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Form 8.5 (EPT/NON-RI)

7th Jun 2018 14:36

RNS Number : 6903Q

Citigroup Derivatives Markets Inc

07 June 2018

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:	Citigroup Derivatives Markets Inc.
(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:	Shire Plc
(d) Date position held/dealing undertaken: For an opening position disclosure, state the latest practicable date prior to the disclosure	06 June 2018
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state "N/A"	NO

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

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.

(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:	5p Ordinary
	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	16,096	(0.00%)	12,584	(0.00%)
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:	278,600	(0.03%)	216,100	(0.02%)
TOTAL:	294,696	(0.03%)	228,684	(0.02%)

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), 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 employee options)

Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

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.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

Class of relevant security

Purchases/ sales

Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

5p Ordinary

Purchase

7,200

159.5000 USD

5p Ordinary

Sale

7,200

159.5000 USD

(b) Cash-settled derivative transactions

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

(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	Expiry date	Option money paid/ received per unit
5p Ordinary	Call	Writing	-100	145	American	19/10/2018	20
5p Ordinary	Call	Purchasing	100	150	American	19/10/2018	16.05
5p Ordinary	Call	Purchasing	300	210	American	18/01/2019	0.4
5p Ordinary	Call	Writing	-300	210	American	18/01/2019	0.4
5p Ordinary	Call	Purchasing	700	200	American	18/01/2019	0.925
5p Ordinary	Call	Writing	-700	200	American	18/01/2019	0.925
5p Ordinary	Put	Writing	700	200	American	18/01/2019	40.6
5p Ordinary	Put	Purchasing	-700	200	American	18/01/2019	40.6
5p Ordinary	Put	Purchasing	-100	125	American	18/01/2019	2.15
5p Ordinary	Put	Writing	100	125	American	18/01/2019	2.15
5p Ordinary	Put	Writing	1200	135	American	18/01/2019	3.65
5p Ordinary	Put	Purchasing	-1200	135	American	18/01/2019	3.65
5p Ordinary	Put	Purchasing	-200	130	American	18/01/2019	2.65
5p Ordinary	Put	Writing	200	130	American	18/01/2019	2.65
5p Ordinary	Call	Writing	-100	180	American	18/01/2019	4.2
5p Ordinary	Call	Purchasing	100	180	American	18/01/2019	4.2
5p Ordinary	Call	Purchasing	100	160	American	20/07/2018	4.75
5p Ordinary	Call	Writing	-100	160	American	20/07/2018	4.75
5p Ordinary	Put	Writing	100	100	American	17/01/2020	2.9
5p Ordinary	Put	Purchasing	-100	100	American	17/01/2020	2.9
5p Ordinary	Put	Writing	100	75	American	20/07/2018	0.075
5p Ordinary	Put	Purchasing	-100	75	American	20/07/2018	0.075
5p Ordinary	Put	Purchasing	-100	145	American	20/07/2018	1.05
5p Ordinary	Put	Writing	100	145	American	20/07/2018	1.05
5p Ordinary	Call	Writing	-800	165	American	20/07/2018	2.7
5p Ordinary	Call	Purchasing	800	165	American	20/07/2018	2.7
5p Ordinary	Call	Writing	-800	170	American	20/07/2018	1.275
5p Ordinary	Call	Purchasing	800	170	American	20/07/2018	1.275
5p Ordinary	Put	Purchasing	-100	145	American	18/01/2019	5.85
5p Ordinary	Put	Writing	100	145	American	18/01/2019	5.85
5p Ordinary	Call	Writing	-1000	160	American	17/01/2020	22.9
5p Ordinary	Call	Purchasing	1000	160	American	17/01/2020	22.9
5p Ordinary	Call	Purchasing	100	155	American	20/07/2018	7.65
5p Ordinary	Call	Writing	-100	155	American	20/07/2018	7.65
