29th Aug 2014 11:53
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: | 28 August 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: | 124,755 | 0.02% | 106,770 | 0.02% |
(2) Derivatives (other than options): | ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: | 124,755 | 0.02% | 106,770 | 0.02% |
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 | 100 100 100 100 100 200 100 1,282 9 102 98 100 100 200 100 200 100 123 100 100 100 400 551 100 532 900 100 200 3,720 600 300 1,950 100 15,300 600 1,701 100 210 100 512 333 1,923 100 671 100 10,000 1,407 258 275 300 300 3,353 548 300 313 100 200 227 1,389 186 441 100 359 100 600 10,000 181 134 100 500 300 300 548 100 100 81 100 100 683 100 200 100 100 100 100 200 200 100 200 200 200 100 100
20,000 15,300 10,000 10,000 | 242.6400 242.8000 242.8200 242.8750 242.9700 242.9800 243.0050 243.0108 243.0200 243.0300 243.0400 243.0550 243.0700 243.0900 243.1100 243.1150 243.1450 243.1600 243.1700 243.1800 243.1900 243.2000 243.2211 243.2300 243.2350 243.2400 243.2500 243.2800 243.2868 243.2900 243.3000 243.3001 243.3150 243.3182 243.3200 243.3300 243.3350 243.3400 243.3450 243.3500 243.3639 243.3693 243.3750 243.3864 243.3900 243.3989 243.4029 243.4200 243.4300 243.4400 243.4550 243.4582 243.4600 243.4700 243.4800 243.4900 243.4950 243.5200 243.5347 243.5400 243.5443 243.5550 243.5600 243.5650 243.5700 243.5719 243.5800 243.6000 243.6050 243.6200 243.6400 243.6450 243.6600 243.6650 243.6700 243.6800 243.7500 243.8350 243.8519 243.8600 243.8650 243.8750 243.8850 243.8950 243.9050 243.9100 243.9150 243.9200 243.9250 243.9350 243.9400 243.9600 243.9650
243.1000 243.3182 243.3989 243.5719 |
(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: | 29 August 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 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.
Related Shares:
Shire