19th Aug 2014 15:24
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: | 18 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: | 9,747,232 | 1.65% | 3,935,801 | 0.67% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 2,098,679 | 0.36% | 3,827,465 | 0.65% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,259,400 | 0.21% | 1,344,300 | 0.23% | |||||||
| (4) | |||||||||||
| TOTAL: | 13,105,311 | 2.22% | 9,107,566 | 1.54% | |||||||
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 | 10 | 48.7260 GBP | ||||
| ORD | Purchase | 23 | 48.8100 GBP | ||||
| ORD | Purchase | 28 | 48.6400 GBP | ||||
| ORD | Purchase | 28 | 48.7200 GBP | ||||
| ORD | Purchase | 34 | 48.6450 GBP | ||||
| ORD | Purchase | 34 | 48.7550 GBP | ||||
| ORD | Purchase | 34 | 48.8110 GBP | ||||
| ORD | Purchase | 41 | 48.5300 GBP | ||||
| ORD | Purchase | 50 | 48.7000 GBP | ||||
| ORD | Purchase | 50 | 48.8400 GBP | ||||
| ORD | Purchase | 57 | 48.4700 GBP | ||||
| ORD | Purchase | 57 | 48.8210 GBP | ||||
| ORD | Purchase | 62 | 48.5550 GBP | ||||
| ORD | Purchase | 62 | 48.6390 GBP | ||||
| ORD | Purchase | 62 | 48.6800 GBP | ||||
| ORD | Purchase | 66 | 48.5950 GBP | ||||
| ORD | Purchase | 67 | 48.4350 GBP | ||||
| ORD | Purchase | 68 | 48.5000 GBP | ||||
| ORD | Purchase | 73 | 48.6050 GBP | ||||
| ORD | Purchase | 74 | 48.5800 GBP | ||||
| ORD | Purchase | 75 | 48.6010 GBP | ||||
| ORD | Purchase | 84 | 48.5650 GBP | ||||
| ORD | Purchase | 88 | 48.5290 GBP | ||||
| ORD | Purchase | 122 | 48.5250 GBP | ||||
| ORD | Purchase | 124 | 48.5200 GBP | ||||
| ORD | Purchase | 126 | 48.6500 GBP | ||||
| ORD | Purchase | 130 | 48.6350 GBP | ||||
| ORD | Purchase | 142 | 48.3400 GBP | ||||
| ORD | Purchase | 172 | 48.4900 GBP | ||||
| ORD | Purchase | 180 | 48.5400 GBP | ||||
| ORD | Purchase | 294 | 48.7500 GBP | ||||
| ORD (traded as ADR) | Purchase | 300 | 244.6732 USD | ||||
| ORD | Purchase | 320 | 48.6100 GBP | ||||
| ORD | Purchase | 330 | 48.5700 GBP | ||||
| ORD | Purchase | 378 | 48.7493 GBP | ||||
| ORD | Purchase | 382 | 48.5500 GBP | ||||
| ORD | Purchase | 742 | 48.7219 GBP | ||||
| ORD | Purchase | 1,010 | 48.6000 GBP | ||||
| ORD | Purchase | 1,786 | 48.6590 GBP | ||||
| ORD | Purchase | 1,951 | 48.5758 GBP | ||||
| ORD | Purchase | 3,057 | 48.5717 GBP | ||||
| ORD | Purchase | 6,974 | 48.5983 GBP | ||||
| ORD | Purchase | 7,415 | 48.5600 GBP | ||||
| ORD | Purchase | 8,215 | 48.5931 GBP | ||||
| ORD | Purchase | 9,000 | 48.9000 GBP | ||||
| ORD (traded as ADR) | Purchase | 9,300 | 243.7329 USD | ||||
| ORD | Purchase | 11,719 | 48.6188 GBP | ||||
| ORD | Purchase | 13,550 | 48.6346 GBP | ||||
| ORD | Purchase | 13,640 | 48.7074 GBP | ||||
| ORD | Purchase | 31,430 | 48.6251 GBP | ||||
| ORD | Purchase | 31,620 | 48.6433 GBP | ||||
| ORD | Purchase | 39,800 | 48.8800 GBP | ||||
| ORD | Purchase | 40,388 | 48.6352 GBP | ||||
| ORD | Purchase | 45,775 | 48.6423 GBP | ||||
| ORD | Purchase | 54,563 | 48.6222 GBP | ||||
| ORD | Purchase | 59,521 | 48.6156 GBP | ||||
| ORD | Purchase | 61,312 | 48.6491 GBP | ||||
| ORD | Purchase | 149,477 | 48.6402 GBP | ||||
| ORD | Sale | 10 | 48.7260 GBP | ||||
| ORD | Sale | 23 | 48.8100 GBP | ||||
| ORD | Sale | 28 | 48.6400 GBP | ||||
| ORD | Sale | 28 | 48.7200 GBP | ||||
| ORD | Sale | 34 | 48.6450 GBP | ||||
| ORD | Sale | 34 | 48.7550 GBP | ||||
| ORD | Sale | 34 | 48.8110 GBP | ||||
| ORD | Sale | 41 | 48.5300 GBP | ||||
| ORD | Sale | 50 | 48.7000 GBP | ||||
| ORD | Sale | 50 | 48.8400 GBP | ||||
| ORD | Sale | 57 | 48.4700 GBP | ||||
