23rd Jul 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: | 22 July 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: | 8,604 | 0.00% | 67,458 | 0.01 |
(2) Derivatives (other than options): | ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: |
8,604 |
0.00% |
67,458 |
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 | Purchases
Sales | 2,000 100 161 100 300 100 551 658 532 100 306 100 1,274 1,066 400 124 627 346 1,538 3,011 518 991 1,015 419 587 100 809 209 1,124 432 101 100 1,622 100 100 800 1,160 200 418 319 905 100 335 510 100 441 100 746 1,550 200 100 684 405 94 755 395 581 473 546 573 2,416 100 116 200 116 2,329 101 111 101 2,872 200 1,627 1,074 3,091 100 100 343 200 816 415 100 100 105 100 100 300 200 200 4 207 100 106
2,000 4,320 50,000 161 | 251.1655 254.2000 254.2465 254.2550 254.2600 254.2700 254.2800 254.2900 254.3000 254.3050 254.3100 254.3150 254.3200 254.3204 254.3250 254.3300 254.3400 254.3500 254.3504 254.3530 254.3550 254.3556 254.3600 254.3700 254.3703 254.3725 254.3800 254.3822 254.3868 254.3900 254.3950 254.4000 254.4050 254.4100 254.4200 254.4229 254.4245 254.4300 254.4400 254.4423 254.4548 254.4600 254.4612 254.4647 254.4675 254.4700 254.4800 254.4828 254.4880 254.4900 254.4950 254.4984 254.5000 254.5060 254.5066 254.5090 254.5100 254.5200 254.5300 254.5318 254.5334 254.5350 254.5400 254.5450 254.5500 254.5575 254.5600 254.5650 254.5700 254.5730 254.5800 254.5885 254.5900 254.5913 254.6000 254.6150 254.6200 254.6250 254.6300 254.6500 254.6600 254.6700 254.6800 254.6825 254.6875 254.6900 254.6950 254.7000 254.7100 254.7300 254.7500 254.8200
252.6900 253.9600 254.2370 254.2465 |
(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(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: | 23 July 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