REG - D E Shaw & Co LP AbbVie Inc. Allergan PLC - Form 8.3 - Allergan Plc

AbbvieAnnouncement

11/05/2020 16:05

RNS Number : 5314M
  
D E Shaw & Co LP
  
11 May 2020
  
 

Ap19
 
 
FORM 8.3
 
IRISH TAKEOVER PANEL
 
DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
 
DEALINGS BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
 
1.       KEY INFORMATION
 




Name of person dealing (Note 1)


D. E. Shaw & Co., L.P.




Company dealt in


Allergan plc




Class of relevant security to which the dealings being disclosed relate (Note 2)


US$0.0001 ordinary shares




Date of dealing


May 08, 2020




 
2.         INTERESTS AND SHORT POSITIONS
 
(a)        Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3)




US$0.0001 ordinary shares


Long


Short




 


Number


 


(%)


Number


 


(%)




(1) Relevant securities


  779,249                        (0.23%)


1,918             (0.00%)                    




(2) Derivatives (other than options)


 2,887,118                       (0.87%)


 




(3) Options and agreements to purchase/sell


 


32,300           (0.00%)




Total


 3,666,367                      (1.11%)


34,218           (0.01%)



 
 
 
 
 
 
 



 
 
(b)        Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3)




Class of relevant security:


Long


Short




 


Number


 


(%)


Number


 


(%)




(1) Relevant securities


 


 




 
(2) Derivatives (other than options)


 


 




 
(3) Options and agreements to purchase/sell


 


 




Total


 


 



 
 
 
 
 
 
 




 

Ap20
 
1.       DEALINGS (Note 4)
 
(a)      Purchases and sales
 
 




Purchase/sale


Number of relevant securities


Price per unit (Note 5)




Sale


100


USD 191.87




Sale


100


USD 191.93




Sale


100


USD 192.13




Sale


200


USD 192.35




Sale


100


USD 192.43




Sale


100


USD 192.55




Sale


100


USD 192.69




Sale


100


USD 192.73




Sale


200


USD 192.76




Sale


100


USD 192.88




Purchase


100


USD 192.72




 
(b)      Derivatives transactions (other than options transactions)
 
 




Product name,
e.g. CFD


Nature of transaction
(Note 6)


Number of relevant securities
(Note 7)


Price per unit
(Note 5)




 


 


 


 




 
(c)      Options transactions in respect of existing relevant securities
 
(i)       Writing, selling, purchasing or varying
 




Product name,
e.g. call option


Writing, selling, purchasing, varying etc.


Number of securities to which the option relates (Note 7)


Exercise price


Type, e.g. American, European etc.


Expiry date


Option money paid/received per unit (Note 5)




 


 


 


 


 


 


 




 
(ii)      Exercising
 
 




Product name,
e.g. call option


Number of securities


Exercise price per unit (Note 5)
 




 


 


 




 
 
 
 
 
 
(d)      Other dealings (including transactions in respect of new securities) (Note 4)
 




Nature of transaction
(Note 8)


Details


Price per unit
(if applicable) (Note 5)




 


 


 




 
 
Ap21
2.       OTHER INFORMATION
 
Agreements, arrangements or understandings relating to options or derivatives
 




Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated.
 




 




 
 
 
Is a Supplemental Form 8 attached? (Note 9)                                            YES
 




Date of disclosure


May 11, 2020




Contact name


Kevin Krist (Compliance Department)




Telephone number


+44 (0) 20 7409 4420




If a connected EFM, name of offeree/offeror with which connected


 




If a connected EFM, state nature of connection (Note 10)


 




 
 
 
 
 
 
 
 
 
 
 
 
 
                                                                                                                     Ap23
 
SUPPLEMENTAL FORM 8
 
IRISH TAKEOVER PANEL
 
DISCLOSURE UNDER RULE 8.1 AND RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
 
 
 
DETAILS OF OPEN POSITIONS
 
(This form should be attached to Form 8.1(a) & (b)(i), Form 8.1(b)(ii) or Form 8.3, as appropriate)
 
OPEN POSITIONS (Note 1)
 




Product name, e.g. call option


Written, or purchased


Number of relevant securities to which the option or derivative relates


Exercise price (Note 2)


Type, e.g. American, European etc.


Expiry date




Put Option


Purchased


5,000


USD 110


American


20210115




Put Option


Purchased


10,000


USD 120


American


20210115




Put Option


Purchased


10,000


USD 135


American


20210115




Put Option


Purchased


7,300


USD 140


American


20210115




 
 
 
Notes
 
1.          Where there are open option positions or open derivative positions (except for CFDs), full details should be given. Full 
         details of any existing agreements to purchase or to sell must also be given on this form.
 
2.          For all prices and other monetary amounts, the currency must be stated.
 
For full details of disclosure requirements, see Rule 8 of the Rules. If in doubt, consult the Panel.
 


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