5th Sep 2014 11:57
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: | J.P. Morgan Securities LLC |
(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: | AbbVie Inc. |
(d) Date position held/dealing undertaken: | 04 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. AbbVie Inc. |
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:
| ||||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 2,420,448 | 0.41% | 67,617 | 0.01% |
(2) Derivatives (other than options): | ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: | 2,420,448 | 0.41% | 67,617 | 0.01% |
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 | Purchase/sale
| Number of securities | Price per unit (USD) |
ADS | Purchase
Sale | 100 100 1,000 200 100 300 200 1,700 200 100 100 100 600 600 900 300 600 100 2,000 400 1,400 1,000 89,206 500 600 94 806 100 200 100 1,600 400 200 500 106,912 31,731 1,100 1,116 1,100 21,878 300 300 100 1,100 3,224 1,100 900 900 500 1,800 900 400 1,662 300 900 100 700 4,045 100 100 100 1,440 1,100 100 100 43 500 4,200 1,100 2,200 100 300 100 200 300 800 100 400 400 500 200 200 1,300 1,000 49 782 300 700 1,100 800 500 300 700 1,366 400 400 682 300 1,594 5,000 100 200 700 800 300 18,502 500 800 400 200 10,451 200 800 200 500 300 1,200 300 176 100 1,200 600 4,700 2,000 10,000
89,206 5,000 8,051 8,051 | 245.1700 245.4800 245.5200 245.6250 245.6300 245.6400 245.6950 245.7000 245.7450 245.7550 245.7600 245.7800 246.2100 246.2300 246.2350 246.2550 246.2600 246.2650 246.2700 246.3050 246.3100 246.3400 246.3500 246.4000 246.4100 246.4150 246.4200 246.4300 246.4450 246.5000 246.5100 246.5250 246.5400 246.5450 246.5603 246.6050 246.6100 246.6168 246.6200 246.6261 246.6300 246.6800 246.6850 246.7050 246.7076 246.7350 246.7400 246.7500 246.7750 246.7800 246.7900 246.7950 246.8029 246.8050 246.8150 246.8200 246.8471 246.8784 246.9100 246.9550 246.9750 246.9800 246.9900 247.0000 247.0350 247.0450 247.0600 247.0800 247.1050 247.1200 247.1450 247.1550 247.1650 247.1900 247.2150 247.2500 247.2550 247.2800 247.3150 247.3400 247.3500 247.3550 247.3600 247.3800 247.3950 247.4050 247.4100 247.4150 247.4200 247.4250 247.4300 247.4400 247.4450 247.4524 247.4600 247.4650 247.4695 247.4700 247.4715 247.4783 247.4850 247.4900 247.4950 247.5000 247.5050 247.5100 247.5150 247.5200 247.5250 247.5350 247.5400 247.5500 247.5600 247.5650 247.5700 247.5850 247.5900 247.6300 247.6375 247.6450 247.6500 247.6800 247.7150 247.7200 247.7500
246.3500 247.4783 247.5100 247.5400 |
(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 (USD) | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit (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(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" |
|
(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" |
|
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? | No |
Date of disclosure: | 05 September 2014 |
Contact name: | Tung T Le
|
Telephone number: | 020 7742 7272 |
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.
Related Shares:
Shire