1st Oct 2014 13:12
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: | 30 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: | 10,835,326 | 1.84% | 4,657,427 | 0.79% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 2,120,112 | 0.36% | 3,887,982 | 0.66% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,557,300 | 0.26% | 1,931,700 | 0.33% | |||||||
| (4) | |||||||||||
| TOTAL: | 14,512,738 | 2.46% | 10,477,109 | 1.78% | |||||||
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 | 3 | 261.1300 USD | ||||
| ORD (traded as ADR) | Purchase | 24 | 259.9200 USD | ||||
| ORD (traded as ADR) | Purchase | 48 | 259.9950 USD | ||||
| ORD (traded as ADR) | Purchase | 60 | 259.8360 USD | ||||
| ORD (traded as ADR) | Purchase | 72 | 260.1316 USD | ||||
| ORD (traded as ADR) | Purchase | 96 | 260.0847 USD | ||||
| ORD (traded as ADR) | Purchase | 120 | 258.9800 USD | ||||
| ORD | Purchase | 135 | 53.2500 GBP | ||||
| ORD | Purchase | 296 | 53.6000 GBP | ||||
| ORD (traded as ADR) | Purchase | 300 | 259.8900 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 260.2100 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 260.9300 USD | ||||
| ORD (traded as ADR) | Purchase | 600 | 260.1143 USD | ||||
| ORD (traded as ADR) | Purchase | 600 | 260.1220 USD | ||||
| ORD (traded as ADR) | Purchase | 600 | 260.8305 USD | ||||
| ORD (traded as ADR) | Purchase | 900 | 259.3853 USD | ||||
| ORD | Purchase | 954 | 53.4500 GBP | ||||
| ORD | Purchase | 1,033 | 53.4193 GBP | ||||
| ORD (traded as ADR) | Purchase | 1,200 | 259.6000 USD | ||||
| ORD (traded as ADR) | Purchase | 1,500 | 259.6800 USD | ||||
| ORD | Purchase | 1,547 | 53.5500 GBP | ||||
| ORD | Purchase | 1,761 | 53.5015 GBP | ||||
| ORD | Purchase | 2,262 | 53.4729 GBP | ||||
| ORD | Purchase | 2,698 | 53.5000 GBP | ||||
| ORD | Purchase | 3,185 | 53.5047 GBP | ||||
| ORD | Purchase | 3,923 | 53.5124 GBP | ||||
| ORD | Purchase | 4,219 | 53.5012 GBP | ||||
| ORD (traded as ADR) | Purchase | 4,500 | 260.1366 USD | ||||
| ORD | Purchase | 5,914 | 53.5130 GBP | ||||
| ORD | Purchase | 6,776 | 53.4637 GBP | ||||
| ORD | Purchase | 7,360 | 53.4853 GBP | ||||
| ORD (traded as ADR) | Purchase | 7,398 | 260.6101 USD | ||||
| ORD | Purchase | 10,071 | 53.4000 GBP | ||||
| ORD | Purchase | 13,120 | 53.2483 GBP | ||||
| ORD | Purchase | 13,319 | 53.5228 GBP | ||||
| ORD | Purchase | 15,000 | 53.4232 GBP | ||||
| ORD (traded as ADR) | Purchase | 15,456 | 259.3314 USD | ||||
| ORD | Purchase | 17,385 | 53.5066 GBP | ||||
| ORD (traded as ADR) | Purchase | 17,400 | 260.2393 USD | ||||
| ORD | Purchase | 23,205 | 53.3500 GBP | ||||
| ORD | Purchase | 27,631 | 53.4799 GBP | ||||
| ORD | Purchase | 37,344 | 53.4966 GBP | ||||
| ORD (traded as ADR) | Purchase | 55,209 | 259.4003 USD | ||||
| ORD | Purchase | 82,308 | 53.5094 GBP | ||||
| ORD | Purchase | 124,260 | 53.4737 GBP | ||||
| ORD | Sale | 15 | 53.3500 GBP | ||||
| ORD | Sale | 69 | 53.3000 GBP | ||||
| ORD | Sale | 100 | 53.4875 GBP | ||||
| ORD (traded as ADR) | Sale | 120 | 258.9800 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 258.7900 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 259.6860 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 260.2500 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 260.2600 USD | ||||
| ORD | Sale | 339 | 53.2500 GBP | ||||
| ORD | Sale | 353 | 53.6000 GBP | ||||
| ORD | Sale | 725 | 53.5565 GBP | ||||
| ORD (traded as ADR) | Sale | 900 | 258.8033 USD | ||||
| ORD (traded as ADR) | Sale | 900 | 259.2100 USD | ||||
| ORD (traded as ADR) | Sale | 900 | 260.3400 USD | ||||
| ORD | Sale | 904 | 53.4500 GBP | ||||
| ORD (traded as ADR) | Sale | 1,200 | 259.6785 USD | ||||
| ORD (traded as ADR) | Sale | 1,200 | 260.1143 USD | ||||
| ORD (traded as ADR) | Sale | 1,200 | 260.6900 USD | ||||
| ORD (traded as ADR) | Sale | 1,500 | 258.8000 USD | ||||
| ORD (traded as ADR) | Sale | 1,500 | 259.6800 USD | ||||
| ORD | Sale | 1,547 | 53.5500 GBP | ||||
| ORD | Sale | 1,751 | 53.5010 GBP | ||||
| ORD | Sale | 1,780 | 53.5491 GBP | ||||
| ORD (traded as ADR) | Sale | 1,800 | 259.3300 USD | ||||
