29th Jul 2014 15:18
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 are being disclosed: | Barclays PLC. | |
| (b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient | ||
| (c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | SHIRE PLC | |
| (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: | 28 July 2014 | |
| (f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer? | YES: ABBVIE INC
|
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: | 8,801,731 | 1.49% | 1,985,199 | 0.34% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 220,787 | 0.04% | 3,840,940 | 0.65% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 1,422,600 | 0.24% | 1,491,300 | 0.25% | |||||||
| (4) | TOTAL: | ||||||||||
| 10,445,118 | 1.77% | 7,317,439 | 1.24% | ||||||||
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 | 42 | 49.4840 GBP | ||||
| ORD | Purchase | 65 | 49.4700 GBP | ||||
| ORD | Purchase | 84 | 49.4142 GBP | ||||
| ORD | Purchase | 114 | 49.4800 GBP | ||||
| ORD | Purchase | 124 | 49.4290 GBP | ||||
| ORD | Purchase | 175 | 49.3788 GBP | ||||
| ORD | Purchase | 183 | 49.3400 GBP | ||||
| ORD | Purchase | 183 | 49.5500 GBP | ||||
| ORD | Purchase | 199 | 49.4000 GBP | ||||
| ORD | Purchase | 200 | 49.5800 GBP | ||||
| ORD | Purchase | 200 | 49.6000 GBP | ||||
| ORD | Purchase | 212 | 49.4300 GBP | ||||
| ORD | Purchase | 216 | 49.5600 GBP | ||||
| ORD | Purchase | 260 | 49.4500 GBP | ||||
| ORD | Purchase | 286 | 49.5700 GBP | ||||
| ORD | Purchase | 297 | 49.3800 GBP | ||||
| ORD | Purchase | 503 | 49.5400 GBP | ||||
| ORD | Purchase | 621 | 49.3893 GBP | ||||
| ORD | Purchase | 700 | 49.4100 GBP | ||||
| ORD | Purchase | 937 | 49.5000 GBP | ||||
| ORD | Purchase | 1,192 | 49.4200 GBP | ||||
| ORD | Purchase | 1,200 | 49.3650 GBP | ||||
| ORD | Purchase | 1,260 | 49.5167 GBP | ||||
| ORD (traded as ADR) | Purchase | 1,500 | 251.9437 USD | ||||
| ORD | Purchase | 1,690 | 49.4193 GBP | ||||
| ORD | Purchase | 1,783 | 49.4369 GBP | ||||
| ORD | Purchase | 2,197 | 49.3906 GBP | ||||
| ORD | Purchase | 2,400 | 49.3843 GBP | ||||
| ORD | Purchase | 3,378 | 49.4261 GBP | ||||
| ORD | Purchase | 4,219 | 49.3971 GBP | ||||
| ORD | Purchase | 4,267 | 49.4195 GBP | ||||
| ORD | Purchase | 4,837 | 49.3749 GBP | ||||
| ORD | Purchase | 5,155 | 49.4155 GBP | ||||
| ORD | Purchase | 7,441 | 49.4241 GBP | ||||
| ORD | Purchase | 11,767 | 49.4153 GBP | ||||
| ORD | Purchase | 22,288 | 49.4126 GBP | ||||
| ORD | Purchase | 25,064 | 49.3838 GBP | ||||
| ORD | Purchase | 25,493 | 49.4400 GBP | ||||
| ORD | Purchase | 27,093 | 49.3902 GBP | ||||
| ORD | Purchase | 29,404 | 49.3913 GBP | ||||
| ORD | Purchase | 53,718 | 49.4031 GBP | ||||
| ORD | Purchase | 64,250 | 49.5100 GBP | ||||
| ORD | Sale | 6 | 49.4900 GBP | ||||
| ORD | Sale | 18 | 49.4388 GBP | ||||
| ORD | Sale | 42 | 49.4840 GBP | ||||
| ORD | Sale | 65 | 49.4700 GBP | ||||
| ORD | Sale | 114 | 49.4800 GBP | ||||
| ORD | Sale | 124 | 49.4290 GBP | ||||
| ORD | Sale | 183 | 49.3400 GBP | ||||
| ORD | Sale | 183 | 49.5500 GBP | ||||
| ORD | Sale | 199 | 49.4000 GBP | ||||
