3rd Sep 2014 11:08
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: | 02 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: | 894,960 | 0.15% | 106,770 | 0.02% |
(2) Derivatives (other than options): | ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: | 894,960 | 0.15% | 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 9,398 1,200 1,000 100 300 100 100 100 100 51,314 600 100 4,200 100 200 700 200 10,821 100 1,400 200 100 1,400 2,000 100 800 50,000 5,090 1,900 100 1,700 100 1,400 100 100 100 100 1,400 100 1,900 100 100 900 1,918 12,970 300 1,300 400 300 300 3,097 37,298 200 13,940 19,956 4,000 900 2,500 11,200 300 400 12,831 981 300 2,500 200 1,100 10,200 819 3,300 1,200 100 700 100 1,900 100 1,500 200 49,800 300 100 100 2,300 300 100 900 1,912 1,500 200 200 200 1,600 2,100 100 100 100 100
10,000 100 200 100 500 400 300 100 100 700 100 200 100 698 108 200 192 47,000 500 100 100 100 302 200 735 100 265 100 43,000 | 242.7150 242.7183 242.7200 242.7600 242.7650 242.7700 242.8350 242.8500 242.9300 242.9450 242.9460 242.9467 243.0600 243.0608 243.0650 243.1200 243.1500 243.2050 243.2200 243.2250 243.2300 243.2900 243.3000 243.3100 243.3600 243.3650 243.3700 243.3800 243.4134 243.4200 243.4250 243.4300 243.4450 243.4500 243.4650 243.4700 243.4750 243.4850 243.5000 243.5050 243.5100 243.5300 243.5450 243.6000 243.6100 243.6325 243.6333 243.6450 243.6488 243.6550 243.6600 243.6604 243.6625 243.6650 243.6666 243.6699 243.6700 243.6733 243.6756 243.6800 243.7000 243.7100 243.7139 243.7160 243.7200 243.7300 243.7350 243.7400 243.7500 243.7537 243.7550 243.7600 243.7800 243.7986 243.8000 243.8100 243.8200 243.8247 243.8300 243.8350 243.8533 243.8550 243.8650 243.8800 243.8900 243.8950 243.9000 243.9100 243.9200 243.9300 243.9400 243.9450 243.9500 243.9600 243.9750 243.9800 244.0350 244.2000
243.1300 243.1400 243.1500 243.1700 243.1900 243.2000 243.2108 243.2300 243.2500 243.2586 243.2600 243.2750 243.3350 243.3500 243.3900 243.3950 243.4000 243.4001 243.4180 243.4200 243.4300 243.4400 243.4500 243.4650 243.4686 243.4700 243.4926 243.5000 243.8350 |
(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: | 03 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