| ORD | Sale | 57 | 48.8210 GBP | ||||
| ORD | Sale | 62 | 48.5550 GBP | ||||
| ORD | Sale | 62 | 48.6390 GBP | ||||
| ORD | Sale | 62 | 48.6800 GBP | ||||
| ORD | Sale | 66 | 48.5950 GBP | ||||
| ORD | Sale | 67 | 48.4350 GBP | ||||
| ORD | Sale | 68 | 48.5000 GBP | ||||
| ORD | Sale | 73 | 48.6050 GBP | ||||
| ORD | Sale | 75 | 48.6010 GBP | ||||
| ORD | Sale | 84 | 48.5650 GBP | ||||
| ORD | Sale | 88 | 48.5290 GBP | ||||
| ORD | Sale | 100 | 48.6306 GBP | ||||
| ORD | Sale | 122 | 48.5250 GBP | ||||
| ORD | Sale | 124 | 48.5200 GBP | ||||
| ORD | Sale | 126 | 48.6500 GBP | ||||
| ORD | Sale | 130 | 48.6350 GBP | ||||
| ORD | Sale | 142 | 48.3400 GBP | ||||
| ORD | Sale | 172 | 48.4900 GBP | ||||
| ORD | Sale | 180 | 48.5400 GBP | ||||
| ORD | Sale | 294 | 48.5600 GBP | ||||
| ORD | Sale | 294 | 48.7500 GBP | ||||
| ORD (traded as ADR) | Sale | 300 | 244.6732 USD | ||||
| ORD | Sale | 320 | 48.6100 GBP | ||||
| ORD | Sale | 330 | 48.5700 GBP | ||||
| ORD | Sale | 382 | 48.5500 GBP | ||||
| ORD | Sale | 421 | 48.4616 GBP | ||||
| ORD | Sale | 548 | 48.6000 GBP | ||||
| ORD | Sale | 561 | 48.8060 GBP | ||||
| ORD | Sale | 1,343 | 48.7762 GBP | ||||
| ORD | Sale | 2,170 | 48.6037 GBP | ||||
| ORD | Sale | 2,566 | 48.5533 GBP | ||||
| ORD | Sale | 2,889 | 48.7227 GBP | ||||
| ORD | Sale | 4,597 | 48.8510 GBP | ||||
| ORD | Sale | 7,074 | 48.5975 GBP | ||||
| ORD | Sale | 8,552 | 48.5933 GBP | ||||
| ORD | Sale | 8,900 | 48.7092 GBP | ||||
| ORD (traded as ADR) | Sale | 9,300 | 243.7329 USD | ||||
| ORD | Sale | 10,437 | 48.7514 GBP | ||||
| ORD | Sale | 10,971 | 48.7775 GBP | ||||
| ORD | Sale | 13,000 | 48.7012 GBP | ||||
| ORD | Sale | 15,000 | 48.7425 GBP | ||||
| ORD | Sale | 15,482 | 48.6330 GBP | ||||
| ORD | Sale | 25,576 | 48.5800 GBP | ||||
| ORD | Sale | 29,519 | 48.6341 GBP | ||||
| ORD | Sale | 29,701 | 48.6460 GBP | ||||
| ORD | Sale | 43,380 | 48.6446 GBP | ||||
| ORD | Sale | 47,687 | 48.6526 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 | 542 | 48.7030 GBP | |||||
| ORD | SWAP | Long | 1,346 | 48.6743 GBP | |||||
| ORD | SWAP | Long | 2,107 | 48.5938 GBP | |||||
| ORD | CFD | Long | 5,000 | 48.5597 GBP | |||||
| ORD | CFD | Long | 6,900 | 48.5556 GBP | |||||
| ORD | SWAP | Long | 13,000 | 48.7012 GBP | |||||
| ORD | SWAP | Short | 505 | 48.6404 GBP | |||||
| ORD | SWAP | Short | 742 | 48.7220 GBP | |||||
| ORD | SWAP | Short | 2,103 | 48.5764 GBP | |||||
| ORD | CFD | Short | 1,786 | 48.6590 GBP | |||||
| ORD | CFD | Short | 3,650 | 48.5884 GBP | |||||
| ORD | CFD | Short | 12,172 | 48.6585 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 | 100 | 300 USD | American | 17 Apr 2015 | 0.3000 USD | ||||||||
| ADR | Call Options | Purchasing | 100 | 305 USD | American | 17 Apr 2015 | 0.3000 USD | ||||||||
| ADR | Put Options | Purchasing | 1,000 | 275 USD | American | 17 Apr 2015 | 39.1000 USD | ||||||||
| ADR | Put Options | Purchasing | 1,000 | 290 USD | American | 17 Apr 2015 | 48.3000 USD | ||||||||
| ADR | Put Options | Purchasing | 1,100 | 300 USD | American | 17 Apr 2015 | 58.0090 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? | NO | ||
| Date of disclosure: | 19 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.
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 | -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 | 200 | 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 | 3,500 | 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 | 2,800 | 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:
BarclaysShire