5p Ordinary	Put	Writing	700	140	American	20/07/2018	0.75
5p Ordinary	Put	Purchasing	-700	140	American	20/07/2018	0.75
5p Ordinary	Call	Purchasing	100	115	American	17/01/2020	52.85
5p Ordinary	Call	Writing	-100	115	American	17/01/2020	52.85
5p Ordinary	Call	Purchasing	100	145	American	20/07/2018	15.65
5p Ordinary	Call	Writing	-100	145	American	20/07/2018	15.65
5p Ordinary	Call	Purchasing	600	150	American	20/07/2018	11.6
5p Ordinary	Call	Writing	-600	150	American	20/07/2018	11.6
5p Ordinary	Call	Purchasing	600	175	American	20/07/2018	0.65
5p Ordinary	Call	Writing	-600	175	American	20/07/2018	0.65
5p Ordinary	Call	Purchasing	100	140	American	19/10/2018	22.85
5p Ordinary	Call	Writing	-100	140	American	19/10/2018	22.85
5p Ordinary	Put	Writing	300	70	American	19/10/2018	0.075
5p Ordinary	Put	Purchasing	-300	70	American	19/10/2018	0.075
5p Ordinary	Put	Purchasing	-3100	105	American	18/01/2019	0.6
5p Ordinary	Put	Writing	3100	105	American	18/01/2019	0.6
5p Ordinary	Call	Purchasing	200	175	American	19/10/2018	3.025
5p Ordinary	Call	Writing	-200	175	American	19/10/2018	3.025
5p Ordinary	Call	Purchasing	100	130	American	20/07/2018	29.95
5p Ordinary	Call	Writing	-100	130	American	20/07/2018	29.95
5p Ordinary	Put	Purchasing	-100	125	American	20/07/2018	0.25
5p Ordinary	Put	Writing	100	125	American	20/07/2018	0.25
5p Ordinary	Put	Purchasing	-100	120	American	18/01/2019	1.6
5p Ordinary	Put	Writing	100	120	American	18/01/2019	1.6
5p Ordinary	Put	Purchasing	-100	150	American	19/10/2018	4.45
5p Ordinary	Put	Writing	100	150	American	19/10/2018	4.45
5p Ordinary	Call	Writing	-200	190	American	18/01/2019	2.2
5p Ordinary	Call	Purchasing	200	190	American	18/01/2019	2.2
5p Ordinary	Call	Writing	-300	150	American	18/01/2019	18.8
5p Ordinary	Call	Purchasing	300	150	American	18/01/2019	18.8
5p Ordinary	Call	Writing	-900	185	American	19/10/2018	1.2
5p Ordinary	Call	Purchasing	900	185	American	19/10/2018	1.2
5p Ordinary	Call	Writing	-500	160	American	18/01/2019	13
5p Ordinary	Call	Purchasing	500	160	American	18/01/2019	13
5p Ordinary	Call	Writing	-100	170	American	18/01/2019	7.7
5p Ordinary	Call	Purchasing	100	170	American	18/01/2019	7.7
5p Ordinary	Call	Purchasing	100	190	American	19/10/2018	1.15
5p Ordinary	Call	Writing	-100	190	American	19/10/2018	1.15
5p Ordinary	Call	Writing	-900	180	American	15/06/2018	0.075
5p Ordinary	Call	Purchasing	900	180	American	15/06/2018	0.075
5p Ordinary	Call	Writing	-1500	170	American	15/06/2018	0.2
5p Ordinary	Call	Purchasing	1500	170	American	15/06/2018	0.2
5p Ordinary	Put	Purchasing	-400	100	American	18/01/2019	0.525
5p Ordinary	Put	Writing	400	100	American	18/01/2019	0.525
5p Ordinary	Call	Writing	-300	172.5	American	22/06/2018	0.15
5p Ordinary	Call	Purchasing	300	172.5	American	22/06/2018	0.15
5p Ordinary	Put	Purchasing	-100	150	American	15/06/2018	0.5
5p Ordinary	Put	Writing	100	150	American	15/06/2018	0.5
5p Ordinary	Put	Purchasing	-100	160	American	18/01/2019	11.05
5p Ordinary	Put	Writing	100	160	American	18/01/2019	11.05

(i) Exercise

Class of relevant security	Product description	Exercising/ exercised against	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)

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:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state "none"

N/A

(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"

N/A

Is a Supplemental Form 8 (Open Positions) attached?

Date of disclosure:	07 June 2018
Contact name:	Craig Watson
Telephone number:	+44 (28) 90 409605

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact [email protected] or visit www.rns.com.

END

FEOUBOORWSANRAR

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