| ORD | Sale | 200 | 49.5800 GBP | ||||
| ORD | Sale | 200 | 49.6000 GBP | ||||
| ORD | Sale | 212 | 49.4300 GBP | ||||
| ORD | Sale | 216 | 49.5600 GBP | ||||
| ORD | Sale | 260 | 49.4500 GBP | ||||
| ORD | Sale | 286 | 49.5700 GBP | ||||
| ORD | Sale | 297 | 49.3800 GBP | ||||
| ORD | Sale | 427 | 49.3635 GBP | ||||
| ORD | Sale | 493 | 49.4400 GBP | ||||
| ORD | Sale | 503 | 49.5400 GBP | ||||
| ORD | Sale | 700 | 49.4100 GBP | ||||
| ORD | Sale | 937 | 49.5000 GBP | ||||
| ORD | Sale | 1,151 | 49.4200 GBP | ||||
| ORD (traded as ADR) | Sale | 1,500 | 251.9437 USD | ||||
| ORD | Sale | 2,263 | 49.4995 GBP | ||||
| ORD | Sale | 3,096 | 49.4464 GBP | ||||
| ORD | Sale | 3,855 | 49.3651 GBP | ||||
| ORD | Sale | 4,102 | 49.4483 GBP | ||||
| ORD | Sale | 4,208 | 49.4563 GBP | ||||
| ORD | Sale | 5,863 | 49.3944 GBP | ||||
| ORD | Sale | 7,241 | 49.4413 GBP | ||||
| ORD | Sale | 7,649 | 49.3958 GBP | ||||
| ORD | Sale | 9,789 | 49.3865 GBP | ||||
| ORD | Sale | 10,870 | 49.3808 GBP | ||||
| ORD | Sale | 11,442 | 49.4342 GBP | ||||
| ORD | Sale | 22,942 | 49.3771 GBP | ||||
| ORD | Sale | 23,592 | 49.3863 GBP | ||||
| ORD | Sale | 25,710 | 49.4487 GBP | ||||
| ORD | Sale | 28,970 | 49.4260 GBP | ||||
| ORD | Sale | 31,462 | 49.4513 GBP | ||||
| ORD | Sale | 35,587 | 49.4733 GBP | ||||
| ORD | Sale | 47,418 | 49.4005 GBP | ||||
| ORD | Sale | 55,871 | 49.4141 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 | 216 | 49.4300 GBP | |||||
| ORD | CFD | Long | 708 | 49.4842 GBP | |||||
| ORD | SWAP | Long | 1,336 | 49.4172 GBP | |||||
| ORD | SWAP | Long | 2,419 | 49.4570 GBP | |||||
| ORD | CFD | Long | 9,789 | 49.3865 GBP | |||||
| ORD | CFD | Long | 64,362 | 49.3995 GBP | |||||
| ORD | CFD | Short | 1,783 | 49.4369 GBP | |||||
| ORD | SWAP | Short | 2,414 | 49.4275 GBP | |||||
| ORD | SWAP | Short | 8,990 | 49.4350 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 | 5,600 | 265 USD | American | 17 Jan 2015 | 6.1485 USD | ||||||||
| ADR | Call Options | Selling | 5,600 | 255 USD | American | 17 Jan 2015 | 10.9075 USD | ||||||||
| ADR | Put Options | Selling | 300 | 175 USD | American | 18 Oct 2014 | 0.3500 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: | 29 Jul 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 monitoring@disclosure.org.uk. 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 person whose open positions are being disclosed: | Barclays PLC. | ||
| Name of offeror/offeree in relation to whose relevant securities the disclosure relates: | SHIRE PLC |
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 | -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 | 700 | 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 | 200 | 220.0000 | American | 17 Jan 2015 | |||||||
| 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 | 123,800 | 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 | 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 | -142,000 | 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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