| ORD (traded as ADR) | Sale | 1,800 | 260.2650 USD | ||||
| ORD (traded as ADR) | Sale | 2,400 | 258.9850 USD | ||||
| ORD | Sale | 2,830 | 53.5000 GBP | ||||
| ORD (traded as ADR) | Sale | 3,150 | 260.1561 USD | ||||
| ORD (traded as ADR) | Sale | 3,300 | 258.8236 USD | ||||
| ORD | Sale | 3,510 | 53.4035 GBP | ||||
| ORD | Sale | 3,624 | 53.4829 GBP | ||||
| ORD | Sale | 3,862 | 53.4743 GBP | ||||
| ORD | Sale | 4,219 | 53.5012 GBP | ||||
| ORD (traded as ADR) | Sale | 4,503 | 260.1373 USD | ||||
| ORD (traded as ADR) | Sale | 5,400 | 260.2122 USD | ||||
| ORD | Sale | 5,913 | 53.4558 GBP | ||||
| ORD | Sale | 6,493 | 53.4000 GBP | ||||
| ORD | Sale | 6,620 | 53.5138 GBP | ||||
| ORD | Sale | 6,720 | 53.4876 GBP | ||||
| ORD (traded as ADR) | Sale | 7,509 | 259.9492 USD | ||||
| ORD | Sale | 8,024 | 53.4758 GBP | ||||
| ORD | Sale | 8,690 | 53.4895 GBP | ||||
| ORD (traded as ADR) | Sale | 8,700 | 260.2393 USD | ||||
| ORD (traded as ADR) | Sale | 9,672 | 258.9930 USD | ||||
| ORD | Sale | 11,213 | 53.4422 GBP | ||||
| ORD (traded as ADR) | Sale | 22,554 | 259.7397 USD | ||||
| ORD | Sale | 23,713 | 53.4934 GBP | ||||
| ORD (traded as ADR) | Sale | 23,778 | 259.4951 USD | ||||
| ORD | Sale | 25,063 | 53.4621 GBP | ||||
| ORD | Sale | 29,781 | 53.5011 GBP | ||||
| ORD | Sale | 47,321 | 53.4834 GBP | ||||
| ORD | Sale | 67,182 | 53.5153 GBP | ||||
| ORD | Sale | 79,261 | 53.4838 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 | 520 | 53.4214 GBP | |||||
| ORD | CFD | Long | 2,783 | 53.4605 GBP | |||||
| ORD | SWAP | Long | 3,675 | 53.5020 GBP | |||||
| ORD | SWAP | Short | 400 | 53.4000 GBP | |||||
| ORD | SWAP | Short | 1,033 | 53.4193 GBP | |||||
| ORD | CFD | Short | 1,861 | 53.4862 GBP | |||||
| ORD | SWAP | Short | 4,213 | 53.4720 GBP | |||||
| ORD | CFD | Short | 2,262 | 53.4729 GBP | |||||
| ORD | CFD | Short | 8,700 | 53.4219 GBP | |||||
| ORD | SWAP | Short | 33,940 | 53.4506 GBP | |||||
| ORD | CFD | Short | 28,431 | 53.5276 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: | 1 Oct 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 | -2,100 | 160.0000 | American | 17 Jan 2015 | |||||||
| 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 | -200 | 220.0000 | American | 17 Jan 2015 | |||||||
| ADR | Put Options | Purchased | -26,600 | 240.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Purchased | -10,000 | 245.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Purchased | -1,100 | 260.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Purchased | -300 | 265.0000 | American | 17 Jan 2015 | |||||||
| 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 | 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 | 5,100 | 200.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Written | 300 | 205.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Written | 13,100 | 215.0000 | American | 17 Jan 2015 | |||||||
| ADR | Put Options | Written | 30,700 | 220.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Written | 1,000 | 220.0000 | American | 17 Apr 2015 | |||||||
| 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 | Put Options | Written | 100 | 280.0000 | American | 17 Apr 2015 | |||||||
| 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 | 200 | 255.0000 | American | 18 Oct 2014 | |||||||
| ADR | Call Options | Purchased | 8,300 | 260.0000 | American | 18 Oct 2014 | |||||||
| ADR | Call Options | Purchased | 15,600 | 260.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Purchased | 3,000 | 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 | 374,600 | 270.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Purchased | 3,300 | 275.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Purchased | 1,500 | 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 | -1,300 | 195.0000 | American | 15 Jan 2016 | |||||||
| 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 | -1,000 | 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 | -372,700 | 255.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Written | -100 | 255.0000 | American | 17 Apr 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