9th Oct 2014 11:17
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: | 08 October 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: | 3,227,199 | 0.55 | 77,202 | 0.01 |
(2) Derivatives (other than options): | - | - | 3,054,135 | 0.52 |
(3) Options and agreements to purchase/sell: | - | - | - | - |
TOTAL: | 3,227,199 | 0.55 | 3,131,337 | 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 | Purchases
Sales | 100 539 100 25 210 100 788 127 100 300 100 200 200 1,624 100 111 100 111 100 100 100 200 100 12 124 100 111 100 100 1,265 7 103 52 200 501 100 100 4 111 100 100 100 16 1,490 100 198 6 380 2,696 259 100 349 700 200 11 107 100 102 133 686 110 200 200 507 99 587 44 1,151 53 34 235 217 1,923 89 48 100 5 89 100 100 10 100 100 115 200 22 100 100 100 100 100 100 188 100 100 348 14 100 1,500 1,208 100 111 211 310 848 500 100 100 400 100 100 80 100 200 100 100 300 300 359
2,000 26,000 2,000 1,459 | 254.3950 254.4000 254.4050 254.4200 254.5552 254.6200 254.7209 254.7650 254.8400 254.8433 254.8600 254.8900 254.9050 254.9166 254.9900 255.0000 255.0300 255.0383 255.0500 255.0600 255.0850 255.0900 255.0950 255.1000 255.1010 255.1150 255.1180 255.1250 255.1300 255.1338 255.1400 255.1600 255.1700 255.1750 255.1800 255.1900 255.1950 255.2000 255.2050 255.2100 255.2150 255.2200 255.2250 255.2397 255.2400 255.2444 255.2450 255.2558 255.2568 255.2585 255.2600 255.2601 255.2643 255.2650 255.2700 255.2735 255.2750 255.2800 255.2850 255.2872 255.2900 255.3000 255.3050 255.3100 255.3150 255.3200 255.3400 255.4093 255.4600 255.4800 255.5075 255.5100 255.5403 255.5750 255.5800 255.5850 255.6000 255.6050 255.6250 255.6300 255.6400 255.7250 255.7400 255.7457 255.7500 255.7550 255.8100 255.9500 256.1300 256.1800 256.2000 256.2150 256.2250 256.2300 256.2500 256.2546 256.3400 256.3500 256.3799 256.4540 256.5700 256.7500 256.8617 256.9728 256.9819 257.0920 257.1600 257.2000 257.3225 257.3400 257.4700 257.5000 260.2325 260.3550 260.3700 260.4400 260.4500 260.4833 260.5084
255.7000 256.0300 256.3700 259.5300 |
(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: | 09 October 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