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Form 8.5 (EPT/NON-RI)

19th Sep 2014 15:56

RNS Number : 1795S
Citigroup Derivatives Markets Inc
19 September 2014
 



FORM 8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

 

1. KEY INFORMATION

 

(a) Name of exempt principal trader:

Citigroup Derivatives Markets Inc.

(b) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

Shire Plc

(c) Name of the party to the offer with which exempt principal trader is connected:

Shire Plc

(d) Date position held/dealing undertaken:

18 September 2014

(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?

YES

 

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

 

(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:

 

ADS

 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

0

0.00%

38,236

0.00%

(2) Derivatives (other than options):

(3) Options and agreements to purchase/sell:

672,300

0.04%

460,500

0.03%

 

TOTAL:

672,300

0.04%

498,736

0.03%

 

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(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

 

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

 

(a) Purchases and sales

 

Class of relevant security

Buys/ Sells

Number of Securities

Price per unit (USD)

ADS

Sale

-100

260.78

ADS

Sale

-400

260.925

 

 

(b)

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

Purchasing or Selling

Number of securities to which option or derivative relates

Exercise price per unit

Type

Expiry date

Option money paid/ received per unit

ADS

Put

Written

400

200

AMERICAN

18/10/2014

0.3

ADS

Put

Purchase

-3400

255

AMERICAN

17/01/2015

13.3

ADS

Put

Written

3400

240

AMERICAN

17/01/2015

8.9

ADS

Call

Written

-100

260

AMERICAN

18/10/2014

9

ADS

Call

Written

-100

260

AMERICAN

18/10/2014

9

ADS

Put

Purchase

-100

255

AMERICAN

17/01/2015

14.08

ADS

Put

Written

100

265

AMERICAN

17/01/2015

17.68

ADS

Call

Written

-100

250

AMERICAN

20/09/2014

11.8

 

 

 (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(b), 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 exempt principal trader 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 exempt principal trader 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:

19 September 2014

Contact name:

Ryan McCabe

Telephone number:

44(028) 409539

 

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.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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:

Citigroup Derivatives Markets Inc.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

Shire Plc

 

