24th Sep 2014 11:45
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: | 23 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: | 3,207,366 | 0.54 | 72,519 | 0.01 |
(2) Derivatives (other than options): | - | - | 3,054,135 | 0.52 |
(3) Options and agreements to purchase/sell: | - | - | - | - |
TOTAL: | 3,207,366 | 0.54 | 3,126,654 | 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
(a) Purchases and sales
Class of relevant security | Purchase/sale
| Number of securities | Price per unit (USD) |
ADS | Purchase
Sale
| 6,000 2,000 11,137 69 25 2,050 100 49 2,471 100 200 669 30,369 42,924 12,000 17,000
1,700 2,200 2,000 100 2,000 4 100 2 100 119 100 100 100 200 194 6 100 2,745 313 100 100 6 100 104 100 6 200 100 57 506 100 117 102 603 100 400 85 348 545 108 100 78 100 300 100 196 100 100 100 100 1 280 100 100 1,079 200 252 681 564 49 100 628 482 200 21 5 105 100 100 117 100 2,150 200 100 49 2,471 102 922 100 100 209 454 100 100 100 100 669 30,000 100 40,000 100 100 100 300 2 100 200 188 281 222 100 200 100 200 42 100 100 508 100 100 100 300 420 200 300 325 191 100 300 100 201 100 100 100 8 100 3 101 100 100 100 37 200 168 100 100 100 17,169 100 150 322 150 100 100 211 100 100 5 100 200 100 100 200 100 | 241.9438 242.0169 249.7400 250.7700 250.8200 251.0200 251.0250 251.0500 251.0900 251.2200 251.2350 251.2499 251.2501 251.2780 251.3500 251.8500
245.1541 246.4482 246.4900 247.2700 250.0000 250.2000 250.2100 250.3950 250.4150 250.4400 250.4500 250.4650 250.4700 250.4800 250.5000 250.5150 250.5850 250.6150 250.6326 250.6350 250.6500 250.6600 250.6800 250.6900 250.7000 250.7100 250.7150 250.7200 250.7300 250.7350 250.7400 250.7450 250.7500 250.7537 250.7600 250.7681 250.7752 250.7755 250.7764 250.7850 250.7900 250.8000 250.8100 250.8150 250.8200 250.8250 250.8300 250.8350 250.8550 250.8650 250.8700 250.8714 250.8750 250.8800 250.8820 250.8850 250.8893 250.8920 250.9087 250.9100 250.9200 250.9317 250.9322 250.9350 250.9381 250.9600 250.9800 250.9850 251.0000 251.0100 251.0150 251.0200 251.0250 251.0400 251.0500 251.0900 251.0975 251.1205 251.1300 251.1500 251.1800 251.2002 251.2050 251.2175 251.2300 251.2400 251.2499 251.2501 251.2650 251.2780 251.2800 251.2850 251.2900 251.3000 251.3050 251.3150 251.3300 251.3324 251.3329 251.3350 251.3600 251.3650 251.3700 251.3750 251.4250 251.4300 251.4900 251.5019 251.5025 251.5050 251.5150 251.5200 251.5295 251.5300 251.5450 251.5500 251.5550 251.5650 251.5675 251.5800 251.5850 251.5950 251.6200 251.6250 251.6450 251.6500 251.6650 251.6700 251.6750 251.6900 251.7100 251.7500 251.7550 251.7600 251.7900 251.8150 251.8250 251.8500 251.9350 251.9550 251.9567 251.9650 251.9800 251.9850 251.9888 252.0000 252.0050 252.1050 252.1100 252.1200 252.1250 252.1450 252.2100 252.3200 |
(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) |
(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: | 24 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