8th Sep 2014 14:08
AMENDMENT
ADDED AN EQUITY SWAP SALE OF 1,018,045.
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")
e.. 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: | 05 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
e.. 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: | 3,178,848 | 0.54% | 67,617 | 0.01% |
(2) Derivatives (other than options): | 3,054,135 | 0.52% | ||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: | 3,178,848 | 0.54% | 3,121,752 | 0.53% |
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
e.. Purchases and sales
Class of relevant security | Purchase/sale
| Number of securities | Price per unit (USD) |
ADS | Purchase
Sale | 100 100 100 200 200 1,000 250 5,520 1,700 100 200 7,646 1,300 2,000 2,700 100 200 619 300 100 300 100 2,763 4,400 800 800 100 2,000 200 800 100 600 100 100 100 200 4,521 600 102 1,198 700 8,400 71,662 100 1,181 100 22,204 100 100 100 200 100 100 100 100 1,900 2,000 100 2,149 300 9,963 900 1,200 100 200 400 100 700 100 2,100 6,309 600 200 100 100 200 200 100 900 100 100 100 937 100 900 700 1,004 100 400 200 1,400 700 558 33 300 1,100 3,410 3,009 7,697 900 1,690 2,139 300 1,500 1,656 100 1,100 100 1,500 300 1,000 100 100 1,900 200 200 1,358 400 200 800 2,200 1,200 100 200 200 200 3,298 2,700 100 1,265 1,000 1,656 447 3,300 422 447 2,200 100 3,063 4,072 2,500 200 3,420 4,881 300 200 200 400 3,230 2,029 2,500 100 3,700 213 2,845 200 187 3,000 1,300 100 100 2,559 4,225 100 200 3,200 3,000 200 100 4,999 3,680 200
216 100 20,000 30,000 | 245.2900 245.3770 245.3900 245.4000 245.4100 245.4250 245.4450 245.4542 245.4574 245.4800 245.4900 245.5262 245.5546 245.5700 245.6100 245.6850 245.6900 245.7000 245.7500 245.7750 245.7800 245.7950 245.8500 245.8600 245.8700 245.9300 245.9450 245.9600 245.9800 246.0000 246.0100 246.0200 246.0600 246.0900 246.0950 246.1000 246.1096 246.1100 246.2800 246.3000 246.3443 246.4843 246.6340 246.6600 246.6883 246.7500 246.7741 246.8650 246.8775 246.8800 246.8950 246.9350 246.9450 246.9500 246.9550 246.9700 246.9800 246.9900 247.0675 247.0700 247.0833 247.0900 247.1033 247.1600 247.2200 247.2500 247.2600 247.2700 247.3750 247.3800 247.3820 247.3993 247.4000 247.4200 247.4500 247.4600 247.4800 247.4900 247.5000 247.5150 247.5200 247.5275 247.5700 247.5750 247.6011 247.6200 247.6569 247.6750 247.6775 247.6800 247.6900 247.7150 247.7200 247.7300 247.7358 247.7500 247.7700 247.7752 247.7829 247.8000 247.8181 247.8500 247.8567 247.8573 247.8600 247.8800 247.9000 247.9100 247.9300 247.9533 247.9700 247.9750 247.9800 247.9900 247.9950 248.0000 248.0200 248.0300 248.0400 248.0500 248.0700 248.0786 248.0900 248.1000 248.1100 248.1150 248.1200 248.1400 248.1450 248.1500 248.1550 248.1600 248.1650 248.1700 248.1750 248.1781 248.1800 248.1850 248.1900 248.2000 248.2100 248.2150 248.2200 248.2300 248.2350 248.2400 248.2450 248.2500 248.2600 248.2700 248.2800 248.3000 248.3100 248.3136 248.3300 248.3400 248.3419 248.3600 248.3615 248.3650 248.3850 248.4000 248.4200 248.4250 248.4350 248.4400 248.4500 248.4600 248.4650 248.4700 248.4800 248.5900
245.3500 245.3550 245.5000 247.8410 |
(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 (USD) |
ADS | Equity Swap
| Short | 1,018,045 | 245.7128 |
(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: | 08 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