2. OPTIONS AND DERIVATIVES

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type

Expiry date

Option money paid/ received per unit

ADS

Call

Selling

-36900

250

AMERICAN

2015-01-17

23.3

ADS

Call

Selling

-20900

250

AMERICAN

2015-01-17

23.3

ADS

Call

Selling

-18300

240

AMERICAN

2015-01-17

30.5

ADS

Call

Selling

-16900

220

AMERICAN

2014-10-18

42.15

ADS

Call

Selling

-14900

240

AMERICAN

2014-10-18

24.5

ADS

Call

Selling

-14000

240

AMERICAN

2014-10-18

24.5

ADS

Call

Selling

-11800

255

AMERICAN

2015-01-17

19.35

ADS

Call

Selling

-10100

230

AMERICAN

2015-01-17

38.2

ADS

Call

Selling

-9100

245

AMERICAN

2015-01-17

26.8

ADS

Call

Selling

-6500

240

AMERICAN

2014-10-18

24.5

ADS

Call

Selling

-3100

240

AMERICAN

2015-01-17

30.5

ADS

Call

Selling

-3100

230

AMERICAN

2014-10-18

33.2

ADS

Call

Selling

-2800

230

AMERICAN

2015-01-17

38.2

ADS

Call

Selling

-2600

240

AMERICAN

2015-01-17

30.5

ADS

Call

Selling

-2500

255

AMERICAN

2015-01-17

19.35

ADS

Call

Selling

-2100

225

AMERICAN

2014-10-18

37.65

ADS

Call

Selling

-2000

270

AMERICAN

2014-09-20

0.0016

ADS

Call

Selling

-1900

215

AMERICAN

2014-10-18

47.05

ADS

Call

Selling

-1500

230

AMERICAN

2015-01-17

38.2

ADS

Call

Selling

-1400

300

AMERICAN

2015-01-17

1.7228

ADS

Call

Selling

-1100

160

AMERICAN

2014-10-18

100.8

ADS

Call

Selling

-1000

185

AMERICAN

2014-10-18

76.05

ADS

Call

Selling

-1000

185

AMERICAN

2014-10-18

76.05

ADS

Call

Selling

-1000

245

AMERICAN

2014-10-18

20.4

ADS

Call

Selling

-900

260

AMERICAN

2015-01-17

16.85

ADS

Call

Selling

-800

225

AMERICAN

2015-01-17

42.1

ADS

Call

Selling

-700

295

AMERICAN

2015-01-17

2.575

ADS

Call

Selling

-700

220

AMERICAN

2014-10-18

42.15

ADS

Call

Selling

-600

240

AMERICAN

2015-01-17

30.5

ADS

Call

Selling

-600

240

AMERICAN

2014-10-18

24.5

ADS

Call

Selling

-500

245

AMERICAN

2015-01-17

26.8

ADS

Call

Selling

-400

220

AMERICAN

2015-01-17

46.2

ADS

Call

Selling

-400

240

AMERICAN

2015-01-17

30.5

ADS

Call

Selling

-400

245

AMERICAN

2015-01-17

26.8

ADS

Call

Selling

-400

260

AMERICAN

2014-09-20

2.85

ADS

Call

Selling

-400

220

AMERICAN

2014-10-18

42.15

ADS

Call

Selling

-400

240

AMERICAN

2014-10-18

24.5

ADS

Call

Selling

-300

210

AMERICAN

2015-01-17

54.5

ADS

Call

Selling

-300

225

AMERICAN

2014-09-20

35.9

ADS

Call

Selling

-300

230

AMERICAN

2014-09-20

30.8

ADS

Call

Selling

-200

135

AMERICAN

2015-01-17

125.75

ADS

Call

Selling

-200

245

AMERICAN

2015-01-17

26.8

ADS

Call

Selling

-200

315

AMERICAN

2015-01-17

0.15

ADS

Call

Selling

-200

250

AMERICAN

2014-09-20

10.55

ADS

Call

Selling

-200

165

AMERICAN

2014-10-18

95.8

ADS

Call

Selling

-200

190

AMERICAN

2014-10-18

71.25

ADS

Call

Selling

-200

230

AMERICAN

2014-10-18

33.2

ADS

Call

Selling

-100

100

AMERICAN

2015-01-17

160.65

ADS

Call

Selling

-100

110

AMERICAN

2015-01-17

150.7

ADS

Call

Selling

-100

110

AMERICAN

2015-01-17

150.7

ADS

Call

Selling

-100

135

AMERICAN

2015-01-17

125.75

ADS

Call

