4th Aug 2014 14:18
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: | 1 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: | 9,840,944 | 1.67% | 4,633,565 | 0.79% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 2,779,740 | 0.47% | 3,703,513 | 0.63% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,446,000 | 0.25% | 1,308,900 | 0.22% | |||||||
| (4) | |||||||||||
| TOTAL: | 14,066,684 | 2.39% | 9,645,978 | 1.64% | |||||||
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 | 38 | 48.5300 GBP | ||||
| ORD | Purchase | 39 | 48.3100 GBP | ||||
| ORD | Purchase | 47 | 48.3600 GBP | ||||
| ORD | Purchase | 49 | 48.5800 GBP | ||||
| ORD | Purchase | 53 | 48.4800 GBP | ||||
| ORD | Purchase | 56 | 48.8300 GBP | ||||
| ORD | Purchase | 79 | 48.2900 GBP | ||||
| ORD | Purchase | 79 | 48.2960 GBP | ||||
| ORD | Purchase | 90 | 48.2600 GBP | ||||
| ORD | Purchase | 100 | 48.6894 GBP | ||||
| ORD | Purchase | 100 | 48.7900 GBP | ||||
| ORD | Purchase | 125 | 48.8000 GBP | ||||
| ORD | Purchase | 140 | 48.4100 GBP | ||||
| ORD | Purchase | 150 | 48.8400 GBP | ||||
| ORD | Purchase | 150 | 48.9100 GBP | ||||
| ORD | Purchase | 181 | 48.6800 GBP | ||||
| ORD | Purchase | 186 | 48.7600 GBP | ||||
| ORD | Purchase | 194 | 48.8800 GBP | ||||
| ORD | Purchase | 207 | 48.6000 GBP | ||||
| ORD | Purchase | 400 | 48.4600 GBP | ||||
| ORD | Purchase | 568 | 48.8500 GBP | ||||
| ORD | Purchase | 687 | 48.4400 GBP | ||||
| ORD | Purchase | 703 | 48.3000 GBP | ||||
| ORD | Purchase | 787 | 48.4787 GBP | ||||
| ORD | Purchase | 809 | 48.7300 GBP | ||||
| ORD | Purchase | 956 | 48.5500 GBP | ||||
| ORD | Purchase | 1,130 | 48.3482 GBP | ||||
| ORD | Purchase | 2,500 | 48.6752 GBP | ||||
| ORD | Purchase | 3,043 | 48.5890 GBP | ||||
| ORD | Purchase | 5,400 | 48.7763 GBP | ||||
| ORD | Purchase | 5,524 | 48.5031 GBP | ||||
| ORD | Purchase | 6,319 | 48.7643 GBP | ||||
| ORD | Purchase | 9,457 | 48.6644 GBP | ||||
| ORD | Purchase | 12,047 | 48.7134 GBP | ||||
| ORD | Purchase | 13,121 | 48.5339 GBP | ||||
| ORD | Purchase | 16,069 | 48.5361 GBP | ||||
| ORD | Purchase | 20,127 | 48.5490 GBP | ||||
| ORD | Purchase | 21,615 | 48.7182 GBP | ||||
| ORD | Purchase | 23,282 | 48.3400 GBP | ||||
| ORD | Purchase | 33,220 | 48.7191 GBP | ||||
| ORD | Purchase | 34,185 | 48.5743 GBP | ||||
| ORD | Purchase | 56,757 | 48.4286 GBP | ||||
| ORD | Purchase | 63,784 | 48.7100 GBP | ||||
| ORD | Purchase | 72,591 | 48.4484 GBP | ||||
| ORD | Purchase | 100,000 | 48.5325 GBP | ||||
| ORD | Purchase | 127,545 | 48.5200 GBP | ||||
| ORD | Purchase | 133,856 | 48.7084 GBP | ||||
| ORD | Purchase | 614,190 | 48.5537 GBP | ||||
| ORD | Sale | 38 | 48.5300 GBP | ||||
| ORD | Sale | 39 | 48.3100 GBP | ||||
| ORD | Sale | 47 | 48.3600 GBP | ||||
| ORD | Sale | 49 | 48.5800 GBP | ||||
| ORD | Sale | 53 | 48.4800 GBP | ||||
| ORD | Sale | 56 | 48.8300 GBP | ||||
| ORD | Sale | 79 | 48.2900 GBP | ||||
| ORD | Sale | 79 | 48.2960 GBP | ||||
| ORD | Sale | 83 | 48.7302 GBP | ||||
| ORD | Sale | 90 | 48.2600 GBP | ||||
| ORD | Sale | 100 | 48.3072 GBP | ||||
| ORD | Sale | 100 | 48.7900 GBP | ||||
| ORD | Sale | 125 | 48.8000 GBP | ||||
| ORD | Sale | 140 | 48.4100 GBP | ||||
| ORD | Sale | 150 | 48.8400 GBP | ||||
