14th Jul 2014 11:46
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: | 11 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: | 5,415 | 0.00% | 53,850 | 0.01 |
(2) Derivatives (other than options): | ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: |
5,415 |
0.00% |
53,850 |
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 | 17 33,333 33,333 33,333 32,838 132,837 500 100 100 78,079 96
17 1,463 100 100 302 3,478 500 1,600 100 400 300 700 500 100 200 300 600 33,933 600 205 100 19,800 361 400 1,801 100 1,317 72 7,242 100 2 600 300 200 100 100 1,100 200 100 504 100 300 33,333 700 100 100 4,027 100 600 2,129 100 100 100 3,429 6,671 100 400 400 100 33,333 200 100 8,342 310 4,356 200 200 7,100 5,500 1,980 5,308 100 200 32,838 100 100 3,070 100 203 100 10,800 100 990 200 1,000 7,100 100 1,100 2,200 100 100 500 700 875 500 100 100 100 100 100 100 200 100 200 200 400 100 100 500 300 300 10,185 200 100 68,090 | 238.6100 246.9300 247.7000 248.1000 248.7700 251.5000 251.5940 251.6400 251.6520 251.8000 251.8400
238.6100 246.6000 246.6150 246.7050 246.7300 246.8000 246.8120 246.8125 246.8500 246.8550 246.8600 246.8725 246.8750 246.8775 246.8800 246.9000 246.9250 246.9300 246.9350 246.9500 246.9850 246.9900 247.0288 247.0850 247.1075 247.1100 247.1531 247.1800 247.2087 247.2100 247.2800 247.3050 247.3083 247.3500 247.4500 247.4600 247.4850 247.5200 247.5350 247.5525 247.5650 247.6700 247.7000 247.7050 247.7400 247.7700 248.0000 248.0150 248.0300 248.0345 248.0350 248.0400 248.0550 248.0609 248.0629 248.0650 248.0800 248.0850 248.0950 248.1000 248.1700 248.1950 248.2180 248.2225 248.2259 248.2300 248.2325 248.2375 248.2400 248.2971 248.3586 248.4250 248.4400 248.7700 248.7950 248.8100 248.8452 248.8500 248.8650 248.8700 248.9000 248.9200 248.9308 248.9450 248.9500 248.9630 248.9950 248.9991 249.0000 249.0100 249.0200 249.0650 249.0900 249.0940 249.1160 249.1300 249.1500 249.1650 249.1700 249.1750 249.1800 249.1850 249.1900 249.2100 249.2300 249.2850 249.2900 249.3200 249.3625 249.3650 251.5900 251.6000 251.6850 251.7100 251.8000 |
(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: | 14 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 [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