Selling

-100

135

AMERICAN

2015-01-17

125.75

ADS

Call

Selling

-100

175

AMERICAN

2015-01-17

86.4

ADS

Call

Selling

-100

225

AMERICAN

2015-01-17

42.1

ADS

Call

Selling

-100

235

AMERICAN

2015-01-17

34.3

ADS

Call

Selling

-100

240

AMERICAN

2015-01-17

30.5

ADS

Call

Selling

-100

245

AMERICAN

2015-01-17

26.8

ADS

Call

Selling

-100

325

AMERICAN

2015-01-17

0.05

ADS

Call

Selling

-100

330

AMERICAN

2015-01-17

0.05

ADS

Call

Selling

-100

330

AMERICAN

2015-01-17

0.05

ADS

Call

Selling

-100

220

AMERICAN

2014-09-20

40.85

ADS

Call

Selling

-100

240

AMERICAN

2014-09-20

20.75

ADS

Call

Selling

-100

155

AMERICAN

2014-10-18

106

ADS

Call

Selling

-100

170

AMERICAN

2014-10-18

90.85

ADS

Call

Selling

-100

255

AMERICAN

2014-10-18

12.5

ADS

Call

Purchase

100

180

AMERICAN

2015-01-17

81.65

ADS

Call

Purchase

100

195

AMERICAN

2015-01-17

67.65

ADS

Call

Purchase

100

200

AMERICAN

2015-01-17

63.2

ADS

Call

Purchase

100

220

AMERICAN

2015-01-17

46.2

ADS

Call

Purchase

100

255

AMERICAN

2015-01-17

19.35

ADS

Call

Purchase

100

275

AMERICAN

2015-01-17

8.4

ADS

Call

Purchase

100

295

AMERICAN

2015-01-17

2.575

ADS

Call

Purchase

100

295

AMERICAN

2015-01-17

2.575

ADS

Call

Purchase

100

295

AMERICAN

2015-01-17

2.575

ADS

Call

Purchase

100

255

AMERICAN

2015-04-17

22.1

ADS

Call

Purchase

100

210

AMERICAN

2014-09-20

50.75

ADS

Call

Purchase

100

235

AMERICAN

2014-09-20

25.9

ADS

Call

Purchase

100

240

AMERICAN

2014-09-20

20.75

ADS

Call

Purchase

100

145

AMERICAN

2014-10-18

115.85

ADS

Call

Purchase

100

165

AMERICAN

2014-10-18

95.8

ADS

Call

Purchase

100

180

AMERICAN

2014-10-18

81.15

ADS

Call

Purchase

100

185

AMERICAN

2014-10-18

76.05

ADS

Call

Purchase

100

190

AMERICAN

2014-10-18

71.25

ADS

Call

Purchase

100

220

AMERICAN

2014-10-18

42.15

ADS

Call

Purchase

100

265

AMERICAN

2014-10-18

5.55

ADS

Call

Purchase

100

265

AMERICAN

2014-10-18

5.55

ADS

Call

Purchase

100

275

AMERICAN

2014-10-18

2.325

ADS

Call

Purchase

100

290

AMERICAN

2014-10-18

0.125

ADS

Call

Purchase

200

175

AMERICAN

2015-01-17

86.4

ADS

Call

Purchase

200

185

AMERICAN

2015-01-17

76.85

ADS

Call

Purchase

200

190

AMERICAN

2015-01-17

72.2

ADS

Call

Purchase

200

210

AMERICAN

2015-01-17

54.5

ADS

Call

Purchase

200

250

AMERICAN

2015-01-17

23.3

ADS

Call

Purchase

200

265

AMERICAN

2015-01-17

12.7

ADS

Call

Purchase

200

265

AMERICAN

2015-01-17

12.7

ADS

Call

Purchase

200

270

AMERICAN

2015-01-17

10.95

ADS

Call

Purchase

200

320

AMERICAN

2015-01-17

0.0573

ADS

Call

Purchase

200

205

AMERICAN

2015-04-17

60.1

ADS

Call

Purchase

200

205

AMERICAN

2015-04-17

60.1

ADS

Call

Purchase

200

245

AMERICAN

2014-09-20

16.05

ADS

Call

Purchase

200

150

AMERICAN

2014-10-18

110.8

ADS

Call

Purchase

200

160

AMERICAN

2014-10-18

100.8

ADS

Call

Purchase

200

170

AMERICAN

2014-10-18

90.85

ADS

Call

Purchase

200

170

AMERICAN

2014-10-18

90.85

ADS

Call

Purchase

200

175

AMERICAN

2014-10-18

85.9

ADS

Call

Purchase