| ORD | Sale | 150 | 48.9100 GBP | ||||
| ORD | Sale | 181 | 48.6800 GBP | ||||
| ORD | Sale | 186 | 48.7600 GBP | ||||
| ORD | Sale | 194 | 48.8800 GBP | ||||
| ORD | Sale | 207 | 48.6000 GBP | ||||
| ORD | Sale | 210 | 48.4400 GBP | ||||
| ORD | Sale | 450 | 48.7233 GBP | ||||
| ORD | Sale | 568 | 48.8500 GBP | ||||
| ORD | Sale | 703 | 48.3000 GBP | ||||
| ORD | Sale | 800 | 48.4600 GBP | ||||
| ORD | Sale | 809 | 48.7300 GBP | ||||
| ORD | Sale | 1,643 | 48.6585 GBP | ||||
| ORD | Sale | 2,230 | 48.7427 GBP | ||||
| ORD | Sale | 3,555 | 48.7200 GBP | ||||
| ORD | Sale | 9,948 | 48.5822 GBP | ||||
| ORD | Sale | 10,031 | 48.4402 GBP | ||||
| ORD | Sale | 15,722 | 48.6030 GBP | ||||
| ORD | Sale | 16,994 | 48.6205 GBP | ||||
| ORD | Sale | 19,637 | 48.4302 GBP | ||||
| ORD | Sale | 24,390 | 48.6809 GBP | ||||
| ORD | Sale | 24,399 | 48.7100 GBP | ||||
| ORD | Sale | 25,593 | 48.5644 GBP | ||||
| ORD | Sale | 43,451 | 48.6573 GBP | ||||
| ORD | Sale | 47,698 | 48.5306 GBP | ||||
| ORD | Sale | 50,462 | 48.4078 GBP | ||||
| ORD | Sale | 52,898 | 48.5460 GBP | ||||
| ORD | Sale | 64,557 | 48.4292 GBP | ||||
| ORD | Sale | 85,553 | 48.4347 GBP | ||||
| ORD | Sale | 100,890 | 48.5907 GBP | ||||
| ORD | Sale | 138,599 | 48.5616 GBP | ||||
| ORD | Sale | 206,839 | 48.6264 GBP | ||||
| ORD | Sale | 223,823 | 48.5783 GBP | ||||
| ORD | Sale | 346,248 | 48.5806 GBP | ||||
| ORD | Sale | 1,046,954 | 48.7000 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 | 221 | 48.5380 GBP | |||||
| ORD | CFD | Long | 416 | 48.5829 GBP | |||||
| ORD | CFD | Long | 450 | 48.7233 GBP | |||||
| ORD | CFD | Long | 1,500 | 48.7256 GBP | |||||
| ORD | SWAP | Long | 5,210 | 48.4629 GBP | |||||
| ORD | CFD | Long | 8,390 | 48.7155 GBP | |||||
| ORD | SWAP | Long | 18,624 | 48.6747 GBP | |||||
| ORD | CFD | Long | 30,000 | 48.7500 GBP | |||||
| ORD | CFD | Long | 19,637 | 48.4302 GBP | |||||
| ORD | CFD | Long | 66,465 | 48.4013 GBP | |||||
| ADR | CFD | Short | 10,000 | 246.3203 USD | |||||
| ORD | SWAP | Short | 50 | 48.6920 GBP | |||||
| ORD | CFD | Short | 3,043 | 48.5890 GBP | |||||
| ORD | SWAP | Short | 5,215 | 48.5635 GBP | |||||
| ORD | SWAP | Short | 7,111 | 48.5026 GBP | |||||
| ORD | CFD | Short | 8,000 | 48.7144 GBP | |||||
| ORD | CFD | Short | 8,032 | 48.5099 GBP | |||||
| ORD | CFD | Short | 6,319 | 48.7643 GBP | |||||
| ORD | CFD | Short | 41,951 | 48.7535 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 | Put Options | Purchasing | 400 | 220 USD | American | 17 Jan 2015 | 5.5000 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: | 4 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 | -300 | 230.0000 | American | 18 Oct 2014 | |||||||
| ADR | Put Options | Purchased | -1,100 | 240.0000 | American | 16 Aug 2014 | |||||||
| 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 | 100 | 225.0000 | American | 16 Aug 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 | 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 | 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 | -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 | -308,500 | 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
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