2nd Sep 2014 15:04
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 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: | 9,775,575 | 1.22% | 3,136,938 | 0.53% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 1,447,995 | 0.25% | 3,900,622 | 0.66% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,299,900 | 0.22% | 1,362,900 | 0.23% | |||||||
| TOTAL: | 12,523,470 | 1.69% | 8,400,460 | 1.42% | |||||||
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 | 12 | 48.6500 GBP | ||||
| ORD | Purchase | 51 | 48.6700 GBP | ||||
| ORD | Purchase | 51 | 48.7629 GBP | ||||
| ORD | Purchase | 57 | 48.4900 GBP | ||||
| ORD | Purchase | 64 | 48.5500 GBP | ||||
| ORD | Purchase | 74 | 48.5300 GBP | ||||
| ORD | Purchase | 74 | 48.5600 GBP | ||||
| ORD | Purchase | 74 | 48.5750 GBP | ||||
| ORD | Purchase | 74 | 48.5800 GBP | ||||
| ORD | Purchase | 85 | 48.7100 GBP | ||||
| ORD | Purchase | 121 | 48.4700 GBP | ||||
| ORD | Purchase | 124 | 48.7000 GBP | ||||
| ORD | Purchase | 152 | 48.5700 GBP | ||||
| ORD | Purchase | 159 | 48.5400 GBP | ||||
| ORD | Purchase | 199 | 48.6000 GBP | ||||
| ORD | Purchase | 299 | 48.5900 GBP | ||||
| ORD | Purchase | 305 | 48.6055 GBP | ||||
| ORD | Purchase | 336 | 48.6547 GBP | ||||
| ORD | Purchase | 399 | 48.7296 GBP | ||||
| ORD | Purchase | 438 | 48.6100 GBP | ||||
| ORD | Purchase | 477 | 48.5833 GBP | ||||
| ORD | Purchase | 623 | 48.6181 GBP | ||||
| ORD | Purchase | 1,300 | 48.7630 GBP | ||||
| ORD | Purchase | 1,692 | 48.7546 GBP | ||||
| ORD | Purchase | 1,815 | 48.5293 GBP | ||||
| ORD | Purchase | 1,840 | 48.5493 GBP | ||||
| ORD | Purchase | 2,305 | 48.5200 GBP | ||||
| ORD | Purchase | 2,339 | 48.5861 GBP | ||||
| ORD | Purchase | 6,146 | 48.6400 GBP | ||||
| ORD | Purchase | 12,136 | 48.6078 GBP | ||||
| ORD | Purchase | 22,370 | 48.6800 GBP | ||||
| ORD | Purchase | 33,291 | 48.6128 GBP | ||||
| ORD | Purchase | 41,970 | 48.5881 GBP | ||||
| ORD | Purchase | 56,085 | 48.6455 GBP | ||||
| ORD | Purchase | 83,451 | 48.6217 GBP | ||||
| ORD | Purchase | 1,046,954 | 49.0400 GBP | ||||
| ORD | Sale | 12 | 48.6500 GBP | ||||
| ORD | Sale | 48 | 48.6800 GBP | ||||
| ORD | Sale | 51 | 48.6700 GBP | ||||
| ORD | Sale | 57 | 48.4900 GBP | ||||
| ORD | Sale | 74 | 48.5300 GBP | ||||
| ORD | Sale | 74 | 48.5600 GBP | ||||
| ORD | Sale | 74 | 48.5750 GBP | ||||
| ORD | Sale | 74 | 48.5800 GBP | ||||
| ORD | Sale | 75 | 48.6400 GBP | ||||
| ORD | Sale | 121 | 48.4700 GBP | ||||
| ORD | Sale | 124 | 48.7000 GBP | ||||
| ORD | Sale | 152 | 48.5700 GBP | ||||
| ORD | Sale | 155 | 48.7100 GBP | ||||
| ORD | Sale | 159 | 48.5400 GBP | ||||
| ORD | Sale | 160 | 48.7412 GBP | ||||
| ORD | Sale | 199 | 48.6000 GBP | ||||
| ORD | Sale | 264 | 48.5500 GBP | ||||
| ORD | Sale | 265 | 48.6521 GBP | ||||
| ORD | Sale | 299 | 48.5900 GBP | ||||
| ORD | Sale | 438 | 48.6100 GBP | ||||
| ORD | Sale | 686 | 48.4967 GBP | ||||
| ORD | Sale | 1,261 | 48.6545 GBP | ||||
| ORD | Sale | 1,271 | 48.5764 GBP | ||||
| ORD | Sale | 1,459 | 48.6530 GBP | ||||
| ORD | Sale | 3,335 | 48.6035 GBP | ||||
| ORD | Sale | 4,500 | 48.9705 GBP | ||||
| ORD | Sale | 7,231 | 48.6674 GBP | ||||
| ORD | Sale | 10,400 | 48.6969 GBP | ||||
| ORD | Sale | 11,514 | 48.6529 GBP | ||||
| ORD | Sale | 13,500 | 48.7533 GBP | ||||
| ORD | Sale | 21,337 | 48.6716 GBP | ||||
| ORD | Sale | 23,871 | 48.6851 GBP | ||||
| ORD | Sale | 30,885 | 48.6078 GBP | ||||
| ORD | Sale | 34,908 | 48.6200 GBP | ||||
| ORD | Sale | 40,414 | 48.5823 GBP | ||||
| ORD | Sale | 71,056 | 48.6022 GBP | ||||
| ORD | Sale | 340,034 | 49.0400 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 | 2,411 | 48.7671 GBP | |||||
| ORD | CFD | Long | 3,335 | 48.6035 GBP | |||||
| ORD | SWAP | Long | 20,958 | 48.6698 GBP | |||||
| ORD | SWAP | Short | 130 | 48.7048 GBP | |||||
| ORD | CFD | Short | 305 | 48.6055 GBP | |||||
| ORD | SWAP | Short | 477 | 48.5833 GBP | |||||
| ORD | SWAP | Short | 2,419 | 48.6281 GBP | |||||
| ORD | CFD | Short | 2,700 | 48.8097 GBP | |||||
| ORD | CFD | Short | 2,339 | 48.5861 GBP | |||||
| ORD | CFD | Short | 10,599 | 48.7538 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: | 2 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.
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 | -1,000 | 185.0000 | American | 20 Sep 2014 | |||||||
| ADR | Put Options | Purchased | -2,900 | 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 | 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 | 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 | -1,800 | 245.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Written | -20,600 | 250.0000 | American | 17 Jan 2015 | |||||||
| ADR | Call Options | Written | -321,500 | 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
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