26th Aug 2014 15:11
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: | 25 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: | 9,686,216 | 1.64% | 3,931,250 | 0.67% | |||||||
| (2) | Derivatives (other than | ||||||||||
| options): | 2,094,029 | 0.36% | 3,826,217 | 0.65% | |||||||
| (3) | Options and agreements to | ||||||||||
| purchase/sell: | 430,900 | 0.07% | 450,100 | 0.08% | |||||||
| TOTAL: | 12,211,145 | 2.07% | 8,207,567 | 1.40% | |||||||
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 | 244.4699 USD | ||||
| ORD (traded as ADR) | Purchase | 3 | 245.5100 USD | ||||
| ORD (traded as ADR) | Purchase | 6 | 245.0700 USD | ||||
| ORD (traded as ADR) | Purchase | 9 | 245.3099 USD | ||||
| ORD (traded as ADR) | Purchase | 18 | 245.0650 USD | ||||
| ORD (traded as ADR) | Purchase | 69 | 243.7500 USD | ||||
| ORD (traded as ADR) | Purchase | 75 | 245.3328 USD | ||||
| ORD (traded as ADR) | Purchase | 147 | 243.7400 USD | ||||
| ORD (traded as ADR) | Purchase | 198 | 244.9900 USD | ||||
| ORD (traded as ADR) | Purchase | 225 | 243.7800 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 243.8942 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 245.0897 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 245.1311 USD | ||||
| ORD (traded as ADR) | Purchase | 300 | 245.2900 USD | ||||
| ORD (traded as ADR) | Purchase | 492 | 243.7848 USD | ||||
| ORD (traded as ADR) | Purchase | 900 | 244.8533 USD | ||||
| ORD (traded as ADR) | Purchase | 1,128 | 243.8039 USD | ||||
| ORD (traded as ADR) | Purchase | 1,200 | 245.2425 USD | ||||
| ORD (traded as ADR) | Purchase | 1,200 | 245.2694 USD | ||||
| ORD (traded as ADR) | Purchase | 1,500 | 243.9072 USD | ||||
| ORD (traded as ADR) | Purchase | 1,500 | 244.2452 USD | ||||
| ORD (traded as ADR) | Purchase | 1,650 | 244.8772 USD | ||||
| ORD (traded as ADR) | Purchase | 1,980 | 243.8157 USD | ||||
| ORD (traded as ADR) | Purchase | 2,100 | 243.7528 USD | ||||
| ORD (traded as ADR) | Purchase | 2,100 | 245.2085 USD | ||||
| ORD (traded as ADR) | Purchase | 3,000 | 243.8891 USD | ||||
| ORD (traded as ADR) | Purchase | 3,000 | 244.0581 USD | ||||
| ORD (traded as ADR) | Purchase | 3,192 | 244.8729 USD | ||||
| ORD (traded as ADR) | Purchase | 8,727 | 244.6677 USD | ||||
| ORD (traded as ADR) | Purchase | 12,300 | 244.5715 USD | ||||
| ORD (traded as ADR) | Purchase | 17,700 | 244.9934 USD | ||||
| ORD (traded as ADR) | Purchase | 21,351 | 244.4190 USD | ||||
| ORD (traded as ADR) | Purchase | 30,150 | 245.0000 USD | ||||
| ORD (traded as ADR) | Purchase | 46,602 | 244.8389 USD | ||||
| ORD (traded as ADR) | Purchase | 169,500 | 244.4784 USD | ||||
| ORD (traded as ADR) | Sale | 3 | 244.4699 USD | ||||
| ORD (traded as ADR) | Sale | 6 | 244.9500 USD | ||||
| ORD (traded as ADR) | Sale | 192 | 244.5700 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 244.0500 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 244.6800 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 244.9450 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 244.9600 USD | ||||
| ORD (traded as ADR) | Sale | 300 | 245.1311 USD | ||||
| ORD (traded as ADR) | Sale | 342 | 244.6552 USD | ||||
| ORD (traded as ADR) | Sale | 450 | 244.7166 USD | ||||
| ORD (traded as ADR) | Sale | 600 | 244.7650 USD | ||||
| ORD (traded as ADR) | Sale | 600 | 245.0897 USD | ||||
| ORD (traded as ADR) | Sale | 984 | 244.4493 USD | ||||
| ORD (traded as ADR) | Sale | 1,200 | 244.9355 USD | ||||
| ORD (traded as ADR) | Sale | 1,200 | 245.2425 USD | ||||
| ORD (traded as ADR) | Sale | 1,500 | 244.2452 USD | ||||
| ORD (traded as ADR) | Sale | 1,800 | 244.6300 USD | ||||
| ORD (traded as ADR) | Sale | 2,100 | 244.7442 USD | ||||
| ORD (traded as ADR) | Sale | 2,700 | 243.8712 USD | ||||
| ORD (traded as ADR) | Sale | 2,700 | 244.8689 USD | ||||
| ORD (traded as ADR) | Sale | 2,826 | 244.6387 USD | ||||
| ORD (traded as ADR) | Sale | 3,000 | 244.6760 USD | ||||
| ORD (traded as ADR) | Sale | 3,000 | 245.0206 USD | ||||
| ORD (traded as ADR) | Sale | 3,081 | 244.4918 USD | ||||
| ORD (traded as ADR) | Sale | 4,200 | 244.5471 USD | ||||
| ORD (traded as ADR) | Sale | 5,100 | 244.5300 USD | ||||
| ORD (traded as ADR) | Sale | 14,700 | 244.6178 USD | ||||
| ORD (traded as ADR) | Sale | 15,900 | 244.9183 USD | ||||
| ORD (traded as ADR) | Sale | 16,500 | 244.9976 USD | ||||
| ORD (traded as ADR) | Sale | 22,566 | 245.0513 USD | ||||
| ORD (traded as ADR) | Sale | 25,521 | 244.3137 USD | ||||
| ORD (traded as ADR) | Sale | 30,000 | 245.0000 USD | ||||
| ORD (traded as ADR) | Sale | 64,671 | 244.8408 USD | ||||
| ORD (traded as ADR) | Sale | 145,509 | 244.4585 USD |
(b) Derivatives transactions (other than options)
| Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
(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? | NO | ||
| Date of disclosure: | 26 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 | |||||||||||||
| ORD | Put Options | Purchased | -300 | 160.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Purchased | -2,800 | 160.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,000 | 185.0000 | American | 20 Sep 2014 | |||||||
