REG-Wellington Management Form 8.3 - Royal Dutch Shell plc <Origin Href="QuoteRef">RDSa.L</Origin>
12/08/2015 15:20
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BOSTON--(Business Wire)--
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: Wellington Management Group LLP
(b) Owner or controller of interests and short positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Royal Dutch Shell plc
Use a separate form for each offeror/offeree
(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:
(e) Date position held/dealing undertaken: 11 August 2015
For an opening position disclosure, state the latest practicable date prior to the disclosure
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? YES - BG Group plc
If it is a cash offer or possible cash offer, state "N/A"
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(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: A Shares (GB00B03MLX29) - 3,430,345
Depository Receipts (US7802592060) - 9,078,441 (representing 18,156,882 shares on a converted basis)
Interests Short Positions
Number % Number %
(1) Relevant securities owned and/or controlled: 21,587,227 0.55 %
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell:
Total 21,587,227 * 0.55 %
*Wellington Management Group LLP does not have discretion regarding voting decisions in respect of 17,004,271 shares that are included in the total above.
Class of relevant security: B Shares (GB00B03MM408) - 2,708,909
Depository Receipts (US7802591070) - 19,062 (representing 38,124 shares on a converted basis)
Interests Short Positions
Number % Number %
(1) Relevant securities owned and/or controlled: 2,747,033 0.11 % 6,187 0.00 %
(2) Cash-settled derivatives:
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 4,276 0.00 %
Total 2,751,309 * 0.11 % 6,187 0.00 %
*Wellington Management Group LLP does not have discretion regarding voting decisions in respect of 356,107 shares that are included in the total above.
(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:
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
(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
(c) Stock-settled derivative transactions (including options)
(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
B Shares (GB00B03MM408) Equity Call Option Purchase 2,138 65.0000USD American 15 Jan 16 .8565 USD
B Shares (GB00B03MM408) Equity Put Option Short Sale 2,138 50.0000USD American 15 Jan 16 .7642 USD
(ii) Exercise
Class of relevant security Product description e.g. call option 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 person 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"
None
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the person 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"
None
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? YES
Date of disclosure 12 August 2015
Contact name Mark O`Brien
Telephone number 44-20-7126-6310
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
monitoring@disclosure.org.uk. 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.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS,
AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Full name of person making disclosure: Wellington Management Group LLP
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: Royal Dutch Shell plc
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security Product description e.g. call option Written or purchased Number of securities to which option or derivative relates Exercise price per unit Type e.g. American, European etc. Expiry date
B Shares (GB00B03MM408) Equity Call Option Purchased 2,138 65.0000USD American 15 Jan 16
B Shares (GB00B03MM408) Equity Put Option Written 2,138 50.0000USD American 15 Jan 16
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the interest or position can be fully understood:
None
It is not necessary to provide details on a Supplemental Form (Open Positions)
with regard to cash-settled derivatives
The currency of all prices and other monetary amounts should be stated.
monitoring@disclosure.org.uk. 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.
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