11th Sep 2014 13:44
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: | 10 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: | 9,950,707 | 1.69% | 3,787,599 | 0.64% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 2,097,380 | 0.36% | 3,914,747 | 0.66% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,339,500 | 0.23% | 1,858,500 | 0.32% | |||||||
| TOTAL: | 13,387,587 | 2.28% | 9,560,846 | 1.62% | |||||||
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 | 105 | 51.5500 GBP | ||||
| ORD | Purchase | 142 | 51.9250 GBP | ||||
| ORD (traded as ADR) | Purchase | 174 | 253.5400 USD | ||||
| ORD | Purchase | 188 | 51.9820 GBP | ||||
| ORD | Purchase | 220 | 51.7000 GBP | ||||
| ORD | Purchase | 221 | 51.6500 GBP | ||||
| ORD | Purchase | 221 | 51.8500 GBP | ||||
| ORD | Purchase | 223 | 51.8000 GBP | ||||
| ORD (traded as ADR) | Purchase | 300 | 253.3400 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 253.3997 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 253.5900 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 253.6000 USD | ||||
| ORD | Purchase | 344 | 52.0500 GBP | ||||
| ORD | Purchase | 400 | 51.7974 GBP | ||||
| ORD (traded as ADR) | Purchase | 600 | 250.9678 USD | ||||
| ORD (traded as ADR) | Purchase | 600 | 253.4120 USD | ||||
| ORD (traded as ADR) | Purchase | 600 | 253.5297 USD | ||||
| ORD (traded as ADR) | Purchase | 600 | 253.5929 USD | ||||
| ORD (traded as ADR) | Purchase | 600 | 253.5940 USD | ||||
| ORD | Purchase | 680 | 51.9000 GBP | ||||
| ORD | Purchase | 707 | 51.9327 GBP | ||||
| ORD | Purchase | 752 | 51.9500 GBP | ||||
| ORD (traded as ADR) | Purchase | 780 | 253.3892 USD | ||||
| ORD | Purchase | 905 | 51.8633 GBP | ||||
| ORD (traded as ADR) | Purchase | 1,056 | 253.1438 USD | ||||
| ORD (traded as ADR) | Purchase | 1,200 | 253.4559 USD | ||||
| ORD | Purchase | 1,205 | 51.8965 GBP | ||||
| ORD | Purchase | 1,506 | 51.7802 GBP | ||||
| ORD (traded as ADR) | Purchase | 1,689 | 253.4500 USD | ||||
| ORD (traded as ADR) | Purchase | 1,926 | 253.0897 USD | ||||
| ORD (traded as ADR) | Purchase | 2,148 | 252.7107 USD | ||||
| ORD (traded as ADR) | Purchase | 2,700 | 252.3711 USD | ||||
| ORD (traded as ADR) | Purchase | 2,880 | 250.8733 USD | ||||
| ORD | Purchase | 3,202 | 51.9529 GBP | ||||
| ORD (traded as ADR) | Purchase | 3,300 | 252.7560 USD | ||||
| ORD | Purchase | 3,792 | 51.8113 GBP | ||||
| ORD | Purchase | 4,767 | 51.7242 GBP | ||||
| ORD | Purchase | 6,340 | 51.7424 GBP | ||||
| ORD (traded as ADR) | Purchase | 6,900 | 253.5234 USD | ||||
| ORD (traded as ADR) | Purchase | 6,978 | 251.3301 USD | ||||
| ORD (traded as ADR) | Purchase | 9,300 | 253.2745 USD | ||||
| ORD | Purchase | 10,116 | 51.9407 GBP | ||||
| ORD | Purchase | 18,324 | 51.9320 GBP | ||||
| ORD | Purchase | 23,145 | 51.8740 GBP | ||||
| ORD | Purchase | 27,056 | 51.9347 GBP | ||||
| ORD | Purchase | 28,428 | 51.8922 GBP | ||||
| ORD | Purchase | 31,472 | 51.9057 GBP | ||||
| ORD | Purchase | 31,607 | 51.9328 GBP | ||||
| ORD | Purchase | 32,615 | 51.8836 GBP | ||||
| ORD | Purchase | 107,992 | 51.8930 GBP | ||||
| ORD | Purchase | 130,924 | 51.8818 GBP | ||||
| ORD (traded as ADR) | Sale | 9 | 250.7000 USD | ||||
| ORD (traded as ADR) | Sale | 27 | 250.6400 USD | ||||
| ORD (traded as ADR) | Sale | 30 | 251.4570 USD | ||||
| ORD | Sale | 42 | 52.2000 GBP | ||||
| ORD (traded as ADR) | Sale | 72 | 251.0587 USD | ||||
| ORD (traded as ADR) | Sale | 81 | 250.8055 USD | ||||
| ORD | Sale | 105 | 51.5500 GBP | ||||