200

180

AMERICAN

2014-10-18

81.15

ADS

Call

Purchase

200

200

AMERICAN

2014-10-18

61.4

ADS

Call

Purchase

200

210

AMERICAN

2014-10-18

51.65

ADS

Call

Purchase

300

185

AMERICAN

2015-01-17

76.85

ADS

Call

Purchase

300

190

AMERICAN

2015-01-17

72.2

ADS

Call

Purchase

300

195

AMERICAN

2015-01-17

67.65

ADS

Call

Purchase

300

205

AMERICAN

2015-01-17

58.75

ADS

Call

Purchase

300

320

AMERICAN

2015-01-17

0.0573

ADS

Call

Purchase

300

205

AMERICAN

2015-04-17

60.1

ADS

Call

Purchase

300

235

AMERICAN

2014-09-20

25.9

ADS

Call

Purchase

300

185

AMERICAN

2014-10-18

76.05

ADS

Call

Purchase

300

265

AMERICAN

2014-10-18

5.55

ADS

Call

Purchase

400

180

AMERICAN

2015-01-17

81.65

ADS

Call

Purchase

400

180

AMERICAN

2015-01-17

81.65

ADS

Call

Purchase

400

320

AMERICAN

2015-01-17

0.0573

ADS

Call

Purchase

400

285

AMERICAN

2015-04-17

6

ADS

Call

Purchase

400

160

AMERICAN

2014-10-18

100.8

ADS

Call

Purchase

400

260

AMERICAN

2014-10-18

7.9

ADS

Call

Purchase

400

265

AMERICAN

2014-10-18

5.55

ADS

Call

Purchase

400

270

AMERICAN

2014-10-18

2.6

ADS

Call

Purchase

400

270

AMERICAN

2014-10-18

2.6

ADS

Call

Purchase

400

270

AMERICAN

2014-10-18

2.6

ADS

Call

Purchase

500

255

AMERICAN

2015-01-17

19.35

ADS

Call

Purchase

500

260

AMERICAN

2015-01-17

16.85

ADS

Call

Purchase

500

245

AMERICAN

2014-09-20

16.05

ADS

Call

Purchase

500

250

AMERICAN

2014-09-20

10.55

ADS

Call

Purchase

500

165

AMERICAN

2014-10-18

95.8

ADS

Call

Purchase

500

220

AMERICAN

2014-10-18

42.15

ADS

Call

Purchase

500

235

AMERICAN

2014-10-18

28.85

ADS

Call

Purchase

500

250

AMERICAN

2014-10-18

16.15

ADS

Call

Purchase

600

195

AMERICAN

2015-01-17

67.65

ADS

Call

Purchase

600

220

AMERICAN

2015-01-17

46.2

ADS

Call

Purchase

600

250

AMERICAN

2015-01-17

23.3

ADS

Call

Purchase

600

175

AMERICAN

2014-10-18

85.9

ADS

Call

Purchase

700

255

AMERICAN

2015-01-17

19.35

ADS

Call

Purchase

700

235

AMERICAN

2014-09-20

25.9

ADS

Call

Purchase

700

255

AMERICAN

2014-09-20

6.85

ADS

Call

Purchase

700

175

AMERICAN

2014-10-18

85.9

ADS

Call

Purchase

700

175

AMERICAN

2014-10-18

85.9

ADS

Call

Purchase

700

200

AMERICAN

2014-10-18

61.4

ADS

Call

Purchase

700

275

AMERICAN

2014-10-18

2.325

ADS

Call

Purchase

800

220

AMERICAN

2015-01-17

46.2

ADS

Call

Purchase

800

285

AMERICAN

2015-04-17

6

ADS

Call

Purchase

800

240

AMERICAN

2014-09-20

20.75

ADS

Call

Purchase

900

265

AMERICAN

2015-01-17

12.7

ADS

Call

Purchase

900

245

AMERICAN

2014-09-20

16.05

ADS

Call

Purchase

900

245

AMERICAN

2014-09-20

16.05

ADS

Call

Purchase

1000

165

AMERICAN

2015-01-17

96.1

ADS

Call

Purchase

1000

170

AMERICAN

2015-01-17

91.4

ADS

Call

Purchase

1000

210

AMERICAN

2015-01-17

54.5

ADS

Call

Purchase

1000

220

AMERICAN

2014-09-20

40.85

ADS

Call

Purchase

1000

230

AMERICAN

2014-09-20

30.8

ADS

Call

Purchase

1000

210

AMERICAN

2014-10-18

51.65

ADS

Call

Purchase

1000

255

AMERICAN

2014-10-18

12.5

ADS

Call

Purchase

1000

