||||||
| ADR | Put Options | Written | 3,400 | 225.0000 | American | 20 Sep 2014 | |||||||
| ADR | Put Options | Written | 1,700 | 230.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Written | 400 | 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 | 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 | 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 | 8,000 | 265.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Purchased | 321,300 | 270.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Purchased | 3,300 | 275.0000 | 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 | -2,500 | 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 | -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 | -1,200 | 240.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Written | -800 | 245.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Written | -20,600 | 250.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Written | -319,600 | 255.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Written | -200 | 270.0000 | American | 18 Oct 2014 | |||||||
| 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:
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