| ORD | Put Options | Purchased | -600 | 185.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -200 | 190.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Purchased | -1,000 | 210.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -200 | 220.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,600 | 240.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Purchased | -300 | 255.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,000 | 260.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Purchased | -600 | 270.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,000 | 275.0000 | American | 17 Apr 2015 | |||||||
| ORD | Put Options | Purchased | -2,000 | 285.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Purchased | -1,000 | 290.0000 | American | 17 Apr 2015 | |||||||
| ORD | Put Options | Purchased | -1,100 | 300.0000 | American | 17 Apr 2015 | |||||||
| ORD | Put Options | Written | 1,000 | 100.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 100 | 130.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 100 | 140.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 300 | 145.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 300 | 150.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 1,100 | 165.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 500 | 170.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 6,100 | 175.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 1,000 | 180.0000 | American | 20 Sep 2014 | |||||||
| ORD | Put Options | Written | 300 | 180.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 700 | 195.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 5,000 | 200.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 300 | 205.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 200 | 215.0000 | American | 20 Sep 2014 | |||||||
| ORD | Put Options | Written | 13,100 | 215.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 3,400 | 225.0000 | American | 20 Sep 2014 | |||||||
| ORD | Put Options | Written | 1,700 | 230.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 400 | 230.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 100 | 235.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 100 | 235.0000 | American | 17 Jan 2015 | |||||||
| ORD | Put Options | Written | 2,200 | 245.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 300 | 275.0000 | American | 18 Oct 2014 | |||||||
| ORD | Put Options | Written | 300 | 280.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 1,800 | 165.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 1,000 | 215.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 15,900 | 225.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 2,800 | 225.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 6,000 | 230.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 3,600 | 235.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 1,000 | 250.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 200 | 255.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 8,300 | 260.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 15,700 | 260.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 3,100 | 265.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Purchased | 8,000 | 265.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 321,300 | 270.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 3,300 | 275.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 100 | 285.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Purchased | 100 | 300.0000 | American | 17 Apr 2015 | |||||||
| ORD | Call Options | Purchased | 100 | 305.0000 | American | 17 Apr 2015 | |||||||
| ORD | Call Options | Written | -1,200 | 155.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -2,500 | 160.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -5,800 | 175.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -200 | 180.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -200 | 180.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -200 | 185.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,100 | 190.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -2,300 | 195.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -200 | 195.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -2,000 | 200.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -200 | 210.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -300 | 210.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -57,600 | 220.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -300 | 220.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -8,400 | 225.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,900 | 230.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -3,500 | 230.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,100 | 235.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -2,800 | 235.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -100 | 240.0000 | American | 18 Oct 2014 | |||||||
| ORD | Call Options | Written | -1,200 | 240.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -1,800 | 245.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -20,600 | 250.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -319,600 | 255.0000 | American | 17 Jan 2015 | |||||||
| ORD | Call Options | Written | -200 | 270.0000 | American | 18 Oct 2014 | |||||||
| ORD | 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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