255

AMERICAN

2014-10-18

12.5

ADS

Call

Purchase

1000

270

AMERICAN

2014-10-18

2.6

ADS

Call

Purchase

1100

175

AMERICAN

2015-01-17

86.4

ADS

Call

Purchase

1100

205

AMERICAN

2015-01-17

58.75

ADS

Call

Purchase

1100

280

AMERICAN

2015-01-17

6.5

ADS

Call

Purchase

1100

255

AMERICAN

2014-09-20

6.85

ADS

Call

Purchase

1100

255

AMERICAN

2014-09-20

6.85

ADS

Call

Purchase

1200

190

AMERICAN

2014-10-18

71.25

ADS

Call

Purchase

1200

275

AMERICAN

2014-10-18

2.325

ADS

Call

Purchase

1300

190

AMERICAN

2015-01-17

72.2

ADS

Call

Purchase

1300

270

AMERICAN

2015-01-17

10.95

ADS

Call

Purchase

1400

280

AMERICAN

2015-01-17

6.5

ADS

Call

Purchase

1400

285

AMERICAN

2015-04-17

6

ADS

Call

Purchase

1500

200

AMERICAN

2015-01-17

63.2

ADS

Call

Purchase

1500

235

AMERICAN

2015-01-17

34.3

ADS

Call

Purchase

1600

200

AMERICAN

2015-01-17

63.2

ADS

Call

Purchase

1600

280

AMERICAN

2015-04-17

8.15

ADS

Call

Purchase

1700

180

AMERICAN

2015-01-17

81.65

ADS

Call

Purchase

1900

265

AMERICAN

2015-01-17

12.7

ADS

Call

Purchase

1900

200

AMERICAN

2014-10-18

61.4

ADS

Call

Purchase

2000

155

AMERICAN

2014-10-18

106

ADS

Call

Purchase

2000

170

AMERICAN

2014-10-18

90.85

ADS

Call

Purchase

2000

180

AMERICAN

2014-10-18

81.15

ADS

Call

Purchase

2000

220

AMERICAN

2014-10-18

42.15

ADS

Call

Purchase

2100

275

AMERICAN

2014-10-18

2.325

ADS

Call

Purchase

2200

205

AMERICAN

2015-01-17

58.75

ADS

Call

Purchase

2200

255

AMERICAN

2014-09-20

6.85

ADS

Call

Purchase

2300

185

AMERICAN

2015-01-17

76.85

ADS

Call

Purchase

2500

195

AMERICAN

2015-01-17

67.65

ADS

Call

Purchase

2800

265

AMERICAN

2014-10-18

5.55

ADS

Call

Purchase

3000

270

AMERICAN

2015-01-17

10.95

ADS

Call

Purchase

3100

235

AMERICAN

2014-10-18

28.85

ADS

Call

Purchase

3700

200

AMERICAN

2014-10-18

61.4

ADS

Call

Purchase

3800

235

AMERICAN

2015-01-17

34.3

ADS

Call

Purchase

4200

200

AMERICAN

2015-01-17

63.2

ADS

Call

Purchase

4500

220

AMERICAN

2015-01-17

46.2

ADS

Call

Purchase

4500

265

AMERICAN

2014-10-18

5.55

ADS

Call

Purchase

4700

230

AMERICAN

2014-10-18

33.2

ADS

Call

Purchase

5000

280

AMERICAN

2015-01-17

6.5

ADS

Call

Purchase

7000

195

AMERICAN

2014-10-18

66.15

ADS

Call

Purchase

7300

250

AMERICAN

2014-09-20

10.55

ADS

Call

Purchase

8100

250

AMERICAN

2014-09-20

10.55

ADS

Call

Purchase

8500

265

AMERICAN

2014-09-20

0.9767

ADS

Call

Purchase

9100

265

AMERICAN

2015-01-17

12.7

ADS

Call

Purchase

13400

260

AMERICAN

2014-10-18

7.9

ADS

Call

Purchase

14500

260

AMERICAN

2014-10-18

7.9

ADS

Call

Purchase

17300

270

AMERICAN

2015-01-17

10.95

ADS

Call

Purchase

17700

260

AMERICAN

2014-10-18

7.9

ADS

Call

Purchase

18200

270

AMERICAN

2015-01-17

10.95

ADS

Call

Purchase

23900

260

AMERICAN

2015-01-17

16.85

ADS

Call

Purchase

35200

260

AMERICAN

2015-01-17

16.85

 

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.

 

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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