| ORD (traded as ADR) | Sale | 108 | 250.9152 USD | ||||
| ORD (traded as ADR) | Sale | 156 | 253.0500 USD | ||||
| ORD | Sale | 221 | 51.6500 GBP | ||||
| ORD | Sale | 221 | 51.8500 GBP | ||||
| ORD | Sale | 223 | 51.8000 GBP | ||||
| ORD (traded as ADR) | Sale | 300 | 250.9678 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 253.5600 USD | ||||
| ORD | Sale | 344 | 52.0500 GBP | ||||
| ORD | Sale | 503 | 52.1105 GBP | ||||
| ORD (traded as ADR) | Sale | 600 | 250.1300 USD | ||||
| ORD | Sale | 752 | 51.9500 GBP | ||||
| ORD | Sale | 771 | 51.8848 GBP | ||||
| ORD | Sale | 800 | 51.7500 GBP | ||||
| ORD (traded as ADR) | Sale | 900 | 252.4940 USD | ||||
| ORD | Sale | 1,041 | 51.9000 GBP | ||||
| ORD | Sale | 1,058 | 51.8248 GBP | ||||
| ORD | Sale | 1,165 | 51.9690 GBP | ||||
| ORD (traded as ADR) | Sale | 1,200 | 253.1600 USD | ||||
| ORD (traded as ADR) | Sale | 1,200 | 253.3387 USD | ||||
| ORD (traded as ADR) | Sale | 1,500 | 250.5500 USD | ||||
| ORD (traded as ADR) | Sale | 1,500 | 252.9480 USD | ||||
| ORD | Sale | 1,506 | 51.7802 GBP | ||||
| ORD (traded as ADR) | Sale | 1,518 | 252.8933 USD | ||||
| ORD (traded as ADR) | Sale | 2,400 | 252.8542 USD | ||||
| ORD (traded as ADR) | Sale | 2,400 | 253.4559 USD | ||||
| ORD (traded as ADR) | Sale | 2,553 | 250.5601 USD | ||||
| ORD (traded as ADR) | Sale | 2,700 | 252.7222 USD | ||||
| ORD (traded as ADR) | Sale | 3,081 | 250.8097 USD | ||||
| ORD (traded as ADR) | Sale | 3,297 | 252.5112 USD | ||||
| ORD (traded as ADR) | Sale | 3,510 | 253.0316 USD | ||||
| ORD | Sale | 3,515 | 51.9266 GBP | ||||
| ORD | Sale | 4,105 | 51.7000 GBP | ||||
| ORD | Sale | 4,232 | 51.8167 GBP | ||||
| ORD | Sale | 6,018 | 51.7443 GBP | ||||
| ORD | Sale | 6,778 | 51.8833 GBP | ||||
| ORD (traded as ADR) | Sale | 6,900 | 253.5234 USD | ||||
| ORD | Sale | 8,592 | 51.7852 GBP | ||||
| ORD | Sale | 10,500 | 51.7853 GBP | ||||
| ORD | Sale | 13,350 | 51.8986 GBP | ||||
| ORD | Sale | 20,000 | 51.8999 GBP | ||||
| ORD | Sale | 25,447 | 51.8946 GBP | ||||
| ORD | Sale | 27,043 | 51.8899 GBP | ||||
| ORD | Sale | 38,029 | 51.9122 GBP | ||||
| ORD | Sale | 74,939 | 51.8819 GBP | ||||
| ORD | Sale | 108,000 | 51.9267 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 | 281 | 51.7282 GBP | |||||
| ORD | CFD | Long | 309 | 51.8268 GBP | |||||
| ORD | CFD | Long | 1,165 | 51.9690 GBP | |||||
| ORD | SWAP | Long | 3,353 | 51.8895 GBP | |||||
| ORD | SWAP | Short | 707 | 51.9328 GBP | |||||
| ORD | SWAP | Short | 2,682 | 51.7904 GBP | |||||
| ORD | CFD | Short | 3,202 | 51.9529 GBP | |||||
| ORD | CFD | Short | 10,116 | 51.9407 GBP | |||||
| ORD | SWAP | Short | 36,787 | 51.8816 GBP | |||||
| ORD | CFD | Short | 39,441 | 51.9436 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 | 1,000 | 255 USD | American | 20 Sep 2014 | 1.6000 USD | ||||||||
| ADR | Call Options | Selling | 1,000 | 270 USD | American | 17 Jan 2015 | 8.4000 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: | 11 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.
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 | -1,000 | 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 | -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 | 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 | 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 | 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 | 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 | 327,800 | 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 |
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